COMPLIANCE LICENSING SPECIALIST I

Job Title: Compliance Licensing Specialist

Department: Compliance

Reports to: Licensing Team Manager

FLSA Status: Non\-Exempt

Prepared By: Human Resources

Prepared Date: July 24, 2025

Management Approval: VP of HR

\\\\\ This position is HYBRID or REMOTE \\\\\

Essential Duties \& Responsibilities:

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• Manage licensing for all loan originators; includes new sponsorship, new branch transition, adding states to individual licenses, changes and terminations of LOs.
• Update information in NMLS – make sure all LO information is correct and current.
• Support individual LOs for any licensing questions.
• Work in High Rise internal notification system.
• Arrange annual CE training.
• Manage OR state Ledger for loan originators.
• Manage Transitional Loan Officer “TLO” list.
• Manage and maintain all MLO DRE licenses.
• VA Approvals, PIN, and Registration.
• Backup Licensing Admin with HUD approvals.
• Assist with annual LDP checks on all employees.
• Support HR for Dual Employment approvals and maintain spreadsheet and approvals.
• Complete watch list check on all loan originators; notify management when needed.
• Assist with ad hoc projects for Compliance Management as needed.
• Assist with branch and state licensing as needed.

Supervisory Responsibilities: None

Qualifications: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Education \& Experience:

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• Minimum of 2 years work experience preferably in a corporate environment.
• Candidate should be comfortable working with data.
• Candidate should be able to communicate by phone and email efficiency.

Competencies: To perform the job successfully, an individual should demonstrate the following competencies:

Problem Solving – Superior analytical, evaluative, and problem\-solving. Identifies and resolve problems promptly; gathers and analyzes information skillfully; develops alternative solutions; works well in group problem solving situations; uses reason even when dealing with emotional topics.

Detail Oriented – Keen attention to detail

Interpersonal Skills – Proven leadership ability. Ability to set and manage priorities judiciously Maintains confidentiality; keeps emotions under control.

Oral Communication – Ability to present ideas in business\-friendly and user\-friendly language. Speaks clearly and persuasively in positive or negative situations; listens and gets clarification; responds well to questions; participates in meetings.

Written Communication – Writes clearly and informatively; edits work for spelling and grammar; presents numerical data effectively; able to read and interpret written information.

Teamwork – Ability to motivate in a team\-oriented, collaborative environment. Contributes to building a positive team spirit.

Attendance/Punctuality – Is consistently at work and on time, ensures work responsibilities are covered when absent.

Dependability – Follows instructions, responds to management direction; takes responsibility for own actions; keeps commitments; commits to long hours of work when necessary to reach goals; complete tasks on time or notifies appropriate person with an alternate plan.

Initiative – Exceptionally self\-motivated and directed. Volunteers readily; undertakes self\-development activities; seeks increased responsibilities.

Innovation – Displays original thinking and creativity; generates suggestions for improving work.

Skills:

Industry Specific Skills: Ability to establish and maintain effective accounting systems and procedures. Ability to analyze large volumes of data related to complex processes, and visually present the results in a clear and concise manner.

Language Skills: Ability to read and interpret documents and writes routine correspondence. Ability to speak effectively with customers/vendors or other employees.

Mathematical Skills: Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent.

Reasoning Ability: Ability to apply common sense understanding to carry out instructions furnished in written, oral, or diagram form. Ability to deal with problems involving several concrete variables in standardized situation.

Computer Skills: Advanced proficiency in Excel. Attention to details in the accuracy and presentation of reports.

Physical Demands: The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit, use hands to finger, handle, or feel and talk or hear. The employee is occasionally required to walk and stoop.

Work Environment: The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of the job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level and temperature in the work environment is usually moderate.

This job description does not promise or imply that the functions listed are the only duties to be performed or that the position may not change or be eliminated.

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The Company has reviewed this job description to ensure that essential functions and basic duties have been included. It is intended to provide guidelines for job expectations and the employee's ability to perform the position described. It is not intended to be construed as an exhaustive list of all functions, responsibilities, skills, and abilities. Additional functions and requirements may be assigned by supervisors as deemed appropriate. This document does not represent a contract of employment, and the Company reserves the right to change this position description and/or assign tasks for the employee to perform, as the Company may deem appropriate.