Assistant Director of Compliance

Location: Buffalo, NY (In-Person / Hybrid Potential)

The Numbers: $95,000 – $125,000 Base Salary (Commensurate with multi-state regulatory experience)

The Big Picture Our Client is a premier, tech-forward mortgage powerhouse that has been simplifying the homebuying process since 1984. Licensed across 10+ states and driven by constant innovation, they operate with a focus on speed and accuracy. They are looking for an Assistant Director of Compliance who views regulatory oversight not as a bottleneck, but as a Safe Harbor that enables the firm to maintain its competitive edge in a fast-moving market.

The Mission Your goal is to be the Guardian of Procedural Integrity. As the Assistant Director of Compliance, you will support the Director in managing the firm’s regulatory "Skeleton" across multiple states. You will ensure that as the firm scales its proprietary tech and innovative loan programs, its adherence to NMLS, state, and federal mandates remains bulletproof. If you are a compliance professional who thrives on "removing the variables" of risk in a high-volume environment, this is your desk.

The Daily Grind (The Good Kind)

• Regulatory Oversight: Assist in managing the day-to-day compliance program, ensuring all mortgage lending activities align with multi-state and federal regulations.
• Licensing Management: Oversight of NMLS requirements and state-specific licensing renewals for a growing footprint of Loan Officers and branches.
• Audit Defense: Conduct internal quality control audits and prepare documentation for external examinations, ensuring the firm is always "Exam Ready."
• Policy Evolution: Collaborate with leadership to update and implement compliance policies that reflect the latest industry shifts and technological advancements.
• Risk Mitigation: Identify potential "Pattern Loops" in documentation or disclosures and implement immediate corrective actions to maintain organizational stability.

Your Toolkit

• The Battle Scars: 5-7+ years of mortgage compliance experience. You’ve navigated the complexities of TRID, RESPA, TILA, and HMDA across various state jurisdictions.
• Technical Mastery: Deep familiarity with LOS platforms (Encompass or similar) and compliance reporting tools.
• Analytical Rigor: The ability to translate complex regulatory updates into actionable workflows for the front-line production teams.
• Communication Edge: Strong interpersonal skills with the ability to maintain "Safe Harbor" standards while collaborating with fast-paced leadership.

The Payoff

• Compensation Detail: A competitive base salary of $95K – $125K based on your specific regulatory "muscle."
• Stability & Innovation: Work for a firm that has survived every market cycle since 1984 by staying ahead of the technology curve.
• Leadership Path: This is a high-visibility role with a direct impact on the firm's growth strategy and multi-state expansion.

Our Partnership Approach Thank you for trusting Lupton Partners with your career transition. We take immense pride in our work, but our focus is always on the outcome—for both the candidates we represent and the companies we serve. If the first role we discuss isn't the perfect fit, we won't force it. Our goal is to land you in the right place, not just the next place. We also recognize that career changes—even the most exciting ones—come with a side of stress. That’s normal. We’re here to handle the heavy lifting and provide clarity at every step.

What to Expect

• The Introduction Call: This is a high-level chemistry check. We’ll dive into your history, map out your career goals, and get real about compensation and advancement targets.
• Active Searches: We’ll match your story to our clients' needs. We keep compensation targets front-and-center so nobody’s time is wasted.
• Client Submissions: It is our promise that we do not present your name or credentials to clients without clear communication and your explicit permission.
• Interview Feedback: This is where we earn our keep. Call us as soon as you hit the parking lot. If you think you fumbled a question or found a better answer ten minutes too late, let’s talk.
• Background Checks: Transparency wins here. If there’s a potential red flag in your background, drug screen, or credit report, tell us now so we can manage the narrative together.
• Offers: No surprises. We’ll walk through a verbal offer together before the formal letter arrives. Since we align on numbers in our first call, this stage should be a “green light” celebration.

Questions? Reach out anytime.

Travis Lupton Office: 913-521-3303 | Mobile: 913-231-8472

travis@luptonpartners.com