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Senior Compliance Specialist- Mortgage

Senior Compliance Specialist- Mortgage

Senior Compliance Specialist- Mortgage

Semper Home Loans
Providence, RI 02907


Microsoft Powerpoint: 1 year (Preferred)

Job details

Job Type

- Full-time

Semper Home Loans, a Mortgage Lender, is currently seeking a Senior Compliance Specialist to join the Executive team! The Senior Compliance Specialist partners with the Chief Compliance Officer, Chief Strategy Officer and others to proactively and re-actively address a wide array of legal areas and risk issues for this company. The Legal Officer may practice in the areas of mortgage regulation, real estate finance law, employment, exercises lead authority in regulatory matters; acts as negotiator; and supervises and performs duties relative to assigned areas of responsibility.

Job Duties:

  • Provides advice on compliance with Federal and state mortgage lending laws and regulations to operational departments, Compliance Officers, and Executive Management. Supports mortgage loan production. Reviews and drafts mortgage lending policies, procedures, forms and disclosures.
  • Reviews and negotiates a variety of contracts, including vendor and other agreements. Cooperates extensively with business partners, including vendor management personnel, in creating and managing contractual relationships. Provides advice on lender approvals, negotiating contracts as required, and resolves relationship issues.
  • Assists Chief Compliance Officer and the Chief Strategy Officer with corporate governance responsibilities, and review and negotiation of the company’s own finance arrangements. Provides direction to paralegal and support staff in execution of assigned projects. Initiates, researches, analyzes, and prepares opinions.
  • Possibly in Scope (Depending on Experience): Provides counsel to the Human Resources on a full range of employment law issues, including preparing, reviewing and approving related compensation plans and other documents. Advises on resolution of employment disputes and mitigation of HR risks.
  • Possibly in scope (Depending On Experience): Establishes budgets for litigation and complex transactional work and manages to those budgets. May complete less complex litigation and pre-litigation matters in-house without use of outside counsel. Prepares and dispatches cease and desist letters and manages administrative enforcement actions that do not require court appearances.
  • Possibly in scope: Provides advice on marketing and intellectual property issues generally. Reviews marketing and advertising pieces for compliance with applicable laws, provides advice and support to marketing personnel and other business units as necessary, and drafts, reviews and interprets company policies, procedures, handbooks and other company documents relevant to the marketing function


  • Significant consumer finance legal experience, preferably in the area of mortgage. In-house experience is a plus, but not required. Sufficient training, education and public or private legal experience to demonstrate required knowledge, skills and abilities. Development of the required knowledge, skills and abilities is typically obtained through a combination of training and experience equivalent to twelve or more years increasingly responsible experience in the areas of financial institution regulation and contract law, all preferably with an emphasis on mortgage banking-related issues.
  • Juris Doctorate from an accredited law school. Membership in the Rhode Island State Bar or ability to register within six months from date of hire.
  • Principles of mortgage law and regulation in depth, include Federal and state law; outside counsel management practices; modern contract and human resource law issues, include loan officer compensation rules; corporate law; contract law principles with an emphasis on vendor contracting.
  • Advertising law, preferred but not required.
  • Employment law, preferred but not required.
  • Encompass experience is preferred.

We offer:

  • Medical and Vision (BCBS)
  • Dental (Delta Dental)
  • Supplemental Benefits (Aflac)
  • 401k with a 3% match of employee contributions!
  • 10 Business Days of Accrued Paid Time Off (includes vacation & sick)

Semper Home Loans is an EEO/AA employer

Job Type: Full-time

Pay: $65,000.00 - $140,000.00 per year


  • 401(k)
  • 401(k) matching
  • Dental insurance
  • Health insurance
  • Life insurance
  • Paid time off
  • Retirement plan
  • Vision insurance

Physical Setting:

  • Office


  • 8 hour shift

Ability to commute/relocate:

  • Providence, RI 02907: Reliably commute or planning to relocate before starting work (Preferred)


  • Microsoft Powerpoint: 1 year (Preferred)

Work Location: One location

Hiring Insights

Hiring for this role

• Mobile: NA

• Location: NA

• Post ID: 21888157

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