Compliance & Audit Program Specialist

2 months ago

Tampa, United States USF Federal Credit Union Full time
Job DescriptionJob Description

When joining USF Federal Credit Union, you can expect to work for a company that:

  • Strives to be the most influential partner in our Members’ financial journey.
  • Has been recognized with awards such as the “Sterling Governor’s Award for Excellence” and League of Southern Credit Unions & Affiliates “Credit Union of the Year”.
  • Has a culture of engagement, growth, process improvement and community volunteerism.

What’s in it for you:

  • Competitive pay, robust incentive programs, 401k matching, Mortgage and Auto Loan discounts
  • 4 weeks minimum paid time off work, work anniversary paid time off, 11 paid holidays and 8 hours paid volunteer time off.
  • Medical, Dental and vision plans with FSA option. (Employee Only Premiums for Dental and Vision are 100% Credit Union covered).
  • 100% Credit Union Paid Short-Term and Long-Term Disability and Life Insurance
  • Employee Assistance Program
  • Undergraduate and Graduate Tuition Reimbursement
  • In-depth New Employee Orientation showcasing Credit Union Values and Vision
  • A Think Big culture dedicated to performance excellence and continual growth

Position Summary

The Compliance & Audit Program Specialist acts as primary liaison between the Credit Union and the External Audit partners contracted to perform audits for the Credit Union. The Specialist is responsible for completing branch audits, issue follow-up audits, as well as performing monitoring activities for multiple CU programs.

All audits performed by the Analyst will determine compliance with policies, procedures, laws and regulations. The Specialist reviews records, and documents policies and procedures, risk assessments, operational processes and electronic information to evaluate sufficiency of adherence to Credit Union plans, policies and procedures and compliance with governmental laws and regulatory requirements, highlighting areas to manage risk accordingly.

Essential Functions & Additional Responsibilities

  • Acts as primary liaison between the Credit Union and the External Audit Firm contracted by the Credit Union, or Federal Regulatory Agencies, providing support to the auditors/examiners and business units before, during and after the audit being performed. Acts as point of contact for all parties to schedule narrative calls, relay direct questions, and/or gather additional information needed throughout the process.
  • Work with Management to determine the annual audit schedule.
  • Conducts regular branch audits and performs various monitoring of reports to ensure compliance with operational processes and procedures, identifying potential opportunities for improvement.
  • Tracks and reports on issues or recommendations from internal and external auditors, and regulators to Risk Management leadership, and Supervisory Committee. Ensures accurate and timely resolution to findings and/or recommendations, and that items presented as complete, are properly mitigating the risk and evidence is kept and documented.
  • Ensures timely and professional communication and follow-up to Business Unit Leaders and external audit firms to effectively manage the audit and all applicable reporting.
  • Responsible for preparing and ensuring accurate and timely preparation of Supervisory Committee reporting and presentation to the committee, including but not limited to on-site preparation for Supervisory Committee meetings.
  • Ensuring timely investigation and reporting of all complaints made to Supervisory Committee.
  • Supports User Privilege Access monitoring in the Risk Management area. Collaborates with and provides feedback to management when necessary.
  • Assist department leadership with Corrective Action Plan investigation, reporting and tracking through to completion.
  • Provides day-to-day support to department leadership, when necessary.
  • Performs special, or ad hoc, reviews as requested.
  • Provides back-up to other roles within the department as needed.
  • Participates in credit union projects as assigned.
  • Performs other job-related duties as assigned.

Reports to:

Compliance & Audit Program Manager

Required Education and Experience:

  • Bachelor’s degree obtained through a formal 4-year program at an accredited college/university preferred or equivalent experience.
  • Role appropriate certifications or other professional designation desirable, but not required (i.e., CCUIA, CIA, BSACS, CUCE, etc.).
  • 3-5 years’ experience conducting audits in a financial institution and working with external audit firms and examiners preferred.
  • Previous credit union experience preferred.
  • Knowledge of the regulations governing financial institutions preferred

Additional Skills

  • Ability to multi-task under pressure.
  • Strong time management and organizational skills.
  • Deadline driven.
  • Excellent analytical and decision-making abilities.
  • Must have excellent conflict resolution skills.
  • Able to communicate effectively and tactfully with members and employees both orally and in writing.
  • Self-reliant, critical thinker, problem solver, results oriented.
  • Being a team player who is considerate of other employees.
  • Maintain a professional appearance and demeanor.
  • Ability to motivate or influence others with a significant level of diplomacy and trust.
  • Demonstrated interpersonal and collaboration skills.
  • Excellent presentation skills, confident in all settings with individuals at all levels of the organization both internal and external.
  • Excellent technical aptitude.
  • Proficient in Microsoft Word, Power Point, Excel, and Outlook

Work Environment:

Remote/Hybrid. Required to be onsite for special meetings, events and exams.

Ability to travel between administrative offices and branch sites in all market areas (Tampa, Sarasota, St. Petersburg, Odessa, and Orlando).

Physical Requirements:

Sitting frequently, walking occasionally, use of hands frequently, walking occasionally, use of hands frequently, hearing constantly, talking frequently, exerting up to 10lbs of force occasionally to life, carry, push, pull, or move objects.

Position Type/Expected Hours of Work:

Full-Time/40 hours per week

Classification

Exempt

Other Duties

Please note this job description is not a comprehensive list of activities, duties or responsibilities that are required in this position. Duties, responsibilities, and activities may change at any time with or without notice.

About Us:

For 60 years, USF FCU has experienced rapid growth and is dedicated to delivering financial solutions to improve our members’ lives. Our success is thrilling, but our core values of excellence, passion, innovation, community, and collaboration mean our relationships with our members and our employees will always be our top priority We have grown to over 70,000 members and $1.2 billion in assets, robust online and mobile banking, 9 branch locations and thousands of shared branches and fee-free ATMs nationwide.

Our vision is to be the most influential partner in each member’s financial journey.

Our mission is to deliver financial solutions to improve members’ lives.

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