Compliance Manager

JOB DESCRIPTION 

Position: Title: Compliance Manager 

Reports to: Managing Broker & Designated Broker 

Compensation Status: Full-Time 

COMPANY INFORMATION: 

North&Co. is a local residential real estate brokerage in the heart of Arcadia, one of Central Phoenix’s hottest neighborhoods. North&Co. has approximately 275 licensed agents, who primarily work inside the boundaries of Maricopa County. The company is known for its local, grass-roots, boutique operation that exclusively supports full-time, productive, specialized, and professional sales agents. 

EMPLOYMENT VALUE OFFERING: 

North&Co. has designed an employee model to evolve the traditional workforce dynamics. North&Co. seeks independent and innovative self-starters who enjoy the excitement and pace of an entrepreneurial start-up environment with the security and structure of a customary operational infrastructure. Each employee at North&Co. is encouraged to manage and lead their department to optimize their unique skills and abilities to support their career growth goals. 

POSITION SUMMARY: 

The goal of this position is to best assist the North&Co. office and its dedicated broker team (encompassing the Designated Broker, Managing Broker & Compliance Manager) with industry and company compliance. This position will assist our Managing Broker in maintaining order with file compliance, risk management, and production audits. The primary function of this role will include daily audits of all new contracts and files being uploaded into SkySlope (the current transaction document management system). The secondary function of this role is to help track both conduct and compliance with industry licensing, renewals, CE requirements, and transactional standards as well as the adherence to company standards and expectations per company agreements. The goal for this position is to take ownership of the daily, weekly, and monthly activities that maintain a healthy and exceptional state of productivity, compliance, and risk management. Opportunities for future internal growth and advancement. 

PRIMARY FUNCTIONS & RESPONSIBILITIES: 

Company Tasks: 

• Maintain a running log of all files audited as required by the AZ Department of Real Estate. ● Audit all files in Skyslope including listings, sales and rentals, and all property and sales types.
• Send outbound communication to agents regarding revisions or other issues with their files until a proper resolution of the issue is completed. 
• Manage and edit file checklists in Skyslope as required. 
• Adhere to company processes for each type of transaction (resale, new sale, wholesale, short sale, REO, etc). ● Review and revise department ‘canned responses’ for SkySlope file review as required. ● Create compliance reports and analyses for improved efficiency.
• Assist in processing closing packages/commissions/daily deposits for agent payroll. 
• Fully crossed trained in various Broker & Accounting tasks
• Assist in answering agent questions on the North&Co. Broker Hotline

QUALIFICATIONS: 

Skills & Abilities: 

• Must possess the skill, ability, and desire to maintain a rigorous and organized ‘file review’ system 
• Must be thorough and have attention to detail 
• Likes to work solo for blocks of time 
• Must have strong written and oral communication 
• Must be a self-starter 
• Willing to follow a process (and improve as appropriate) 
• Must follow weekly/monthly tracking and reporting 
• Must be organized and highly responsive to daily activities and tasks 
• Must have phenomenal follow-up and follow-through 
• Must be able to hold others accountable for following protocol and quickly identify any issues needing to be escalated 
• Requires a friendly and can-do attitude with staff and sales agents 
• Must have the ability to work with multiple people and projects at one time 
• Must have the ability to comprehend and carry out instructions 
• Must have the ability to read, write, speak, and hear English 

Experience & Education: 

• Active Arizona Real Estate Broker license 
• Ideal Candidate has a minimum of 3 years of experience in real estate sales or transaction management 
• Previous experience with compliance & contract review and Broker office experience a plus

Physical Requirements: 

• Requires the ability to bend, stoop, lift, and carry items up to 25 pounds 
• Requires the ability to sit at a desk for long periods of time 
• Requires the ability to stand for long periods of time 

Disclaimer: These requirements are representative, but not all-inclusive, of the 

responsibilities, knowledge, and ability required for this position.

RELATIONSHIPS: 

Internal – Contacts you need to carry duties, interact with, etc.:

1. Owner & Founder 

2. CEO 

3. CFO/COO 

4. Designated Broker 

5. Managing Broker 

6. Sales Agents 

7. Transaction Management Team 

External – Outside the company, i.e., members, organizations, vendors, etc.

1. Ancillary partners, such as title, escrow, and mortgage