Compliance Manager
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LPT Realty
US
Summary
Lead and develop a team of Compliance Specialists to manage the pre-closing file review process for the brokerage. Ensure all transaction files meet regulatory and internal requirements while driving operational efficiency and continuous process improvement.
Job Description
Job Summary
LPT Realty is seeking a Compliance Manager to lead the brokerage’s pre-closing compliance file review function. This role manages a team of Compliance Specialists and Senior Compliance Specialists who review transaction files prior to closing, ensuring each file meets regulatory and brokerage requirements before it can move forward.
The Compliance Manager owns the brokerage’s pre-close gate-keeping function — confirming a file is compliant and cleared to close — and drives continuous improvement across the compliance review process.
The ideal candidate is a strong people leader who can balance operational oversight with strategic thinking and team development.
Key Responsibilities
Team Leadership & Development
- Lead, coach, and develop a team of Compliance Specialists and Senior Compliance Specialists, fostering a high-performance, accountable culture.
- Conduct performance reviews, deliver ongoing feedback, and manage employee development and career progression.
- Lead team meetings and training sessions to ensure alignment and clarity across the team.
Pre-Closing Compliance Review
- Manage day-to-day workflow distribution, ensuring timely pre-closing file review and appropriate prioritization of tasks.
- Establish and monitor performance metrics, ensuring service levels, quality standards, and turnaround times are consistently met.
- Serve as the final escalation point for complex or high-risk compliance issues identified during file review, providing decision-making and guidance.
- Ensure team adherence to all applicable real estate regulations and internal policies when clearing files to close.
- Own and continuously improve pre-closing compliance processes, workflows, and operational efficiency.
- Oversee audits, regulatory reviews, and internal quality assurance initiatives.
Cross-Functional Partnership & Reporting
- Partner with cross-functional teams, including Commission Operations, to ensure a clean handoff of cleared files into post-close processing.
- Monitor compliance data and reporting to identify trends, risks, and opportunities for improvement.
Qualifications
- Proven experience in real estate compliance, file review, brokerage operations, or transaction management.
- At least 3–5 years of relevant experience, with 2+ years in a people management role preferred.
- Strong understanding of real estate regulations (multi-state experience highly preferred).
- Demonstrated success managing teams, driving performance, and improving processes.
- Excellent leadership, communication, and interpersonal skills.
- Strong analytical and decision-making abilities, particularly in complex or high-risk scenarios.
- Experience with Dotloop or similar transaction management platforms.
- Ability to manage competing priorities in a fast-paced environment.
- Real estate license preferred.
