Corporate Compliance Analyst

About the role

You will monitor compliance-related filings and registration requirements, identifying upcoming obligations and coordinating with internal stakeholders to ensure timely and accurate regulatory submissions. You will manage licensing and registration requirements for company professionals, tracking renewals, maintaining records, and coordinating filings with regulatory agencies. You will maintain compliance records, documentation, reporting, and administrative processes to support regulatory obligations and audit readiness. You will coordinate document preservation efforts, regulatory inquiries, and other compliance-related matters in partnership with internal stakeholders and external counsel as needed. You will assist with compliance monitoring, risk assessments, and special projects to enhance the organization's compliance management framework. You will monitor regulatory developments and industry requirements impacting commercial real estate lending, servicing, investment sales, and assist with the implementation of compliance-related changes. You will conduct research of regulatory requirements and industry guidance to assess potential compliance impacts and support business decision-making. You will support compliance initiatives related to agency lending programs, broker licensing requirements, and other applicable regulatory frameworks.

Key facts

What you'll do

• Analyze and interpret regulatory requirements specific to commercial real estate activities, translating complex rules into actionable compliance tasks for cross-functional teams.
• Track and manage licensing and registration timelines for company professionals, ensuring all submissions are accurate, complete, and submitted in accordance with regulatory schedules.
• Coordinate the collection, validation, and maintenance of compliance documentation to support internal audits, external examinations, and regulatory requests.
• Partner with legal counsel and business stakeholders to investigate compliance incidents, implement corrective actions, and document resolutions to regulatory inquiries.
• Monitor and evaluate compliance-related filings for accuracy and timeliness, performing quality reviews before final submission to regulatory authorities.
• Assess the impact of new and pending regulations on current business operations, highlighting areas that require process changes or enhanced controls.
• Develop and maintain compliance registers and tracking tools to monitor obligations, deadlines, and status updates across multiple regulatory frameworks.
• Support the testing and monitoring of compliance controls, identifying gaps and recommending improvements to strengthen the overall compliance environment.
• Collaborate with technology and operations teams to streamline compliance workflows, automate manual processes where possible, and improve data integrity.
• Prepare compliance reports and summaries for internal leadership, distilling regulatory issues and proposed actions into clear, concise formats.
• Coordinate responses to regulatory requests for information, ensuring that submissions are thorough, well-organized, and aligned with company policies.
• Maintain awareness of trends and best practices in commercial real estate compliance, applying this knowledge to support continuous improvement initiatives.
• Assist in the administration of broker licensing requirements, including tracking appointments, gathering documentation, and confirming regulatory compliance.
• Support ad hoc projects as assigned by management to enhance the effectiveness and efficiency of the compliance program.

Requirements

• Bachelor's degree in Business Administration, Finance, Accounting, Communications, paralegal studies, legal studies, or a related field (preferred).
• Paralegal certification (preferred).
• Minimum of 3 years of experience in compliance, risk management, regulatory affairs, audit, or a related function, preferably within the commercial real estate, financial services, lending or mortgage industries.
• Experience supporting compliance, regulatory, governance, or legal initiatives within a highly regulated environment.
• General familiarity with loan documents, including mortgages, loan agreements, promissory notes, servicing agreements, and the ancillary documents related to such transactions (preferred).
• Proficient in the use of Microsoft Office (Word, Excel, Outlook) and Adobe Acrobat.
• Knowledge of federal rules and regulations pertaining to privacy, lending, loan servicing, etc. a strong plus.
• Strong decision-making capabilities, a high level of independent judgment, and understanding of the organization and its business needs.
• Demonstrated ability to coordinate multiple priorities, manage deadlines and collaborate effectively with internal and external stakeholders.
• Highly collaborative in nature.
• Ability to take ownership of tasks and projects while problem-solving and prioritizing workflow.
• Strong communication and interpersonal skills to support a cooperative approach.

Practical notes

Northmarq does not provide immigration sponsorship for this position. Candidates must possess unrestricted authorization to work in the U.S. for any employer, without the need for sponsorship now or in the future, to be considered for this position.

This role supports a flexible schedule that prioritizes in‑office teamwork, with flexibility for remote work when appropriate.