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Compliance Officer

February 27, 2013 - March 31, 2013
Location:Albuquerque, NM
Salary Range:Competitive
Employment Type:Full Time
Description:Develops and maintains the Credit Union’s Compliance Program to ensure the Credit Union is in compliance with applicable laws and regulations. Develops training materials and trains staff on applicable laws, regulations, and compliance procedures. Researches and responds to staff and member questions as they pertain to legal and regulatory issues. Conducts research and advises on compliance issues impacting organizational and departmental projects. Performs compliance reviews and assists with external compliance examinations.

Duties:• Develop, document, and maintain an organization-wide Compliance Program to coordinate and demonstrate compliance with regulations and laws impacting Credit Union products, services, and operations.

• Perform compliance risk assessments—reporting on strategic opportunities and compliance risk resulting from changes in the regulatory environment and Credit Union operations.

• Support the organization with timely, accurate, and thorough compliance research, analysis and recommendations. Ensure management and staff are informed and equipped to carry out their compliance responsibilities.

• Ensure the compliance function is aligned with organizational and departmental goals, values, and culture. Make appropriate decisions and recommendations regarding the Credit Union’s compliance policies and procedures.

• Lead project teams to facilitate the implementation of regulatory requirements and/or contribute to cross-functional teams to ensure compliance and legal risk is appropriately considered and addressed.

• Represent the Credit Union’s compliance efforts to external auditors, examiners and others as necessary and be able to provide sufficient explanation and supporting documentation. Interface on compliance and legal matters with attorneys, vendors, trade associations, law enforcement, volunteers, and other institutions.

• Assist management with the development of compliance controls and test the same for effectiveness. Perform reviews of marketing materials and consumer disclosures and forms.

• Supervise the work and professional development of the Compliance Specialist.
Qualifications:• Minimum five years compliance or broad financial institution experience. Familiarity with credit union/banking regulations desired.
• Demonstrated ability to perform research with acceptable proficiency.
• Demonstrated experience leading and accomplishing objectives through teams.
• Demonstrated ability to develop and deliver effective training and reference materials.
• Knowledge of Credit Union products, services, processes and systems desired.
• Must be comfortable with technology and capable of performing financial calculations (e.g., loan interest and finance charges, share dividends, etc.).

• Bachelor’s degree (preferably in business, economics, political science, law, or public administration), or equivalent experience.
• Financial institution compliance certification (issued by NAFCU, CUNA, ABA/ICB, etc.) preferred. In the absence of existing certification, will obtain NAFCU certification at the Credit Union’s expense.

Other skills:
• Self-starter; must be able to work independently and take ownership for compliance and examination results.
• Possesses strong reading comprehension and analytical skills.
• Able to translate and summarize regulatory material into succinct and actionable content comprehensible to a variety of non-specialist audiences.
• Possesses superior verbal and written communication skills with the ability to prepare and deliver persuasive oral and written reports, presentations, etc.

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