Compliance Manager

Our client is a multi-state law firm representing national and regional banks, automobile financing lenders, hospitals, medical service providers and other lenders and financial institutions. Their clients hire them to resolve consumer and commercial debts in a professional and respectful manner.

The Compliance Manager owns the day-to-day operation of the firm’s compliancemanagement system across all states in which the firm conducts collectionslitigation. This is a non-attorney role reporting to the Senior ComplianceAttorney, who retains responsibility for legal interpretation and regulatorypositions. The Compliance Manager translates those positions into monitoring,testing, documentation, and corrective action, and serves as the firm’s primaryoperational point of contact for client audits and examinations.

Successin this role is measured by clean client audit outcomes, defensibledocumentation, timely closure of corrective action items, and early detectionof process breakdowns before a client or regulator finds them.

Client Audits andExamination Response

•     Serve as the firm’s operational lead for creditorclient audits — onsite, remote, and desk reviews — including scheduling,pre-audit questionnaires, document requests, evidence production, opening andclosing meetings, and post-audit follow-through.

•     Maintain a standing audit-readiness file: policies,standard operating procedures, licensing and bonding records, insurancecertificates, organizational charts, training rosters, background screeningattestations, information security documentation, and sample-ready case files.

•     Draft responses to audit findings and negotiatepractical remediation timelines subject to the Senior Compliance Attorney’sreview; own corrective action plans through verified closure.

•     Track findings, root causes, and remediation statusacross all clients in a single register; identify repeat and cross-clientthemes and escalate systemic issues.

•     Complete client compliance questionnaires, annualre-certifications, and ad hoc information requests accurately and on schedule.

•     Prepare recurring compliance reporting packages forclients — complaint logs, dispute activity, quality assurance results, trainingcompletion, and incident summaries — consistent with each client’s scorecardand service requirements.

Internal Quality Assuranceand Call Monitoring

•     Own the quality assurance program for consumer-facingactivity, including call monitoring, correspondence review, and pleadings andaffidavit spot checks.

•     Maintain calibrated scorecards covering requireddisclosures, validation and dispute handling, cease and attorney-representationnotations, bankruptcy flags, payment authorization capture, professionalism,and documentation quality.

•     Conduct monthly calibration sessions with collections,litigation support, and client services managers so scoring remains consistentacross reviewers.

•     Deliver quality assurance results with trend analysisto department managers; recommend coaching, retraining, or process changes andverify that they occur.

•     Investigate consumer complaints, attorney generalinquiries, Better Business Bureau matters, and client-forwarded escalations;document findings, corrective action, and closure within client-mandatedturnaround times.

•     Monitor payment processing and authorization practicesagainst firm policy and applicable ACH and electronic funds transferrequirements; escalate authorization and revocation handling gaps.

Vendor and Process ServerOversight

•     Administer the firm’s third-party oversight program:initial due diligence, risk tiering, contract compliance, and periodicre-vetting of process servers, skip trace vendors, letter and print vendors,payment processors, and court runners.

•     Verify and track process server licensing,registration, bonding, and jurisdiction-specific appointment requirements;maintain an expiration calendar with advance renewal prompts.

•     Audit service of process quality, including affidavitaccuracy and completeness, attempt logs, timestamp and geolocation data whereavailable, and consistency between the affidavit and the underlying attemptrecord.

•     Investigate service challenges, motions to set aside,and defective service allegations; identify vendors with elevated failure ordispute rates and manage performance discussions or removal.

•     Maintain vendor scorecards and conduct documentedannual reviews; confirm that vendors carry required insurance and appropriatedata protection and confidentiality obligations.

Policy, Training, andRegulatory Support

•     Maintain the firm’s policy and procedure library,including version control, annual review cycle, attestation tracking, anddistribution of changes to affected teams.

•     Build and deliver onboarding and annual refreshertraining on consumer protection requirements, firm policy, and client-specificrequirements; maintain auditable completion records.

•     Support the Senior Compliance Attorney in monitoringregulatory and case law developments, state licensing renewals, and changes toclient requirements; convert new requirements into concrete process, system,and training changes.

•     Assist with information security and privacy programtasks, including access reviews, incident documentation, and safeguarding ofconsumer data.

Reporting and Analytics

•     Produce monthly and quarterly compliance dashboards forfirm leadership covering quality assurance results, complaint volume anddisposition, audit and corrective action status, vendor performance, andtraining completion.

•     Pull and validate data from the firm’s case managementsystem to support testing samples, root cause analysis, and client reporting.

•     Recommend system controls, workflow changes, andautomated checks that prevent recurrence rather than relying on detection afterthe fact.

Requirements

•     Bachelor’s degree, or an equivalent combination ofeducation and directly relevant experience.

•     Five or more years in compliance, quality assurance,audit, or regulatory operations within consumer collections, consumer finance,creditor-rights law, or a comparable regulated environment.

•     Two or more years supervising staff or owning a programend to end.

•     Working knowledge of the federal consumer protectionframework applicable to third-party collections, including the FDCPA andRegulation F, FCRA, unfair, deceptive, or abusive acts and practices standards,GLBA safeguards, TCPA, SCRA, and bankruptcy automatic stay requirements.

•     Demonstrated experience managing or supporting client,regulatory, or internal audits, including evidence production and correctiveaction tracking.

•     Strong written communication, with the ability toproduce audit responses, findings memoranda, and policy documents thatwithstand outside scrutiny.

•     Advanced Excel skills and comfort working withoperational data and reporting.

•     Sound judgment and discretion in handling confidentialconsumer and client information.

•     Experience in a multi-state collections law firm or alaw firm serving national creditor clients.

•     Direct experience responding to creditor client auditsfor banks, credit unions, debt buyers, or fintech lenders.

•     Familiarity with Collection Master / CM-SQL or acomparable collections case management platform, including the ability to reador write SQL queries.

•     Knowledge of state debt collection licensing regimesand state-level court and service of process requirements.

•     Familiarity with NACHA operating rules and ElectronicFund Transfer Act requirements as applied to consumer payment authorization.

•     Professional certification such as CRCP, CCCO, CRCM, orCAMS.

•     Experience administering a third-party vendormanagement program.

•     Evidence discipline — treats “documented andverifiable” as the standard rather than “we have always done it that way.”

•     Constructive independence — willing to deliverunwelcome findings to operations leadership and stand behind them.

•     Operational realism — designs controls thatstaff will actually follow at volume.

•     Follow-through — closes items rather thanlogging them.

•     Composure under examination — credible and calmin front of client auditors and examiners.

•     Primarily office-based with standard business hours;occasional extended hours during audits, examinations, and month-end reportingcycles.

•     Client audits are completed via zoom or in the Atlanta, GA office. Possible occasional travel for vendor site visits or industry training.

•     Successful completion of a background check and anyclient-mandated screening or onboarding requirements.

The firm isan equal opportunity employer. This description outlines the general nature ofthe position and is not an exhaustive list of duties; responsibilities may bemodified as business needs require.

Benefits