Compliance Specialist I

Business Unit
United Wholesale Mortgage


The Compliance Specialist I will be a member of the Compliance team, responsible for following defined procedures to complete daily reviews of due diligence testing findings. This will involve working with our Secondary and Risk teams to understand what findings are being presented by due diligence firms and then obtaining documentation or any other missing information to help remediate these findings. Due to the nature of due diligence reviews, there is sometimes slower periods. During these times, this team member will help answer questions that come to the Compliance Helpbox as well as assist with control testing. 


  • Addressing requests within SLA to ensure timely resolution and elite client service
  • Escalating requests as needed to the appropriate team member(s) to ensure proper oversight
  • Conducting process analysis to determine root cause of any issues identified
  • Reviewing daily/weekly reports to identify coaching opportunities for UWM team members, resolve any discrepancies and provide feedback as needed
  • On a quarterly/annual basis assist in the data extraction and review processes associated with filing the Mortgage Call Report and HMDA LAR
  • Proposing solution, and occasionally work with implementation team to remediate issues and test implementationsDiligently follow prescribed processes and document file records in an efficient and effective manner 
  • Using experience to identify opportunities to improve processes


  • Bachelor’s degree, or equivalent experience preferred
  • At least 1 year Mortgage experience is required
  • Experience in Mortgage Underwriting Preferred
  • Organized individual that is capable of managing various projects simultaneously 
  • Communicates effectively verbally and non-verbally, and possess strong technical skills
  • Demonstrated advanced use of MS Office software features and techniques 
  • Onsite attendance is required


Ready to join thousands of talented team members who are making the dream of home ownership possible for more Americans? It’s all happening on UWM’s campus, where our award-winning workplace packs plenty of perks and amenities that keep the atmosphere buzzing with energy and excitement.


It’s no wonder that out of our six pillars, People Are Our Greatest Asset is number one. It’s at the very heart of how we treat each other, our clients and our community. Whether it’s providing elite client service or continuously striving to improve, our pillars provide a pathway to a more successful personal and professional life.


From the team member that holds a door open to the one that helps guide your career, you’ll feel the encouragement and support on day one. No matter your race, creed, gender, age, sexual orientation and ethnicity, you’ll be welcomed here. Accepted here. And empowered to Be You Here.


More reasons you’ll love working here include:

  • Paid Time Off (PTO) after just 30 days
  • Additional parental and maternity leave benefits after 12 months
  • Adoption reimbursement program
  • Paid volunteer hours
  • Paid training and career development
  • Medical, dental, vision and life insurance
  • 401k with employer match
  • Mortgage discount and area business discounts
  • Free membership to our large, state-of-the-art fitness center, including exercise classes such as yoga and Zumba, various sports leagues and a full-size basketball court
  • Wellness area, including an in-house primary-care physician’s office, full-time massage therapist and hair salon 
  • Gourmet cafeteria featuring homemade breakfast and lunch
  • Convenience store featuring healthy grab-and-go snacks
  • In-house Starbucks and Great Lakes Coffee Roasting Company
  • Indoor/outdoor café with Wi-Fi


All the above duties and responsibilities are essential job functions subject to reasonable accommodation and change. All job requirements listed indicate the minimum level of knowledge, skills and/or ability deemed necessary to perform the job proficiently. Team members may be required to perform other or different job-related duties as requested by their team lead, subject to reasonable accommodation. This document does not create an employment contract, implied or otherwise. Employment with UWM is "at-will." UWM is an Equal Opportunity Employer.

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