Position Summary: Director, Compliance and Quality Control
Lead the Compliance and Quality Control Department and ensure compliance
with all State and Federal laws, rules and regulations.
o Build, enhance, and maintain a robust Compliance Management System (CMS),
including policies and procedures, training, risk assessments, monitoring /
testing, reporting, audit / exam support and corrective action protocols
o Manage Quality Control Program in accordance with GSE guidelines and
Silverton’s Quality Control Plan, including Pre-funding and Post Closing QC
o Collaborate with Executive Team and business leaders to ensure the
function and effectiveness of the CMS
o Serve as compliance help desk for 150 + staff, including mortgage
loan originators for
TRID, RESPA, Re-Disclosures. etc.
o Serve as a member of the Executive Team.
o Coordinate Executive Management quarterly QC responses and provide yearly
o Provide data and draft responses for external audits and exams
o Provide compare ratios to Executive team.
o NMLS regulatory reporting.
o Lead AML training efforts.
o Coordinate branch licensing and changes with Vanderbilt Licensing Team
o Complete Yearly Compliance/Quality Control site reviews for all branch
locations and internal department audits
o Report compliance findings, audit finding, and training needs to the
Board of Directors, Compliance, and Audit Committee
o Consult with corporate attorneys as necessary to address legal compliance
o Conduct or direct the internal investigation of compliance and fraud
o Partner with HR and ensure Loan Originator Compensation compliance
o Perform other duties as assigned
o College degree preferred but not required - High school diploma, or
o Minimum of 10 years’ mortgage experience
o Minimum 7 years in Compliance and QC Management role
o In depth knowledge of State and Federal mortgage origination laws and
Skills and Characteristics
o Proficient in using Microsoft Word, Outlook, Excel and LOS systems.
o Excellent written and verbal communication skills
o Strategic and investigative thinking
o Deliberate collaborator with high integrity