Licensing Compliance Specialist

Work with Compliance Department Management to identify and analyze areas of risk to the business. • Think critically about changes in regulations that impact the business and Compliance processes and recommend changes to management to minimize risk. Provide substantive analysis on new and amended statutes and regulations applicable to licensing. • Manages the new license application process and license maintenance for company, branch, and MLO licensing by researching state requirements and communicating directly with state licensing departments to research guidelines and seek resolution of licensing issues. • Identify changes to filing requirements and inform management. • Prepare and submit city/county and state license filings for branch office openings, closings and address changes. Identify changes to filing requirements and inform management. Create and maintain tracking system to monitor business licenses. • Working with internal departments to coordinate the onboarding and termination of licensed employees in the NMLS system. • Provide the necessary posters and licenses in accordance with regulatory requirements to be posted at the branch. Ensure that posters and licenses are posted appropriately. Conduct January 21, 2026 Version: 1 Page 2 of 6 research of posting requirements to maintain regulatory compliance. • Follow up on status of applications, independently troubleshoot problems and resolve issues, report to management on current status of all applications, and see applications through to completion. • Monitor continuing education requirements for MLOs and ensure they are met prior to company license renewal. • Periodically perform compliance checks to ensure MLO and branch information is accurate in NMLS and internal systems. • Assist with the preparation of weekly or re-occurring monitoring reports for senior management. • Prepare and submit external and internal reports and license renewals. Identify changes to filing requirements and inform management. • Analyze and review and submission of valuation of Shared Space locations. Create, monitor, and update tracking spreadsheet. • Prepare and submit DBA filings with city, county and state. Research DBA requirements. Create, maintain, and research the DBAs tracking spreadsheet. • Monitor and renew existing company, branch, and loan originator licenses. Provide guidance to Loan Officers, Branch Managers, Production, and Servicing regarding licensing matters. • Maintain tracking system to monitor for deadlines and due dates of various filings and renewals, including license and surety bond spreadsheets. • Maintain and ensure accuracy of license information in the loan origination systems. • Assist in filing and processing the Mortgage Call Report quarterly. Notify department manager of any issues encountered during the filing process. • Provide responsive, courteous, and knowledgeable customer service to loan officers and internal departments. • Use computers to conduct research, including research in proprietary systems, subscriber databases and internet resources to resolve issues, and verify compliance with regulations. • Assist with reporting and maintenance for other entities within the Company holding structure. • Prepare and verify that complete files, including supporting documentation, are retained in accordance with required retention periods. • Monitor shared email inbox using ticketing system. • Assist and manage internal projects assigned. • Troubleshoot loan level issues using propriety system and loan operating system. • Escalate issues that represent higher risk and fall outside of scope of responsibility. • Provide guidance and training to less experienced team members. • Identify and stay current on changes in industry regulations that impact work product. Ensure internal systems are updated as regulations change. • Provide input to update internal procedures, documents and systems. • Perform other duties as assigned.