1. Leads the execution of 2nd line compliance reviews over Areas of Compliance and Controls. Performing these reviews to support ongoing business line compliance with applicable regulations and provide feedback to business owners in support of ongoing compliance efforts.
2. Performs initial planning in support of compliance review scope prior to CRMS test plan input.
3. Perform detailed compliance review tasks, document the results and report to management regarding the adequacy of ongoing compliance efforts.
4. Assist compliance review test plan creation.
5. Assist with the development and oversight of the first line monitoring programs, proactively identify improvement opportunities to support ongoing compliance, monitor testing results, and report results to business owners as appropriate.
6. Prepare and maintain thorough work papers in accordance with department standards.
7. Assist with the preparation of the initial draft reports summarizing compliance review findings in a clear and concise manner following department standards.
8. Assist with the performance of Compliance Issue follow up fieldwork to confirm that 1st line management has taken action to address risks, under limited supervision.
9. Maintain a thorough understanding of state and federal laws and regulations related to credit union compliance.
10. Assist with communicating and drafting reportable issues and Compliance Review and other reports to management, under supervision.
11. Escalate any compliance concerns to Compliance Management for possible corrective action.
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* Minimum 4-year college degree or commensurate applicable work experience.
* Minimum 3 years' experience in regulatory compliance, risk, or internal audit for a financial institution including an emphasis regulatory compliance, project management, customer service, branch operations.
* Minimum 3 year of experience that encompassed monitoring or validation of processes and procedures.
* Knowledge of compliance concepts and practices pertaining to state and federal financial and consumer protection regulations.
* Background in regulatory compliance is required.
* Ability to work with complex risk management databases.
* Good foundation in member service and operational processes.
* Ability to read and interpret documents such as procedures, loan and account documents, and governmental regulations.
* Compliance Certification (or obtained within one year of hire) required; and/or Credit Union Compliance Expert (CUCE), NAFCU's Certified Compliance Officer (NCCO), Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM).
Benefit packages for this role will start on the 1st day of employment and include medical, dental, and vision insurance, as well as HSA, FSA, and DCFSA account options, and 401k retirement account access with employer matching. Employees in this role are also entitled to paid sick leave and/or other paid time off as provided by applicable law.