Compliance Officer, Finance & Banking

Job Summary

The Compliance Associate will assist the Principal Officer in ensuring that Affinity Mortgage Solutions operates in accordance with all relevant laws and regulations. They will be responsible for conducting audits, monitoring compliance with policies and procedures, and providing support in regulatory matters.

• Conduct regular audits to ensure compliance with applicable laws, regulations, and internal policies.
• Monitor and assess compliance with Anti-Money Laundering (AML), Know Your Customer (KYC) regulations and FSRA compliance requirements for mortgage agents.
• Assist in the development and implementation of compliance policies and procedures.
• Provide guidance and training to employees on compliance-related matters.
• Investigate and resolve compliance issues, including conducting interviews and reviewing documents.
• Prepare reports for management on compliance status and findings.
• Stay up to date with regulatory changes and industry best practices.
• Assist in responding to regulatory inquiries and examinations.
• Collaborate with other departments to ensure compliance with regulatory requirements.
• Perform any other duties as assigned by the Compliance Officer.

• Bachelor's degree in Business Administration, Finance, or related field.
• At least 2 years of experience in compliance, preferably in the Mortgage Brokerage industry.
• Strong understanding of regulatory requirements, including AML, KYC and FSRA requirements.
• Excellent analytical and problem-solving skills.
• Strong attention to detail and ability to work independently.
• Excellent communication and interpersonal skills.

• Experience with regulatory examinations and audits.
• Familiarity with mortgage brokerage regulations