Job Description

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's contract process, supporting regulatory compliance initiatives, and preparing legal responses to inquiries and requests.

Essential Functions & Responsibilities:

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