What are the responsibilities and job description for the Regulatory Compliance Specialist position at Swoon?
Regulatory Compliance Specialist
6 month contract with potential to extend/convert
Hybrid - Bellevue, WA
$35/hr
What You Will Do
- Manage state licensing and registrations by overseeing the end-to-end process, including the timely processing of renewals and associated payments in partnership with our Finance team.
- Act as a legal liaison by collaborating closely with financial services attorneys to ensure our licensure is always current and in full alignment with legal requirements.
- Conduct regulatory monitoring by actively checking state agency portals and the Nationwide Multistate Licensing System and Registry (NMLS) to stay ahead of all pertinent notifications, changes, and requirements.
- Master e-submissions by becoming proficient in all electronic submissions for licensed activities, including profile management updates, financial statement submissions, and renewals.
- Provide legal support and analysis by researching and analyzing law sources (statutes, judicial decisions, codes, etcetera) under the direction of an attorney and applying that guidance to licensing matters, while acting as a key point of contact with state agencies.
- Prepare legal documents by assisting attorneys with routine documents such as briefs, pleadings, appeals, or contracts as needed.
- Own system and process by utilizing and maintaining dashboards to track licensing tasks, deadlines, and status details, ensuring predictability, transparency, and accountability across the function.
What You Will Bring
- A minimum of three years of relevant experience in a paralegal, legal analyst, or compliance role, ideally within the financial services industry.
- Proven ability to research and analyze law sources and resolve routine legal issues under attorney direction.
- Demonstrated experience managing common requirements for state licensing and registrations for financial services companies with a strong understanding of NMLS processes.
- Exceptional attention to detail, strong organizational skills, and a commitment to meticulous record retention.
- Comfort and proficiency with electronic submission systems and managing task-oriented dashboards.
- Excellent written and verbal communication skills with the ability to synthesize complex legal guidance into actionable steps.
Salary : $35