Compliance and Quality Control Specialist

5 days ago

Bettendorf, United States Ascentra Credit Union Full time

**JOB TITLE**: COMPLIANCE AND QUALITY CONTROL SPECIALIST

**FLSA STATUS**: NON-EXEMPT
**REVISED DATE**: 5/8/2024

**REPORTS TO**: COMPLIANCE AND RISK MANAGER

**PRIMARY FUNCTION**:
This position is responsible for the auditing of consumer, business and mortgage loans and new accounts. In addition, will perform verification functions to ensure credit union compliance with various regulatory requirements which includes communicating with members in an effort to mitigate risk. Communicate professionally and effectively with all staff and levels of management.

**PRINCIPAL DUTIES/RESPONSIBILITIES**:
1. Responsible for monitoring Office of Foreign Asset Control (OFAC), Financial Crimes Enforcement Network (FinCen) compliance, and managing the money laundering software.
2. Responsible for the accurate and timely filings of all Currency Transaction Report (CTR) and Suspicious Activity Reporting (SAR) documents.
3. Assist employees in need of additional Customer Identification Program (CIP) verification.
4. Responsible for investigating and preparing responses to subpoena requests. Includes communicating with internal and external parties, including but not limited to law enforcement, state agencies and law offices.
5. Responsible for the record retention (storage and retrieval) of all required compliance documentation
6. Complete quality control audits of consumer, business and mortgage loan files per procedure in a timely fashion.
7. Complete quality control audits on new account records.
8. Pull and send loan files for audits.
9. Assist in other areas of Risk and Compliance as requested.
10. Actively and thoughtfully communicating with their supervisor, planning their goals and development, taking accountability for their actions and striving for excellence.

**GENERAL DUTIES/RESPONSIBILITIES**:
11. Promote products and services.
12. Attend all meetings as required.
13. Maintain clean and professional work area and appearance.
14. Maintain positive public relations and promote credit union within the community.
15. Complete educational programs as required.
16. Perform the following commitments of service to each and every member at all times:
a. Make a good first impression, be dressed professionally and greet people with a smile and a firm handshake.
b. Keep a smile in my voice as well as on my face.
c. Answer the telephone by the third ring.
d. Call people by name and thank them.
e. Give people my full and undivided attention; focus on the person face to face and on the telephone.
f. Take responsibility for solving the individual's problem instead of referring it to someone else.
g. Deliver on commitments of action(s) to be taken, so excuses won't be necessary.
h. Follow through on necessary action(s) to be sure the problem is solved.
i. Know that what's important is not only who or what created the problem but how the problem can be corrected.
j. Protect confidential information.
17. Other duties as assigned.

**REQUIREMENTS OF THE POSITION**:
High School diploma or equivalent.
Minimum 3 years’ experience in financial industry.
Excellent communication and organizational skills.
Pleasant outgoing personality.
Ability to perform under pressure.
Knowledge of all laws and regulations regarding this position.
Problem solving ability.
Proficient in Word and Excel.
Excellent analytical and decision-making skills.
Team player.
Knowledge of credit union operations.

**PHYSICAL REQUIREMENTS**:
Sedentary work Exerting up to 10 pounds of force occasionally and/or negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. Sedentary work involves sitting most of the time. Jobs are sedentary if walking and standing are required only occasionally and all other sedentary criteria are met.

**PHYSICAL ACTIVITIES**:
The following physical activities will be required on a day-to-day basis: climbing, stooping, crouching, reaching, walking, pulling, fingering, feeling, hearing, balancing, kneeling, crawling, standing, pushing, lifting, grasping, talking, repetitive motions.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed are representative, and reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions if they are otherwise qualified.

**VISUAL/PERCEPTION ACTIVITY**:
Administrative, Clerical, Data Entry operators, Inspection, (work at distances close to the eyes).

**WORKING CONDITIONS**:
None. The worker is not substantially exposed to adverse environmental conditions.

**HUMAN RELATION SKILLS NEEDED**:
The ability to communicate effectively with members, staff, and contacts outside of the credit union in a polite, courteous, timely, accurate and efficient manner. Patience in dealing with a difficult situation.

**INTERNAL TRAINING REQUIREMENTS**:
Please refer to the credit union intranet for the internal training requ

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