Description: Our client is currently seeking a Senior Compliance Auditor to work hybrid in Sacramento, CA.
This job will have the following responsibilities:
Assist with the development and maintenance of the Credit Union's Compliance Monitoring Program.
Review and approve work completed by Compliance Specialists.
Maintain a thorough understanding of state and federal laws and regulations related to regulatory consumer protection compliance
Promote compliance awareness across the organization by establishing and maintaining relationships with key business lines and functional stakeholders.
Analyze testing results to identify trends/anomalies, provide feedback and suggestions on potential process enhancements to improve business unit compliance.
Make recommendations to management regarding policies, procedures and/or controls to improve ongoing compliance efforts.
Assists responsible management in addressing exceptions from audits, reviews, or examinations.
Responsible to review all work papers to ensure documentation is in accordance with department standards to support compliance monitoring functions and conclusions.
Conduct second line Compliance Reviews according to schedule to support ongoing business line compliance with applicable regulations and provide feedback to business owners in support of compliance efforts.
Qualifications & Requirements:
EDUCATION: bachelor's degree in business administration or associate degree
coupled with commensurate experience in business communications, analysis
and/or regulatory compliance
EXPERIENCE: Minimum of five years' experience in regulatory compliance, risk, or internal audit for a financial institution including an emphasis on regulatory compliance, project management, customer service, branch operations, complaint resolution, and problem-solving.
A background in regulatory compliance would be helpful but is not required.
Knowledgeable of compliance laws, rules, regulations (with a special emphasis on consumer protection regulations), and procedures.
Strong foundation in credit union philosophy, member service and operational processes.
LICENSES / CERTIFICATIONS:
Certified Internal Auditor (CIA) or equivalent preferred. 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), Certified Public
Accountant (CPA).
Contact: slee@judge.com
This job and many more are available through The Judge Group. Find us on the web at www.judge.com
