Duties include reviewing audit exception transactions to determine the reason for the exception; document the exception reason; act as the intermediary and help resolve the dispute between two parties based on set guidelines; identify re-occurring reasons for audit exceptions; completing reports and providing administrative support. In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.