Compliance Supervisor

The Supervisor, Audit & Compliance is responsible for overseeing a centralized national team that supports audit readiness, regulatory compliance, risk management, operational controls, licensing administration, and customer issue resolution within the [Post Closing] department. This role serves as a key liaison between Operations, Underwriting, State Agencies, Compliance, Legal, and external business partners to ensure adherence to company policies, regulatory requirements, and industry standards.

The Supervisor will lead a team responsible for managing audits, regulatory inquiries, claims and subpoenas, licensing administration, fraud prevention activities, and operational exception management. This individual will drive process improvement initiatives, maintain standard operating procedures, and ensure consistent execution of compliance-related responsibilities across all states and business units.

Essential Duties and Responsibilities

Leadership Responsibilities

• Directly supervise and develop Audit & Compliance team members.
• Establish performance expectations, service standards, and productivity goals.
• Conduct coaching, performance reviews, and career development planning.
• Foster a culture of accountability, compliance, continuous improvement, and operational excellence.
• Partner with cross-functional leadership teams to support organizational initiatives and strategic objectives.

Brand Partnership & Change Leadership

• Partner with brand leadership and key stakeholders to identify compliance risks, operational control gaps, and opportunities for process improvement while ensuring alignment with company standards and regulatory requirements.
• Make recommendations for remediation plans with stakeholder involvement and drive accountability for corrective actions, issue resolution, and audit finding remediation.
• Lead adoption by brand teams of new processes, technology solutions, operational controls, and regulatory requirements to ensure consistent execution and compliance across all business units.
• Serve as a liaison between corporate support functions and brand operations, facilitating communication, change management, and the successful implementation of strategic and compliance-related initiatives.

Audit & Compliance Management

• Coordinate and manage all internal and external audits, including Underwriter, State Regulatory, and operational audits.
• Serve as primary point of contact for audit requests, documentation gathering, issue resolution, and corrective action plans.
• Monitor and track audit findings to ensure timely remediation and closure.
• Maintain audit documentation, reporting, and compliance records.

Regulatory & Licensing Administration

• Oversee individual and business licensing requirements across all applicable jurisdictions.
• Manage notary commission administration, renewals, and compliance monitoring.
• Coordinate regulatory filings and responses, including state insurance department inquiries and TDI filings.
• Monitor regulatory changes and communicate impacts to business stakeholders.

Risk Management & Fraud Prevention

• Supervise FinCEN, OFAC, FIRPTA, fraud prevention, and related compliance processes.
• Ensure appropriate review, escalation, tracking, and resolution of compliance-related alerts.
• Manage OFAC screening exceptions and investigations.
• Oversee underwriting alert bulletin administration and distribution.
• Partner with Legal, Compliance, and Risk teams on investigations and corrective actions.

Claims, Legal Requests & Escalations

• Coordinate claim inquiries, subpoenas, legal requests, and document production activities.
• Ensure timely, accurate, and compliant responses to external requests.
• Maintain records retention and document retrieval processes, including off-site storage and archived file requests.

Operational Controls & Financial Oversight

• Oversee shortage tracking, collection efforts, reimbursement requests, and exception reporting.
• Review trust shortages, operational losses, and root cause analyses.
• Manage over-limit alert investigations and escalation processes.
• Coordinate Gibraltar payment exception reviews and resolutions.
• Research and approve tax payment refund requests prior to issuance.
• Support proofing and virtual closing reconciliation activities as assigned.

Customer Service & Issue Resolution

• Supervise centralized customer service email inbox and phone support functions.
• Oversee escalation management, customer complaints, EMD disputes, and complex issue resolution.
• Ensure service levels and response standards are consistently achieved.

Process Governance & Documentation

• Develop, maintain, and update departmental Standard Operating Procedures (SOPs).
• Identify opportunities for process improvements, automation, and risk reduction.
• Establish controls and quality assurance measures to ensure policy compliance.
• Coordinate reports, dashboards, and management summaries to monitor performance and compliance trends.

Qualifications

• Equivalent combination of education and industry experience may be considered.

Experience

• 5+ years of title, escrow, settlement services, mortgage operations, compliance, audit, risk management, or related experience.
• 2+ years of leadership or supervisory experience preferred.
• Experience working with regulatory agencies, underwriters, auditors, legal teams, and operational leaders.
• Strong understanding of post-closing, title, escrow, and settlement processes.

Preferred Knowledge

• Title insurance operations and underwriting requirements.
• FinCEN, OFAC, FIRPTA, anti-fraud controls, and regulatory compliance standards.
• Audit management and corrective action planning.
• Licensing and notary administration.
• Trust accounting and shortage remediation processes.
• Customer complaint management and escalation resolution.

Key Competencies

• Regulatory Compliance
• Audit Management
• Risk Assessment & Mitigation
• Operational Controls
• Process Improvement
• Analytical Problem Solving
• Leadership & Employee Development
• Communication & Relationship Management
• Conflict Resolution
• Customer Experience Management
• Project Management
• Organizational Effectiveness

Success Measures

The Supervisor will be evaluated on:

• Audit performance and reduction of repeat findings
• Regulatory compliance adherence
• Timely closure of compliance investigations and escalations
• Reduction in operational losses and shortages
• Customer complaint resolution metrics
• Licensing and filing compliance accuracy
• SOP maintenance and process improvement implementation
• Team productivity and service level achievement
• Cross-functional partnership effectiveness

Integrated Services delivers transaction services designed to support the full real estate lifecycle – title and escrow, mortgage, insurance, and home warranty – to deliver a seamless, compliant transaction from contract to close. It combines national strength with local precision, leveraging deep local expertise while being backed by the scale and resources of Compass International Holdings, enabling streamlined, transparent, and efficient support for homebuyers and sellers.Integrated Services operates across all 50 states and is supported by about 3,000 experts across the country. Integrated Services is a subsidiary of Compass International Holdings.

Compass International Holdings is a global real estate services company empowering real estate professionals with everything they need to realize their entrepreneurial potential. With a presence in every major U.S. city and approximately 120 countries and territories, Compass International Holdings serves millions of buyers and sellers through a portfolio of some of the most recognized and iconic brands: @properties, Better Homes and Gardens® Real Estate, CENTURY 21®, Christie’s International Real Estate, Coldwell Banker®, Compass, Corcoran®, ERA®, and Sotheby’s International Realty®. In addition to brokerage services, Compass International Holdings offers integrated services, such as mortgage, title, insurance, escrow, and relocation.

• NYSE: COMP
• 340,000 Real Estate Professionals
• 2,000+ independently owned and operated brokerages
• 120 countries and territories