Regulatory Compliance Supervisor

2 weeks ago

San Luis Obispo, California, United States SESLOC Credit Union Full time
Job Overview

At SESLOC Credit Union, our strength lies in our people. With a rich history spanning over 80 years, we are dedicated to helping our members achieve their financial aspirations.


Position Summary:

In this role, you will oversee the creation, execution, and upkeep of a comprehensive Compliance Management System (CMS) Program. Your primary objective will be to ensure that the Credit Union adheres to all relevant federal and state regulations, supervisory policies, and internal controls, thereby minimizing compliance risks. You will be responsible for conducting regulatory assessments, documenting findings, and recommending improvements. Additionally, you will perform risk evaluations and assign risk ratings for ongoing monitoring. As the administrator for Risk and Compliance systems, you will ensure timely software updates and provide training to business partners on system usage. You will also lead the Compliance team, ensuring that all members fulfill their responsibilities in alignment with SESLOC's Compliance and Internal Controls Programs.


Essential Qualifications:

A bachelor's degree along with five to eight years of experience in developing, implementing, and managing compliance and risk management programs within a financial institution that handles consumer and business deposit accounts, as well as consumer, mortgage, and commercial lending. A minimum of five years in a managerial role overseeing and developing staff is required. Extensive experience with Fair Lending testing is essential. Preferred certifications include Certified Regulatory Compliance Manager (CRCM), NAFCU Certified Compliance Officer (NCCO), CUNA Credit Union Compliance Expert (CUCE), or Governance Risk Compliance Professional (GRCP).

  • Thorough knowledge of compliance-related laws, regulations, standards, and guidelines; proven experience in establishing compliance and risk management controls and conducting control testing.
  • Strong analytical capabilities with the ability to gather, organize, and analyze large datasets; define problems, draw valid conclusions, and recommend solutions to address risk and internal control deficiencies.
  • Experience in designing reports that effectively communicate issues and trends.
  • Proficient in conveying information clearly and effectively, both verbally and in writing, to all employee levels, including conducting training sessions.
  • Ability to create comprehensive documentation and provide clear recommendations for action, while collaborating effectively and supporting decisions made by others with authority.
  • Demonstrated professional interpersonal skills, including advanced written and verbal communication abilities.
  • Capacity to apply critical thinking and exercise sound judgment in various situations, particularly regarding account and member actions following investigations.
  • Ability to understand and manage Risk and Compliance system solutions, ensuring software updates and training for business partners.

SESLOC fosters a collaborative, team-oriented work environment. We offer competitive compensation and a comprehensive benefits package, including fully covered employee medical, dental, and vision insurance; vacation, sick leave, holiday time off; and a 401k plan with a generous employer match.

We encourage you to submit a cover letter detailing how your skills and experiences align with this role, along with your current resume.


Equal Opportunity Employer


As part of our recruitment process, SESLOC may conduct background checks, including bond, credit, and criminal history checks, with your prior authorization.

Job Posted by ApplicantPro

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