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Do Not Be Influenced by Others’ Negative Opinions of You
Public Interest
Attorney
Finance - Banking
Min 5 yrs required
Senior Vice President - Compliance The candidate will work with department heads to ensure the Credit Union's compliance with all applicable federal and state laws and regulations by identifying risks and emerging issues pertinent to the Credit Union's products and services. Will also serve as the Credit Union's Compliance Officer and designated Bank Security Act (BSA) Officer, assist in the preparation of new policies and procedures and review and update current operational and departmental policies and procedures as needed. Participate in the quarterly meetings of the Board of Director's Compliance Committee, by informing the Committee of compliance related matters and facilitate the development of related policies for review and recommendation to the full Board for approval. Maintain current and complete knowledge of regulatory and legal directives relating to Credit Union operations, products, and services. Serve as the Credit Union's Compliance Officer and designated Bank Secrecy Act (BSA) Officer. Evaluate the Credit Union's programs and practices to ensure compliance with applicable laws and regulations. Work with Credit Union staff in the development and implementation of appropriate internal controls, policies, procedures, and practices. Act as the Credit Union's primary regulatory compliance resource and contact with respect to its state and federal financial regulatory agencies, outside auditors, outside legal counsel, and external compliance group. Conduct periodic management compliance committee meetings and coordinate employee-training sessions for compliance as needed. Perform and facilitate necessary monitoring, tracking and reporting requirements to support the Credit Union's compliance with applicable laws and regulations. Oversee the administration of monitoring tools (WolfPAC Compliance Risk Module). Work in conjunction with department heads to prepare or revise policies and procedures as needed. Review existing operational and departmental procedures on an annual basis with department supervisory personnel to ensure that they reflect functions performed and to ensure regulatory compliance. Review existing policies and procedures to ensure that they are up-to-date and compliant with any material changes in applicable laws and regulations. Investigate complaints of non-compliance as needed or as requested by Senior Management and oversee the administration of the complaint management program as a member of the complaint management team. Review new product and service procedures for compliance with applicable state and Federal laws and regulations. Review proposed new products and services for purposes of determining legal and regulatory compliance requirements applicable to their features. Review marketing initiatives and materials and give advice with respect to legal and compliance requirements. In conjunction with the Internal Auditor and department heads, develop and implement various risk assessments for the Credit Union and the related policies and procedures. Supervise support staff of Compliance Department. Coordinate and oversee the development, implementation, and administration of the Credit Union's BSA/AML program to ensure compliance with all requirements. Coordinate and monitor the Credit Union's compliance with the applicable BSA/AML and OFAC statutory and regulatory requirements on an ongoing basis. As the designated BSA Officer, attend BSA/AML/OFAC-related training on at least an annual basis. Must have Undergraduate degree in business-related field such as accounting, finance, or business. Advanced degree or JD preferred. Should have 5+ years of legal/regulatory/compliance experience in a financial institution (successful experience in managing/overseeing areas of BSA/AML and OFAC compliance). Deadline: 28 August 2018.
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