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Guardian Asset Management

<div>Guardian Asset Management
Job Title: Compliance Officer
Department: Operations
FLSA Status: Non-Exempt
Revision Date: 10/16/2025 

Position Summary:
The Compliance Officer position demands a thorough understanding of legal principles, superior organizational skills, and the ability to operate independently within a fast-paced, professional environment. Primary responsibilities include supporting the company&rsquo;s contract process, supporting regulatory compliance initiatives, and preparing legal responses to inquiries and requests. 

Essential Functions &amp; Responsibilities:
<ul><li>Review, redline, and support negotiation of commercial contracts, including NDAs, vendor agreements, and service contracts.</li>
<li>Manage contract versions, edits, and revisions across all parties with corporate coordination.</li>
<li>Track key contract milestones including deadlines, renewals, obligations, and deliverables.</li>
<li>Maintain organized and up-to-date legal files, databases, and corporate records.</li>
<li>Monitor company and affiliate compliance with applicable laws, regulations, licensing, and internal policies.</li>
<li>Develop, implement, and enhance compliance procedures, internal controls, and audit processes.</li>
<li>Research and resolve routine legal questions or issues, escalating as appropriate.</li>
<li>Prepare internal memos, summaries, and correspondence related to legal matters.</li>
<li>Coordinate with HR, Finance, Corporate Legal, &amp; Operations on cross-functional compliance and legal initiatives.</li>
<li>Serve as onsite representative for corporate transactions, external &amp; internal audits, and due diligence reviews.</li>
<li>Maintain timelines for regulatory &amp; state reporting, including FinCEN, escrow accounting, and related data calls.</li>
<li>Gather and analyze information for management decisions, regulatory filings, or industry research in title, preservation, and appraisal operations.</li>
<li>Address issues related to delayed recordings, file balances, stale checks, reconciliations, policy inventory, audit findings, and risk documentation.</li>
<li>Oversee policy inventory reconciliation and remittance reporting accuracy.</li>
<li>Conduct internal audits for clean desk compliance, IT access logs, communications, and system usage.</li>
<li>Review and update internal policies, procedures, and ALTA Best Practices documentation.</li>
<li>Examine company materials (e.g. publications and advertisements) for potential legal or regulatory implications.</li>
<li>Engage directly with consumers, borrowers, servicing clients, and law enforcement to resolve complaints or escalated matters.</li>
<li>Represent the company in court or local administrative proceedings as directed by corporate legal counsel.</li>
<li>Perform other duties and responsibilities as assigned.</li></ul></div>

Compliance Officer

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Guardian Asset Management

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Compliance Officer