Compliance Analyst

Irvine, CA | Compliance

Job Description

Duties and Responsibilities:


As our Compliance Analyst, you will be responsible for assisting in the development and implementation of regulatory and employment compliance policies and procedures. Responsibilities will include scheduling, participating in, monitoring and results reporting of compliance audits, measuring adherence to established policies and procedures.


  • Assist in the development and implementation of compliance policies and procedures.
  • Ensure policies and procedures are reviewed and revised in a timely manner.
  • Conduct monthly, quarterly, or annual compliance audits as assigned in accordance with the Compliance Plan.
  • Conduct and document staff compliance training sessions.
  • Receive, investigate, and resolve compliance questions or issues within proper authority and resources.
  • Conduct compliance audits in a professional, non-judgmental manner reporting all findings to the Compliance Officer.
  • Assist the Compliance Officer with the implementation and maintenance of an effective compliance communication program for the organization to promote a heightened awareness of Standards of Conduct and understanding of new and existing compliance issues and related policies and procedures.
  • Be able to structure tasks and manage time effectively with emphasis on prioritizing.
  • Ensure documentation and procedures regarding servicing of mortgage loans are maintained in accordance with state and federal regulatory requirements, company policy and investor guidelines.
  • Assist with identifying root causes and explain the best solution to resolve customer concerns in an expedient manner.
  • Other duties assigned by management.



  • 2 -3 years of experience in financial compliance auditing or mortgage servicing industry required.
  • Excellent interpersonal skills with the ability to maintain confidentiality
  • Proven excellence in written and oral communications
  • Strong leadership skills, inspires and motivates others to perform well
  • Must be action oriented with a great sense of customer focus and a high commitment to quality
  • Effective team player
  • Comprehensive knowledge of Microsoft Office Suite, specifically Microsoft Word and Excel
  • Worked with TenA, ACES or CogentQC, MSP
  • Immediate proficiency with Microsoft Office Suite, Outlook Express, Excel, PowerPoint
  • Demonstrated ability to structure tasks and manage time effectively with a keen focus on prioritizing.
  • Professional Customer Service attitude and focus


Rushmore is an Equal Opportunity Employer M/F/D/V


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