Key Mortgage Services

Compliance

• Execute day-to-day tactical operations of the compliance program for mortgage operations.
• Process NMLS onboarding transfers, sponsorship requests, and Form MU4 filings for newly hired Loan Officers.
• Audit Loan Officer profiles for state testing, continuing education, and Temporary Authority to Operate compliance.
• Coordinate annual NMLS license renewal documentation.
• Prepare exam document request lists and track post-examination remediation items.
• Monitor and triage the compliance department mailbox, resolving standard inquiries or escalating complex items.
• Intake borrower complaints, log details in the Compliance Management System, and gather supporting file history.
• Draft preliminary complaint response letters for management review.
• Perform initial reviews of flagged loan files for suspicious activity and assemble case files for SAR determinations.
• Prepare required SAR filings under leadership guidance and archive supporting documentation.
• Package loan files, policies, and records for internal, external, and investor audits.
• Track audit findings and follow up with operational units on corrective actions.
• Collaborate with Quality Control and fulfillment teams on compliance testing.
• Assist in updating standard operating procedures based on Quality Assurance findings and regulatory updates.
• Report to the Compliance Manager.

Senior Compliance Specialist