Compliance Manager/Legal Counsel

Oversee regulatory compliance and mortgage licensing processes for the entire organization. The Compliance Manager/Legal Counsel also provides support for the NACA’s Mortgage Operations and other operations in the areas of:

(i)            contract preparation and approval processing,

(ii)           Regulatory compliance and

(iii)          Corporate record-keeping functions.


  • Reports to the CEO and works closely with NACA’s lawyers, designated outside legal counsel, and various client groups.
  • Oversees company, branch, and individual licensing processes.  Ensure NACA obtains and maintains all necessary licenses in good standing.  Facilitate annual license renewals and all required filings and reports to ensure business continuity.
  • Oversees compliance auditing and assures that it is completed per NACA’s internal policies and in compliance with all applicable federal and state law.
  • Supervise NACA’s 21-day conditional employment program. Provide ongoing training and support for new hires during study period and throughout license application process.
  • Monitors program outcomes and provide regular reports to the CEO.
  • Tracks department progress per established department goals and metrics. 
  • Serves as company regulatory contact.  Respond to regulatory inquiries, examinations, and consumer complaints.  Provide ongoing reports to CEO regarding regulatory activity. 
  • Ensures corporate state and local filings and reports, including Secretary of State filings, mortgage call reports, and annual state reports, are accurate and filed prior to applicable deadlines.  Maintain calendar of required corporate filings.
  • Monitors regulatory changes and ensure NACA’s compliance with such changes.
  • Drafts public comments, open letters, and other positions pieces regarding regulatory and other legal or compliance matters.
  • Provides support and coordination in connection with the documentation of proposals and contracts with customers, host venues, contractors, and suppliers, as well as with various utilities, governmental units and other infrastructure owners. This support includes the maintenance of standard contract forms, preparation of first drafts of contracts based on the forms, checking the assembled proposals and contract document packages and coordinating the processes and procedures for final approval, delivery to the counterparty and execution by the authorized personnel.
  • Participates in and provide support for the development and administration of the contracts and policies database, including generation of summaries of key terms and support for internal communications and reporting to facilitate NACA’s compliance with the terms of executed agreements.
  • Organizes and maintains permanent paper and electronic files and records of all NACA contracts; support the efforts of the legal and finance/accounting teams in establishing and maintaining NACA’s compliance programs, including processes for compliance with all applicable regulations and franchise and other filings and reports.
  • Organizes and maintains permanent paper and electronic files and records of all regulatory filings.
  • Organizes and maintains official corporate records for the Company and its various subsidiaries charters, by-laws, annual reports to jurisdictions, minute books, stock records, etc.
  • Provides ongoing company training on compliance issues.
  • Supervises various projects as directed by the CEO.
  • Provides exceptional customer service to both internal and external customers.
  • Other responsibilities as assigned.