RoleResponsible for performing the necessary functions to support and maintain the company’s regulatory, legal, and policy compliance.
Supports compliance staff as needed.Major Duties and ResponsibilitiesAssists with the implementation of a comprehensive compliance program to ensure conformity with federal and state laws and help coordinate compliance audits and organization examinations.Stay familiar with the impact of any new laws and regulations, or amendments to existing regulations, on current operations and new products and services.
Clearly communicates such impact to the department head.Acts as a resource to personnel for questions regarding regulatory issues.
Assists with the development of a Compliance Resource site for easy access by staff.Assists with the review of all company forms, disclosures, member publications, advertisements, and the website to ensure compliance with regulations.Performs the review of system programming/software changes and provide input as to the affect the change has on ensuring compliance with regulations.Assists with the monitoring of compliance-related procedures to insure procedures are being followed and forms are being used properly.
Assists in training personnel on the policies and procedures.Supports external compliance examinations and audits through gathering necessary information.Must comply with all company policies and procedures, applicable laws and regulations, including but not limited to, the Bank Secrecy Act, the Patriot Act, and the Office of Foreign Assets Control.
ExperienceTwo to Five years of similar or related experience, including time spent in preparatory positions.Education/Certifications/LicensesAssociation certifications such as CUNA, NAFCU, and ACAMS preferred.
A high school degree or GED is required.Interpersonal SkillsCourtesy, tact, and diplomacy are essential elements of the job.
Work involves personal contact with others inside and/or outside the organization, generally regarding routine matters for purposes of giving and obtaining information, as well as advising or referring, which commonly require shorter discussions.Other SkillsStrong written communication skills.Physical RequirementsPerform primarily sedentary work with limited physical exertion and occasional lifting of up to 10 lbs.
Must be capable of climbing / descending stairs in emergency situation.
Must be able to operate routine office equipment including telephone, copier, facsimile, and calculator.
Must be able to routinely perform work on computer for an average of 6-8 hours per day, when necessary.
Must be able to work extended hours whenever required or requested by management.
Must be capable of regular, reliable and timely attendance.Working ConditionsMust be able to routinely perform work indoors in climate-controlled shared work area with minimal noise.Mental and/or Emotional RequirementsMust be able to perform job functions independently or with limited supervision and work effectively either on own or as part of a team.
Must be able to read and carry out various written instructions and follow oral instructions.
Must be able to speak clearly and deliver information in a logical and understandable sequence.
Must be capable of dealing calmly and professionally with numerous different personalities from diverse cultures at various levels within and outside of the organization and demonstrate highest levels of customer service and discretion when dealing with the public.
Must be able to perform responsibilities with composure under the stress of deadlines / requirements for extreme accuracy and quality and/or fast pace.
Must be able to effectively handle multiple, simultaneous, and changing priorities.
Must be capable of exercising highest level of discretion on both internal and external confidential matters.