• Responsible for overseeing and supporting the Company’s state and federal regulatory reporting obligations. • Ensures the accurate, timely, and compliant preparation and submission of required reports, including but not limited to HMDA and NMLS Mortgage Call Reports. • Supports regulatory examinations, data governance, reporting controls, and ongoing monitoring of reporting requirements across jurisdictions. • Coordinates preparation, validation, and submission of state and federal regulatory reports, including HMDA Loan Application Register and annual submission, NMLS Mortgage Call Reports, and State-specific periodic reports. • Maintains reporting calendars and ensure timely submissions across jurisdictions. • Monitors regulatory changes impacting reporting requirements and implement updates as needed. • Oversees HMDA data integrity, validation, and reconciliation processes. • Coordinates cross-functional data collection with Operations, Servicing, Secondary, and IT. • Reviews edit checks and resolve data discrepancies prior to submission. • Supports annual HMDA submission and respond to CFPB or state regulator inquiries. • Maintains documentation evidencing HMDA data governance controls and methodologies. • Coordinates completion and submission of quarterly and annual MCR filings through NMLS. • Reconciles financial and loan activity data in partnership with Finance and Accounting. • Ensures narrative responses and required attestations are completed appropriately. • Maintains documentation supporting MCR data inputs and assumptions. • Develops and maintains reporting procedures, data dictionaries, and methodology documentation. • Establishes and monitors reporting controls to ensure accuracy and completeness. • Conducts periodic internal reviews of reporting data. • Identifies and escalates reporting risks, trends, or inconsistencies. • Supports state and federal examinations related to regulatory reporting. • Provides requested documentation and explanations regarding HMDA, MCR, and other filings. • Drafts written responses to regulator inquiries. • Maintains centralized documentation within governance systems.

• Review and approve new investment accounts • Review and approve advertising and marketing materials as necessary • Review email and correspondence as necessary • Conduct branch examinations as assigned • Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries. • Support the Broker-dealer and RIA Chief Compliance Officers on projects as assigned. • Assist management and other compliance personnel with the completion of various projects and testing. • Other duties as assigned.

• Drive and support ATO readiness efforts across NIST 800-53, CMMC, and SOC 2 frameworks, focusing heavily on hands-on control implementation and evidence generation. • Prepare, manage, and maintain ATO package documentation (SSPs, POA&Ms, and supporting artifacts), ensuring continuous accuracy, completeness, and audit-readiness. • Coordinate seamlessly with external consultants and assessors, integrating their feedback into remediation strategies and documentation updates. • Proactively track remediation progress and control gaps, escalating blockers and risks as needed. • Draft, refine, and operationalize robust security policies, procedures, and standards aligned with applicable regulatory frameworks. • Ensure controls are comprehensively documented with clear ownership, concrete implementation evidence, and recurring review cycles. • Partner with Technology, Product, and Operations teams to seamlessly embed compliance requirements into existing workflows and toolsets. • Manage and maintain the POA&M, driving the timely closure of identified gaps in tight coordination with system and control owners. • Support ConMon activities, including meticulous log reviews, control validation, and recurring evidence collection. • Assist with risk assessments, vendor security reviews, and the tracking of corrective actions. • Maintain a state of ongoing audit preparedness through disciplined recordkeeping and strict process adherence. • Serve as an approachable, knowledgeable compliance champion for Engineering, Infrastructure, and Operations teams. • Translate rigid control requirements and framework language into clear, practical guidance that business owners can easily act on. • Facilitate collaborative working sessions with system owners to gather evidence, clarify control expectations, and resolve complex implementation questions. • Communicate clearly and frequently on status, timelines, and open items to ensure stakeholders remain aligned.

Role Description The Compliance & Records Specialist is a critical role in our team at LeGate Real Estate. The successful applicant will be responsible for managing company records, ensuring regulatory compliance, implementing records retention schedules, and assisting with other related tasks to guarantee the smooth running of the organization. - Oversee the maintenance and management of all company records, both digital and physical, in compliance with legal and business requirements. - Implement records retention schedules, factoring in the needs and constraints of the organization, and the legal requirements related to the types of documents. - Monitor regulatory changes that could affect the organization's records policies and procedures, and ensure that all practices are kept up-to-date and in full compliance. - Conduct periodic audits to ensure that records are accurately classified and stored, access controls are satisfactory, and destruction procedures are followed accurately. - Coordinate with other departments to ensure that all records are properly processed and disposed of in accordance with regulations and company policies. - Interface with legal counsel and other relevant parties to handle any records requests, litigation holds, or other inquiries related to the organization's records. Qualifications - Bachelor's degree in Business Administration, Law, or a related field. - Prior experience in a similar role dealing with records management and regulatory compliance. - Familiarity with local, state, and federal laws related to recordkeeping practices. - Comprehensive understanding of modern electronic information systems, databases, and recordkeeping systems. - Strong written and verbal communication skills, and the ability to liaise effectively with different stakeholders in the organization. - Excellent planning, organization, and problem-solving skills. Benefits - Competitive compensation package in line with the industry standards. - Insurance coverage including health, dental, and vision. - Opportunity to be a part of a dynamic, growth-oriented team. - Continual professional development opportunities and the ability to take on increasing responsibility as the company grows. - Flexible work schedule to ensure work-life balance. - Mentorship from seasoned professionals in the field. Company Description In short, a role with LeGate Real Estate as a Compliance & Records Specialist offers an exciting opportunity to play a pivotal part in an organization, where your skills and experience will make a significant impact. We look forward to hearing from all interested parties who meet the above criteria.