Compliance Audit Analyst
ALCOVA Mortgage
Roanoke, VA US
Posted ago
ALCOVA Mortgage

The Compliance Audit Analyst performs compliance monitoring and testing of various Company processes and on-site branch audits. The Compliance Audit Analyst must be resourceful, a good problem solver, and organized. Because this position requires travel, a clean driving record is essential.


  • Branch Audits - Performs on-site Branch audits on a regular basis which requires overnight, out of state travel.
  • Compliance Monitoring and Testing - Performs compliance monitoring and testing as required by the Compliance Calendar including, but not limited to, Internal Policy Reviews required by regulations and investors. Perform compliance pipeline monitoring and contact process owners for loan file resolutions.
  • Internal Audit – Assists in the performance of the annual SAFE Act Review and other internal audits as required by the Internal Audit Calendar.
  • Turndown Processing – Manages Adverse Action Processing Requests submitted by operational personnel.
  • Vendor Due Diligence – Performs all vetting activities as directed by the VP for:
  •        Attorneys for Portfolio Loan Foreclosures
  •        Investors
  •        Medical Coverage Providers
  •        MI Companies
  •        Secondary Marketing Brokers
  •        Service Providers & Vendors
  •        Warehouse Lines
  • Defer exceptions to the Audit & Fair Lending Manager.
  • OFAC Compliance – Performs bi-annual OFAC screening of loan servicing portfolio. Perform OFAC screening of vendors.
  • Small Communities Appraiser Reviews – Perform monthly review of internal selection process for Appraisers performing services in small communities.
  • Marketing Services Agreements – Coordinates with BPs for monthly audits and tracking of renewal requirements. Prepares renewal contracts for review by the Audit and Fair Lending Manager.
  • FHA Advertising Checklist – Performs monthly audit of FHA Advertisement checklists submitted by Marketing.
  • BP Checklists – Coordinates quarterly process with BPs for completion of BP Checklists
  • New Branches – Provides all necessary Compliance posters and Notices to new Branches.
  • Exam / Audit Activities – Assists VP with research pertaining to the remediation of exam findings. 
  • Policy and Procedure Development - Assists in the development of internal policies and procedures that pertain to this position.


  • Four-year college degree and two-year compliance-related work experience preferred. Combination of education and related work experience may be considered.
  • Knowledge of regulatory compliance is desired. Compliance or BSA certification is preferred.
  • Requires effective communication skills, both verbal and written.
  • Requires exceptional organizational skills and strong attention to detail.
  • Proficient with Microsoft Office (e.g., Word, Excel, Outlook).
  • Strong aptitude and desire to provide excellent customer service.
  • Ability to simultaneously manage and accomplish multiple tasks/projects and deadlines.
  • Trustworthy, honest, and display a high level of integrity.
  • Ability to work effectively in a team environment.
  • Ability to identify and resolve problems in a timely manner.
  • Able to understand and respond appropriately to basic inquires.
  • Able to read, write, and communicate using the English language sufficient to perform job functions.
  • Ability to use Company equipment in assigned area (including but not limited to telephone, copiers, fax machines, computers, internet, etc.).
  • Able to access, input, retrieve, and interpret information using applicable computer systems (including, but not limited to, Microsoft Word, Excel, Outlook, industry-specific computer software, etc.).
  • Works well independently.
  • Able to handle deadlines and working within company guidelines.
  • Compliance with all Bank Secrecy Act (BSA), Anti-Money Laundering (AML) laws, and Office of Foreign Asset Controls (OFAC) requirements is required. Employee must complete annual training in these areas.

About ALCOVA Mortgage

Most companies start with a business plan. ALCOVA Mortgage started with a friendship. Bound by common background and inspired by a passion to serve, childhood friends Bobby Nicely, Billy Siple and Rob Lindstrom dreamed of one day starting a business.

In 2003, the trio joined together to establish a mortgage company—ALCOVA—an acronym for Alleghany County, VA, in honor of their roots.

In 2012, ALCOVA Mortgage made its debut on the Inc. 5000 list of fastest-growing private companies in the United States and has been recognized every year since. The company’s phenomenal growth of 96% in three years propelled it into the league of such legendary businesses that gained notoriety on the prestigious list as Dell, Microsoft, LinkedIn, Pandora, Timberland, Zillow, Yelp, and Domino’s Pizza.

Today, ALCOVA continues to thrive, largely because of its roots in a friendship and the passion to serve.

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