Senior Regulatory Compliance Analyst

14 Nov, 2021


Senior Regulatory Compliance Analyst

Mayer Brown
Washington, DC


Mayer Brown LLP is a leading global law firm with offices in 26 key business centers across the Americas, Asia, Europe and the Middle East. We are a collegial, collaborative and diverse firm where highly motivated individuals with an unwavering commitment to excellence receive the opportunity, support and development they need to grow, thrive and realize their greatest potential.

If you enjoy working with team members whose defining characteristics are achievement, initiative, professionalism, responsiveness and adaptability, you may be the person we are seeking to join our Financial Services Regulatory department in Washington, DC as a Senior Compliance Regulatory Analyst. Candidates located in our other US office locations will also be considered.


This Senior Regulatory Compliance Analyst will be responsible for obtaining nationwide licensing approvals with state and federal governments for clients to engage  in mortgage banking, brokering, servicing, debt collection, consumer finance, reverse mortgage and money transmitter business activities. 


Essential Functions:

  • File renewals, annual reports and Mortgage Call Reports for mortgage banking and consumer finance activities
  • Reviews and analyzes business activities to determine appropriate license requirements by state
  • Prepares licensing summary charts for tracking status of filings with state and federal agencies
  • Reviews corporate information and business activities; populate company data for Nationwide Multi-State Licensing System  (“NMLS “) record; prepare license applications for state licensing incorporating client information and business activities conducted by state 
  • Coordinates personal disclosure filings for natural person investors involving non-personal public information and highly sensitive biographical and financial data
  • Prepares letters, list of enclosures and exhibits to accompany license applications for submission to state agencies via the and outside the system
  • Contacts state regulators to obtain approvals, monitor status of filings and seek clarification on position or policy of state agency
  • Researches statutes and regulations under mortgage banking and consumer finance laws and summarize findings in written format, i.e. charts, letters, email or memorandum
  • Tracks legislative updates under mortgage banking and consumer finance laws and prepare summaries of changes for distribution to licensing group 
  • Participates in IDWG with CSBS for NMLS updates.  Participate in system training and user testing for NMLS updates
  • Independently manages projects, takes lead on status calls and reports to Licensing Manager, Government Affairs Advisor and Partners in charge of licensing who oversee the project
  • Requires direct contact with clients with limited supervision on a variety of matters provided that attorney is present or participating in discussions involving legal advice



  • Bachelor’s degree in a related field.  An equivalent combination of education and/or experience may be considered in lieu of the degree when the experience has been directly related to the functions of the job

Professional Experience: 

  • Minimum 5 years of related experience required

Performance Traits

  • Strong written and verbal communication skills, able to communicate effectively and in a professional manner with all levels of the Firm and outside vendors
  • Ability to work in a diverse team environment and effectively support the demanding needs of the Firm
  • Ability to work under pressure, meet deadlines with shifting priorities
  • Must be a self-starter with a high level of initiative
  • Strong customer service skills, able to anticipate needs and exercise independent judgment
  • Strong attention to detail, organizational skills and the ability to handle multiple projects
  • Maintains confidentiality and exercises discretion
  • Exercises solid strategic thinking and problem-solving skills
  • Interpersonal Skills –strong customer service and team player skills to ensure that customers are assisted in a friendly and professional manner, and collaboration, flexibility, efficiency are applied.  Consistently exercise discretion and sound reasoning abilities
  • Knowledge of the relevant nationwide statutes and regulations applicable to licensing is necessary
  • Quality Control – monitor own work to ensure high quality standards are met
  • Demonstrated administrative skills necessary for effective oversight of projects, including coordination of work/processes, and the ability to listen and counsel while demonstrating confidentiality and resourcefulness


We offer competitive compensation and comprehensive benefits, including medical/dental/vision/life/and AD&D insurance, 401(k) savings plan, back-up childcare and eldercare, generous paid time off (PTO), as well as opportunities for professional development and growth. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Learn more here

Job posted: 2021-11-14