Posted in Management 3 days ago.
Type: Full-Time
Location: GOSHEN, Indiana
As a Compliance Specialist II, you will be responsible for performing a variety of functions in support of the Credit Union's compliance program focusing on compliance governance and oversight to the credit union's functional areas. Assists in implementing and executing the compliance program to ensure the credit union complies with all applicable state and federal laws, rules, regulations and regulatory guidelines. Role has advanced regulatory knowledge to handle complex compliance related matters. Perform compliance reviews and provide compliance support to all departments within the credit union, minimizing the potential for compliance issues. Accountable for staying abreast on current and future compliance requirements, inform stakeholders of compliance changes and weaknesses within the credit union departments.
Direct Reports: None
HOW YOU WILL MAKE AN IMPACT
- Serves as a resource to employees for questions relating to compliance; handles moderately complex or escalated matters within a timely manner. Assists the compliance and risk management teams with ensuring the credit union is operating within established risk tolerances and in compliance with its outside regulatory requirements and internal policies. Maintains an understanding of state and federal laws, rules, regulations, and regulatory guidelines affecting the financial services industry. Performs regulatory compliance research as directed. Identifies potential weaknesses, escalates risk concerns to ensure timely response and remediation. Provides compliance information and support to all departments within the credit union.
- Performs internal compliance reviews and testing activities, as directed; identifies potential areas of compliance vulnerability and risks; collaborates with teams, provides guidance, and escalates concerns to ensure timely response and remediation. Presents findings and responses to the Compliance Officer for review, consideration, and reporting to management. Assisting with marketing compliance reviews.
- Continue to strengthen the credit union's compliance management program in accordance with initiatives outlined in the ERM Strategic Plan. This includes promoting a risk-based culture of compliance. Under the direction of the Compliance Officer, assists in the development of and conducts compliance training for new and existing staff on an ongoing basis. Provides leadership and training to less tenured compliance staff. May assist compliance team in the day-to-day administrative support, monitoring and reporting of the credit union's complaint management program.
- Assists in the development and maintenance of the regulatory compliance related policies, procedures, risk assessment and overall programs. Works with ERM teams to provide required information/records to internal and external auditors and examiners during examinations and audits. Assists in the remediation of any compliance issues identified or as directed.
- Maintains industry knowledge by attending educational workshops, webinars and training opportunities offered through a variety of resources, such as trade associations, vendors, and the credit union's learning management system.
-- Must comply with all company policies and procedures, applicable laws, and regulations, including but not limited to, the Bank Secrecy Act, the USA PATRIOT Act, and the Office of Foreign Assets Control.
WHAT YOU WILL NEED TO SUCCEED
Experience
3+ years' experience in risk management or compliance within the financial industry.
Education / Certifications / Licenses
Bachelor's degree in Business Management, Business Administration, or related field. (Will consider additional years of experience in lieu of education requirement). CRCM Certification or comparable certification is also required.
PREFERRED SKILLS
INTERPERSONAL SKILLS
COMPETENCIES
ADA REQUIREMENTS
Physical Requirements
Working Conditions
Mental and/or Emotional Requirements
ACKNOWLEDGEMENT
Nothing in the position description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. This Job description is not a contract and should not be constructed as a guarantee of employment for any period of time. Interra Credit Union is an Equal Opportunity Employer and does not discriminate against employees or applicants based on race color, religion, sex/gender, national origin, disability, age, or any other category protected by law.
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