Aaron Littleton
Argyle
Summary
Accomplished compliance professional with 24 years of experience in the banking and financial services industry, specializing in regulatory compliance, risk management, policy development, and operational oversight. Expertise in analyzing complex regulatory requirements and conducting thorough research to create practical solutions that mitigate risk while aligning with business objectives. Recognized as a subject matter expert in NMLS licensing and regulatory requirements, with extensive experience managing multi-state mortgage lender, broker, branch, and individual licensing, as well as regulatory filings and ongoing compliance obligations across federal and state jurisdictions. Senior executive leader known for driving strategic initiatives and fostering team collaboration, complemented by strong communication skills that build relationships with regulators, auditors, executive leadership, and cross-functional teams.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Senior Vice President – Compliance & Licensing
Ameritrust Mortgage Corporation
Flower Mound, Texas
10.2022 - Current
- Provide strategic leadership for the Company’s compliance, licensing, quality control, and regulatory oversight functions, ensuring a strong culture of compliance and effective risk management across all business channels.
- Built the Company’s licensing and regulatory compliance infrastructure from the ground up, successfully expanding operations into 42 states while leading enterprise-wide NMLS licensing and regulatory registration activities and serving as the subject matter expert for licensing, regulatory approvals, and ongoing compliance obligations.
- Oversee Quality Control operations across Pre-Funding, Post-Closing, and Servicing functions, including risk-based monitoring, reporting, trend analysis, and corrective action management.
- Serve as the principal compliance advisor to executive leadership and business units on regulatory requirements, emerging risks, and industry best practices.
- Direct the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Program, including risk assessments, training, independent testing, regulatory reporting, and Suspicious Activity Report (SAR) oversight.
- Manage regulatory relationships and successfully oversee state, federal, agency, investor, and third-party examinations, audits, and reviews, coordinating responses, remediation efforts, and ongoing compliance initiatives.
Director – Licensing & Exams
Marlin Mortgage Capital, LLC
St. Petersburg, Florida
11.2023 - 08.2024
- Lead enterprise-wide NMLS licensing and regulatory registration functions across multiple regulated entities, various jurisdictions, and business lines within a complex corporate structure, serving as the subject matter expert for licensing requirements, regulatory approvals, and ongoing compliance obligations.
- Manage regulatory relationships and oversee all state, federal, agency, investor, and third-party examinations, audits, and compliance reviews across multiple affiliated entities, ensuring timely remediation, regulatory adherence, and effective risk management.
- Direct the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Program for multiple regulated entities, including risk assessments, employee training, independent testing, regulatory reporting, and Suspicious Activity Report (SAR) oversight.
Vice President – Compliance & Risk
Best Capital Funding
Flower Mound, Texas
11.2020 - 10.2022
- Provide executive leadership and strategic oversight of the Company’s Compliance Management System (CMS), ensuring regulatory compliance, effective risk management, and adherence to federal and state requirements across all business lines.
- Lead enterprise-wide licensing and regulatory registration functions, serving as the subject matter expert for NMLS licensing, regulatory approvals, and ongoing compliance obligations.
- Oversee Quality Control operations across Pre-Funding, Post-Closing, and Servicing functions, driving risk-based monitoring, quality assurance initiatives, corrective action management, and continuous process improvement.
- Serve as the principal compliance advisor to executive leadership and business units on regulatory requirements, compliance risk, emerging industry developments, and best practices.
- Direct the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Program, including risk assessments, governance, training, independent testing, regulatory reporting, and Suspicious Activity Report (SAR) oversight.
- Manage regulatory relationships and lead all state, federal, agency, investor, and third-party examinations, audits, and reviews, ensuring successful outcomes, timely remediation, and ongoing compliance with regulatory expectations.
Vice President – Compliance & Licensing
Accelerate Mortgage, LLC
Plano, Texas
10.2019 - 11.2020
- Provide strategic leadership and oversight of the Company’s Compliance Management System (CMS), ensuring enterprise-wide regulatory compliance and risk management.
- Lead all NMLS licensing and regulatory registration activities, serving as the subject matter expert for licensing, regulatory approvals, and ongoing compliance obligations.
- Serve as the principal advisor to executive leadership on regulatory compliance, compliance risk, and industry developments.
- Direct the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Program, including governance, training, independent testing, regulatory reporting, and SAR oversight.
- Lead all state, federal, agency, investor, and third-party examinations, audits, and regulatory reviews, ensuring successful outcomes and effective remediation.
Compliance Manager
Great Western Financial Services, Inc.
Plano, Texas
09.2017 - 10.2019
- Led and managed the Compliance, Closing Operations, and Vendor Management departments, ensuring operational efficiency, regulatory compliance, and effective risk management.
- Directed enterprise-wide initiatives, including vendor governance, eClosing implementation, advertising and marketing compliance, enterprise risk assessments, and the development of policies, procedures, and controls supporting new products and business initiatives.
- Directed the Bank Secrecy Act/Anti-Money Laundering (BSA/AML) Compliance Program, including risk assessments, training, independent testing, regulatory reporting, and Suspicious Activity Report (SAR) oversight.
- Managed all state, federal, agency, investor, and third-party examinations, audits, and regulatory reviews, coordinating successful responses, remediation efforts, and ongoing compliance initiatives.
Compliance Manager
NTFN, Inc.
Lewisville, Texas
11.2014 - 07.2017
- Oversaw enterprise-wide BSA/AML compliance activities across retail and correspondent lending channels, including fraud investigations, employee training, regulatory reporting, and Suspicious Activity Report (SAR) filings.
- Managed all corporate, branch, DBA, and individual licensing functions across multiple jurisdictions, ensuring compliance with state-specific regulatory and NMLS requirements.
- Directed advertising, marketing, and social media compliance programs to mitigate regulatory risk and ensure adherence to RESPA, UDAAP, TILA, SAFE Act, FCRA, and related consumer protection regulations.
- Served as the primary liaison for state, federal, agency, and investor examinations, audits, and regulatory reviews.
- Conducted enterprise risk assessments covering CFPB readiness, SAFE Act compliance, Anti-Money Laundering, Fair Lending, RESPA, and other key regulatory requirements.
Compliance Officer
Legacy Texas Bank
Richardson, Texas
08.2011 - 11.2014
- Managed compliance operations for the mortgage division, including the review of loan files prior to investor delivery to ensure strict adherence to federal and state regulations, investor guidelines, and internal risk management standards.
- Developed, implemented, and maintained compliance policies, procedures, controls, and monitoring programs to mitigate risk, strengthen operational effectiveness, and support business objectives.
- Partnered with Risk Management, Internal Audit, Servicing, and other business units to identify, investigate, and remediate compliance issues while driving continuous process improvements.
- Conducted risk-based compliance monitoring and assessments across the loan lifecycle to evaluate regulatory compliance, identify emerging risks, and implement corrective actions.
Education
Bachelor of Architecture -
Texas Tech University
Lubbock, TexasSkills
- Strategic leadership
- Strategic planning & execution
- Project management & prioritization
- Regulatory compliance & risk management
- Licensing, audit & regulatory exams
- Operational excellence
- Leadership, communication & stakeholder management
Certification
Certified Anti-Money Laundering Specialist (CAMS)
Timeline
Director – Licensing & Exams
Marlin Mortgage Capital, LLC
11.2023 - 08.2024
Senior Vice President – Compliance & Licensing
Ameritrust Mortgage Corporation
10.2022 - Current
Vice President – Compliance & Risk
Best Capital Funding
11.2020 - 10.2022
Vice President – Compliance & Licensing
Accelerate Mortgage, LLC
10.2019 - 11.2020
Compliance Manager
Great Western Financial Services, Inc.
09.2017 - 10.2019
Compliance Manager
NTFN, Inc.
11.2014 - 07.2017
Compliance Officer
Legacy Texas Bank
08.2011 - 11.2014
Bachelor of Architecture -
Texas Tech University