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Years of Experience
Date Last Verified
ProfileVice President / First Vice President, Enterprise Compliance Duties: Keep abreast of, monitor and analyze developing trends and changes in regulatory compliance, laws, rules and regulations, and advise management of the operational impact of such trends and changes. Analyze and provide written responses to proposed new regulations and/or amendments to existing regulations within allowed time frames established by the regulatory agencies. Informs Senior Management of proposed regulations that may affect their area of operation. Acts as a resource and subject matter expert to credit union personnel for questions regarding regulatory issued for daily operations and development of new products and services. Responsible for ensuring that regulatory changes/updates for the Agreements & Disclosures Booklet (Share Accounts, Truth in Savings, Electronic Services) are clearly documented and communicated on a timely basis to Corporate Communications. Work closely with Management to develop, and revise products, services, forms and disclosures. Review new advertisements for adherence to compliance laws and regulations prior to publication. Know and understand the laws and regulations that apply to the daily operations of the Credit Union, monitoring professional publications, performing independent research, interacting with networks of legal and compliance experts, and performing various other duties to stay abreast of changes to applicable law and regulations. Develop written compliance policies and procedures to implement new laws and/or regulations and the revisions to existing policies and procedures made necessary due to changes in the regulations or in Credit Union procedures. Act as a back-up to the BSA Officer in his/her absence. Identifies and recommends changes, new procedures and techniques to eliminate potential weaknesses in policies, practices and procedures or operations as they relate to compliance risk. Facilitates dialogue with examiners and auditors to ensure credit union personnel and examiners/auditors are providing effective, accurate, efficient work and applicable scope is maintained throughout the examination/audit process.
Qualification and Experience
Qualifications: Bachelor's Degree or equivalent combination of relevant work experience and education. Masters or JD degree preferred. Certifications should include: CUCE, NCCO (or banking equivalent), ACAMS, CRCM, ABA Certificate in Lending Compliance plus the Certified Anti-Money Laundering Specialist 10-15 years of relevant experience in a financial institution 5 years of Lending Compliance highly desirable Proficient computer skills: Microsoft Word, Excel, Outlook and PowerPoint. Experience with Credit Union operating areas, functions, products and services, and the laws and regulations that apply to Credit Unions. Must have excellent verbal and written communications skills Proficient computer skills: word processing, spreadsheet, email and presentation software; Microsoft Word, Excel, Outlook, PowerPoint and Binder. Ability to communicate with all levels of volunteers, management, and staff and to use active listening, facilitation, and mediation techniques. Ability to perform research and comprehensive and objective analysis.
Tracking Code: 30816