Chief Compliance Officer / General Counsel

  • Minimum of 6 years in a legal environment related to mortgages or mortgage backed securities 
  • Knowledge of NMLS requirements by state 
  • Vendor management 
  • Residential Mortgage fulfillment experience 
  • Client relationship and deal management experience 
  • Previous due diligence or supervisory experience with a financial services firm with a focus on regulatory compliance required 
  • Strong technical understanding of the financial services regulatory environment 
  • Excellent communication skills 
  • Interpersonal Skills: Courtesy, tact, and diplomacy are essential elements of the job; Work involves personal contact with others inside and/or outside the organization 
  • Other Skills: Strong judgment skills; Risk/reward decision making; Knowledge of secondary market; Previous formal compliance training necessary


  • Provide oversight and direct operations of the Compliance Department
  • Identify potential areas of compliance vulnerability and risk
  • Develop corrective action plans for resolution issues, and provide general guidance on how to avoid or deal with similar situations in the future
  • Monitor and coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends
  • Responsible for interpreting legal research and assisting in implementing compliant policies and procedures
  • Collaborate with other departments as needed to ensure compliance issues are addressed, investigated, resolved and once resolved, continually adhered to in practice
  • Respond to state/federal agency inquiries
  • Advise management as to changes in applicable laws and regulations, and the effect of those changes on company practices
  • Oversee the internal quarterly/yearly compliance review functions
  • Provide routine feedback to management for process improvement
  • Develop and maintain current knowledge of all applicable state laws and regulations regarding residential mortgage and consumer loans
  • Develop, maintain, revise policies & procedures related to the general operation of the Compliance Program & its related activities to ensure they meet federal & state standards
  • Work with Training team to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
  • Provide reports to senior management regarding the operation and progress of compliance efforts

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Opus Capital Markets Consulting, LLC is an Equal Opportunity Employer. We welcome all individuals who meet the qualifications to apply.

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