Compliance Manager - Transaction & Brokerage Compliance
- Clark, Pampanga, PH
- Full time | Onsite
- Day Shift (TBD)
The Compliance Manager is responsible for the daily review and tracking of brokerage transaction documentation to ensure compliance with New York State law and company policies.
The Compliance Manager plays a critical role in protecting the brokerage and its agents by supporting the brokerage’s regulatory and risk management obligations by ensuring that legally required disclosures, contracts and transaction documents are timely executed, properly completed, and accurately stored within the company’s transaction management and document retention systems.
This is an offshore position supporting U.S. brokerage operations.
Transaction Document Review
Conduct daily review of transaction files to confirm that all required documents have been:
- Properly executed and signed.
- Fully completed.
- Uploaded to the brokerage transaction management platform.
- Uploaded within required timelines.
- Stored in the proper document categories.
Documents reviewed include, but are not limited to:
- Exclusive listing agreements for both sales and rentals.
- Buyer and tenant representation agreements.
- Residential sale transactions.
- Residential lease and rental transactions.
- Commercial sales and leasing transactions.
- Disclosure forms required by law and/or company policy.
- Amendments, riders, and addenda.
- Commission and transaction-related documentation, including invoices, commission breakdowns, referral agreements and the like.
Compliance Tracking & Enforcement Support
- Identify missing, incomplete, or non-compliant documentation.
- Return files to agents or transaction coordinators for timely correction.
- Track outstanding compliance issues until resolved.
- Maintain daily compliance tracking records.
- Escalate unresolved compliance deficiencies when necessary.
Compliance Monitoring & Reporting
- Maintain compliance logs and tracking dashboards.
- Monitor recurring compliance issues or risk patterns.
- Provide weekly compliance status reports to management.
- Identify operational or training gaps contributing to compliance issues.
Compliance Process Improvement
- Assist management in developing and refining compliance checklists and workflows.
- Recommend process improvements to reduce recurring document deficiencies.
- Support implementation of standardized compliance procedures.
Audit & Regulatory Support
Assist management in gathering and organizing transaction records in response to:
- Internal compliance reviews
- Brokerage audits
- Regulatory inquiries
- Licensing or transaction documentation requests
Service Level Standards
- Transaction documents must be reviewed on the same business day whenever possible and no later than 24 hours after upload.
- Compliance reporting is delivered on a weekly basis.
- Compliance deficiencies are communicated promptly to the appropriate parties.
- 2-3 years experience in real estate transaction processing or brokerage compliance.
- Familiarity with U.S. real estate transaction documentation.
- Experience reviewing contracts and transaction files.
- Strong document review and organizational skills.
- Ability to track and follow up on multiple transactions simultaneously.
- High attention to detail and accuracy.
- Ability to communicate compliance deficiencies clearly and professionally.
- Proficiency using document management and transaction platforms.
- Ability to follow defined compliance procedures consistently.
- Experience supporting U.S. real estate brokerages.
- Compliance or document control experience.
- Experience working remotely with U.S.-based companies.
- Familiarity with transaction workflows across residential and commercial real estate.
- Timeliness of document review.
- Accuracy in identifying missing or deficient documentation.
- Reduction in recurring compliance issues.
- Responsiveness in compliance tracking and follow-up.
- Accuracy and usefulness of compliance reporting.
The Compliance Manager reports to:
- Chief Legal Officer.
- Accounting Manager.
The Compliance Manager communicates compliance deficiencies directly with:
- Agents involved in transactions.
- Sales Managers supervising the transaction, with copies to the Chief Legal Officer and Accounting Manager.
- Office Transaction Coordinators.
