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Regulatory Compliance Analyst

3 months ago

Raleigh, North Carolina, United States State Employees' Credit Union Full time

If you are motivated and believe in the credit union philosophy of "People Helping People," join our team

Hybrid In-Office/Remote Position

Position Overview:

The Compliance Analyst position will be part of the Regulatory Compliance team (2nd line of defense) and is responsible for helping to ensure the Credit Union's compliance with applicable laws and regulations. Specifically, this position will support the assessment of compliance risks and controls through assisting with compliance related testing and monitoring activity. This role will be required to work independently as well as in a collaborative nature with other members of the Compliance Specialists team within the Regulatory Compliance team and operates on a hybrid schedule.

Responsibilities:

40% - Testing and Monitoring:


• Assist with proactive review testing of first-line business functions to help confirm compliance with applicable regulatory requirements and identify regulatory gaps which present risk to the organization.


• Review monitoring efforts conducted by first line compliance teams and escalate issues to management as needed.

20% - Risk Assessment:


• Assist with the annual update of the Compliance Risk Assessment, accounting for inherent risk and mitigating controls to gauge the degree of risk faced by the credit union in relation to applicable laws and regulations.

20% - Training:


• Support Compliance Counsel team with the review of compliance based training material, ensuring inclusion of current regulatory requirements and internal processes.


• Coordinate the recordkeeping of compliance training for the Regulatory Compliance department.


• Engage in routine continuing education to stay abreast of regulatory changes and in preparation for compliance reviews.

20% - Metric Reporting:


• Support efforts to document and analyze key departmental performance indicators, as well as key compliance risk indicators for the Credit Union.


• Track key compliance indicators from first line compliance function teams.


• Track and report on items identified through the issues management lifecycle.

Required Education:


• Associates Degree

Required Relevant Experience:


• Experience working in a highly regulated industry (preferably a credit union or financial institution).


• Exceptional written and verbal communication skills, with great attention to detail.


• Demonstrated ability to work individually as well as in a collaborative team setting.

Desired Knowledge, Abilities, Skills:


• Earned an industry-standard compliance certification, such as NAFCU's NCCO or CUNA's CUCE, or a willingness to obtain such a designation are preferred.


• Knowledge of state and federal laws, and regulations affecting state-chartered, federally insured credit unions, banks, and other financial institutions (especially those promulgated by the National Credit Union Administration and Consumer Financial Protection Bureau), such as: TILA, RESPA, HMDA, FCRA, FDCPA, SCRA, SAFE Act, ECOA, TISA, Regulation CC, EFTA, ESIGN, CDD Rule, and UDAAP.

Special Position Requirements:


• Sitting for long periods of time


• Computer for long periods of time

SECU provides equal employment opportunity to all qualified persons regardless of race, color, religion, age, sex, sexual orientation, gender identity, national origin, genetic information, disability, veteran status, or other classification protected by law.