Senior Manager, Mortgage Compliance and Risk

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September 26

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Maxwell Capital LLC

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Maxwell Capital LLC is a capital raising firm focusing on private debt and equity capital solutions for corporate and project-level financings in transportation, energy and infrastructure.

1 - employees

📋 Description

• The Senior Manager of Compliance and Risk leads Maxwell Financial Labs’ enterprise compliance and risk management functions, ensuring the company meets all federal and state regulatory requirements while supporting innovation in mortgage technology and lending solutions. This role oversees compliance programs related to real estate–secured, consumer-purpose lending, including NMLS licensing, state regulator interactions, and HMDA reporting. With deep expertise in mortgage compliance, this leader designs and maintains policies, procedures, and monitoring frameworks that mitigate risk, uphold regulatory standards, and promote operational excellence across the organization. The Senior Manager partners with executives, business units, and external regulators to proactively identify risks, implement controls, and drive a culture of compliance and accountability. • JOB DUTIES Manage and maintain the company's compliance management system, including relevant policies, procedures, and internal controls to meet the requirements of regulators, investors, and other stakeholders. Oversee and respond to state and federal examinations with no critical exceptions. Develop and conduct regular risk assessments and compliance audits to identify and mitigate potential areas of non-compliance. Lead a Compliance Committee responsible for monitoring risk, regulatory changes, and operational compliance, and reporting findings to organizational leadership. Direct HMDA compliance and reporting processes, ensuring data integrity and timely submissions. Establish and manage a solution-oriented change management system to monitor, interpret, and implement regulatory changes. Direct the assessment and implementation of necessary compliance-related changes to workflows, with a focus on improving efficiency and reducing violations. Manage the compliance training program, ensuring the completion of all necessary annual training requirements. Determine, procure, and maintain appropriate NMLS licensing for all relevant entities, including managing bonds, insurance, and filings. Oversee and direct the company's compliance culture and standards, reporting to the Executive Leadership Team.

🎯 Requirements

• Expertise in managing compliance systems and staying up-to-date on state and federal regulations. Proficient in conducting risk assessments and audits to proactively identify and mitigate compliance issues. Current experience working with HMDA Skilled in leading and implementing compliance-related projects, including change management and training programs. Experience with real estate secured, consumer purpose lending Experience with NMLS licensing, filings, and managing related administrative requirements. Ability to lead a team, influence company culture, and report findings directly to executive leadership. Strong analytical skills to interpret complex regulations and develop effective, efficient solutions.

🏖️ Benefits

• An opportunity to be a key part of an agile team of thinkers and doers collaborating to change a multi-trillion-dollar industry. We offer meaningful equity at a growth-stage company, a competitive salary, top-tier medical, dental, and vision insurance, and flexible work hours and vacation time. Here are our awesome benefits in black and white: Competitive pay and equity in a fast-growing, venture-backed company Inclusive, employee-first culture Robust benefits including 401(k), premium health plans, and FSA/HSA options for tax-free medical spending. Flexible PTO plus 11 holidays and 2 floating days for personal or cultural observances. Two paid volunteer days each year to support causes you care about.