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Job ID Number: 1256764059
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Manager |
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| Job Title: |
Senior Compliance Officer |
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| State/Location: |
Texas |
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| Recruiter Name: |
Michael Lane |
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| Recruiter Email: |
MLane@ComplianceSearch.com |
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| Description: |
Responsibilities
To develop and maintain policies and procedures regarding products and services to ensure continuous compliance with all applicable federal & state laws and regulations. Briefs Senior and Executive management on emerging trends and concerns in regulatory disseminations. Performs various requirements of the Credit Union’s Bank Secrecy Act Officer.
• Develops and maintains policies and procedures regarding all Credit Union products and services to ensure compliance with all applicable federal and state laws and regulations. Ensures cost effective control measures commensurate with business risks and internal policies and procedures are reviewed and approved by Senior Management.
• Develops and implements risk assessment programs to identify high risk regulations and related business processes. Utilizes results of assessments to determine any enhancements required to the operating area’s controls.
• Analyzes all regulatory pronouncements relative to the credit union industry. Periodically briefs senior and executive management on changes to the regulatory environment.
• Provides recommendations and/or input to rectify compliance deficiencies/concerns to senior and executive management in the operational practices and/or procedures of existing and new products and services offered by the Credit Union.
• Works with senior business managers to develop processes and procedures that document and measure effectiveness of compliance related business practices.
• In conjunction with the credit union training department, develops and delivers training on all compliance related initiatives throughout the credit union.
• Ensures requirements of the Credit Union’s Bank Secrecy Act are met, including annual risk assessments, regulatory updates, reviewing/filing CTRs and SARs, reviewing large currency reports, maintaining BSA Exemption List, and processing FINCEN requests.
• Ensures merged and acquired entities are appropriately risk rated and reviewed relative to major compliance regulations as part of the acquisition and conversion process.
• Reviews and revises the credit union's forms, disclosures, notices, and advertising materials for compliance with applicable laws and regulations.
• Prepares a quarterly report of compliance issues for executive management consistent with Risk Management executive summary procedures.
Desired Background
• Requires a Bachelor’s Degree in Business, Finance or related field, or comparable education and/or experience is required.
• Certification as a Compliance Officer (CRCM, NCCO or CUCS) is required.
• Requires seven plus years experience in a financial institution or comparable experience.
• Requires knowledge of financial institution operations and procedures and working knowledge of laws and regulations pertaining to financial institutions.
• Requires the ability to work independently and collaboratively with internal business partners demonstrating a working knowledge of major business functions.
• Requires strong interpersonal and communication skills including oral, written, and presentational skills. Ability to work with all levels of management and credit union staff.
• Strong knowledge of MS Word, Excel, PowerPoint, and Outlook.
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com |
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