Compliance Supervisor

Overview

The Supervisor, Audit & Compliance oversees a centralized national team supporting audit readiness, regulatory compliance, risk management, operational controls, licensing administration, and customer issue resolution within the [Post Closing] department. This role serves as a key liaison between Operations, Underwriting, State Agencies, Compliance, Legal, and external business partners to ensure adherence to organizational policies, regulatory requirements, and industry standards.

Responsibilities

Leadership

• Directly supervise and develop Audit & Compliance team members.
• Establish performance expectations, service standards, and productivity goals.
• Conduct coaching, performance reviews, and career development planning.
• Foster a culture of accountability, compliance, continuous improvement, and operational excellence.
• Partner with cross-functional leadership teams to support organizational initiatives and strategic objectives.

Brand Partnership & Change Leadership

• Partner with brand leadership and key stakeholders to identify compliance risks, operational control gaps, and opportunities for process improvement while ensuring alignment with organizational standards and regulatory requirements.
• Recommend remediation plans with stakeholder involvement and drive accountability for corrective actions, issue resolution, and audit finding remediation.
• Lead adoption by brand teams of new processes, technology solutions, operational controls, and regulatory requirements to ensure consistent execution and compliance across all business units.
• Serve as a liaison between corporate support functions and brand operations to facilitate communication, change management, and implementation of strategic and compliance-related initiatives.

Audit & Compliance Management

• Coordinate and manage internal and external audits, including Underwriter, State Regulatory, and operational audits.
• Serve as primary point of contact for audit requests, documentation gathering, issue resolution, and corrective action plans.
• Monitor and track audit findings to ensure timely remediation and closure.
• Maintain audit documentation, reporting, and compliance records.

Regulatory & Licensing Administration

• Oversee individual and business licensing requirements across all applicable jurisdictions.
• Manage notary commission administration, renewals, and compliance monitoring.
• Coordinate regulatory filings and responses, including state insurance department inquiries and TDI filings.
• Monitor regulatory changes and communicate impacts to business stakeholders.

Risk Management & Fraud Prevention

• Supervise FinCEN, OFAC, FIRPTA, fraud prevention, and related compliance processes.
• Ensure appropriate review, escalation, tracking, and resolution of compliance-related alerts.
• Manage OFAC screening exceptions and investigations.
• Oversee underwriting alert bulletin administration and distribution.
• Partner with Legal, Compliance, and Risk teams on investigations and corrective actions.

Claims, Legal Requests & Escalations

• Coordinate claim inquiries, subpoenas, legal requests, and document production activities.
• Ensure timely, accurate, and compliant responses to external requests.
• Maintain records retention and document retrieval processes, including off-site storage and archived file requests.

Operational Controls & Financial Oversight

• Oversee shortage tracking, collection efforts, reimbursement requests, and exception reporting.
• Review trust shortages, operational losses, and root cause analyses.
• Manage over-limit alert investigations and escalation processes.
• Coordinate Gibraltar payment exception reviews and resolutions.
• Research and approve tax payment refund requests prior to issuance.
• Support proofing and virtual closing reconciliation activities as assigned.

Customer Service & Issue Resolution

• Supervise centralized customer service email inbox and phone support functions.
• Oversee escalation management, customer complaints, EMD disputes, and complex issue resolution.
• Ensure service levels and response standards are consistently achieved.

Process Governance & Documentation

• Develop, maintain, and update departmental Standard Operating Procedures (SOPs).
• Identify opportunities for process improvements, automation, and risk reduction.
• Establish controls and quality assurance measures to ensure policy compliance.
• Coordinate reports, dashboards, and management summaries to monitor performance and compliance trends.

Qualifications

• Equivalent combination of education and industry experience may be considered.

Experience

• 5+ years of title, escrow, settlement services, mortgage operations, compliance, audit, risk management, or related experience.
• 2+ years of leadership or supervisory experience preferred.
• Experience working with regulatory agencies, underwriters, auditors, legal teams, and operational leaders.
• Strong understanding of post-closing, title, escrow, and settlement processes.

Preferred Knowledge

• Title insurance operations and underwriting requirements.
• FinCEN, OFAC, FIRPTA, anti-fraud controls, and regulatory compliance standards.
• Audit management and corrective action planning.
• Licensing and notary administration.
• Trust accounting and shortage remediation processes.
• Customer complaint management and escalation resolution.

Key Competencies

• Regulatory Compliance
• Audit Management
• Risk Assessment & Mitigation
• Operational Controls
• Process Improvement
• Analytical Problem Solving
• Leadership & Employee Development
• Communication & Relationship Management
• Conflict Resolution
• Customer Experience Management
• Project Management
• Organizational Effectiveness

Success Measures

• Audit performance and reduction of repeat findings
• Regulatory compliance adherence
• Timely closure of compliance investigations and escalations
• Reduction in operational losses and shortages
• Customer complaint resolution metrics
• Licensing and filing compliance accuracy
• SOP maintenance and process improvement implementation
• Team productivity and service level achievement
• Cross-functional partnership effectiveness

Location

Nationwide / centralized national team support (operates across all 50 states).