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Compliance and Audit Specialist

2 months ago

Syracuse, United States Cooperative Federal Full time

Job description

Cooperative Federal is a credit union dedicated to community development, economic empowerment and social justice - for our individual members, our community, and our world. Join a dedicated team of community activists posing as bankers

The following essential duties are driven by our mission: to foster social equity and economic justice in Syracuse, NY by connecting all people with capital and banking services - especially in communities that have been unjustly excluded from wealth.

Position is primarily in-person, with some flexibility for work-from-home on occasion only.

ESSENTIAL DUTIES

Responsible for implementing an internal audit plan for the credit union. Performs ongoing reviews of the Credit Unions internal control system. Performs duties of Bank Secrecy Act Officer; responsible for coordinating the administration of all aspects of the Bank Secrecy Act compliance program. Review credit union policies and procedures to ensure compliance with laws and regulations applicable to the credit union. Update and disseminate information regarding laws and regulations.

Compliance

  1. Serve as Bank Secrecy Act Officer. Monitor & maintain the following:

Currency Transaction Reporting

Monetary Instruments Log

Coordinate OFAC Compliance

Review computer reports and teller cash records for members transaction structuring (suspicious activity)

  1. Match database of members against FinCen list, report any matches as required

  2. Handle Financial Institution Data Match (NYS Division of Child Support Assistance) and Tax Match

  3. On an on-going basis, review laws and regulations that impact the credit unions compliance requirements, with emphasis on Bank Secrecy Act, Patriot Act, and OFAC. Report regulation updates to management team and make recommendations for change where appropriate.

  4. Coordinate actions to ensure any BSA-AML audit deficiencies are corrected.

  5. Monitor and track high-risk members and accounts.

  6. Ensure that any change in policy or procedure related to compliance is communicated to impacted departments, or the credit union as a whole, with clarity. Follow up to ensure new procedures are understood and implemented.

  7. Monitor IRA program and ensure compliance with all documentation and tax reporting requirements.

  8. Assist in the revision and/or design of forms, products, and web site, programs, or promotions to ensure compliance with all applicable rules and regulations.

  9. Develop or assist in the development of compliance training programs.

  10. Responsible for responding to subpoenas, writs, garnishments, notices of freezes, death certificates, and other additional legal paperwork/activity. Assumes responsibility for accumulating records in response to lawful document requests from law enforcement and authorized government agencies.


Internal Auditing

  1. Conduct regular audit procedures and activities for operations and loan procedures. Follow up with staff and their supervisors regarding any errors or missing documentation. Document status of internal audit reviews, including any outstanding and unresolved items.

Review file maintenance reports and notify supervisor of any suspicious staff activity.

Review changes made to loans by credit union staff (Data Tracking Report)

Review changes to mail codes.

Review supervisory override reports.

Review all new accounts opened.

Perform or coordinate various spot check internal audit procedures, such as: cash counts, teller drawer audits, review of employee accounts, review of loan documentation, review of wire transfers, review of ACH origination.

Review random sampling of all new loans for exceptions to policies and procedures.

  1. Track and report on issues or recommendations from external auditors, regulators, and

examiners.

  1. Serve as a staff liaison to the Supervisory Committee; provide requested reports and work with Committee members to coordinate internal audit activities as well as coordinate engagement of external auditors.

  2. Coordinates regular Supervisory Committee meetings including the preparation of meeting minutes.

  3. Conduct investigations or special audits at the request of management.


General

  1. Assist Examiners and Auditors with their examinations/audits, making available the information that is necessary to complete their examinations.

  2. Participates actively with interdepartmental teams for continuous improvement of existing policies and procedures based on regulatory changes, internal audits, and examinations by regulatory agencies.

  3. Working with Management Team, coordinate Vendor Management review process.

  4. Write or update procedures for all tasks in areas of responsibility.

  5. Support management in the implementation of board policies and directives.

  6. Attend trainings and meetings as required by the credit union.

  7. To undertake such other reasonable and lawful duties as may be directed from time to time by the manager.


JOB REQUIREMENTS AND QUALIFICATIONS

Qualifications

  1. Commitment to the mission of Cooperative Federal: fostering social equity and economic justice in Syracuse, NY by connecting all people with capital and banking services, especially in communities that have been unjustly excluded from wealth.

  2. Two or more years of professional experience in financial services/banking, legal services, audit services, or accounting.

  3. Excellent interpersonal skills including cultural competency and ability to thrive in a culturally, racially, and socioeconomically diverse environment.

  4. Ability to plan and organize workload; strong attention to detail is required.

  5. Excellent written and verbal communication skills.

  6. Proficiency in Microsoft Office applications.


Physical Requirements

These physical requirements are representative of what is necessary for an employee to successfully perform the essential functions of the Operations Compliance and Audit Specialist position. Reasonable accommodation can be made to enable people to perform the described essential functions.

The Operations Compliance and Audit Specialist is often required to sit, to stand, to walk, conduct phone interviews and to use their hands and fingers. The employee is occasionally required to lift up to 25 lbs.

Job Type: Full-time

Benefits:

401(k)

401(k) matching

Dental insurance

Disability insurance

Employee assistance program

Flexible schedule

Flexible spending account

Health insurance

Life insurance

Paid time off

Vision insurance

Physical setting:

Office

Schedule:

8 hour shift

Monday to Friday

Ability to commute/relocate:

Syracuse, NY 13210: Reliably commute or planning to relocate before starting work (Required)

Experience:

financial services/banking: 2 years (Preferred)

legal services, audit services, or accounting: 2 years (Preferred)