Compliance Officer

4 weeks ago

Indianapolis, Indiana, United States Financial Center First Credit Union Full time
Job Summary

We are seeking a highly skilled Compliance Officer to join our team at Financial Center First Credit Union. The successful candidate will be responsible for maintaining the credit union's compliance management program, assisting senior management staff in program development, and ensuring compliance with all applicable rules and regulations.

Key Responsibilities
  • Develop and implement a compliance risk assessment framework to identify and mitigate compliance risks.
  • Perform risk-based compliance testing to verify that compliance controls are working as intended and provide remediation steps for identified gaps.
  • Develop and maintain a compliance change management process to ensure that key compliance obligations are identified, assessed, implemented, and trained upon, as needed.
  • Support the credit union's comprehensive assessment program by participating in the review of compliance and fraud risks.
  • Effectively operate department and staff goal setting and meeting structure within the EOS framework.
  • Develop a compliance inventory to affirm that compliance tasks are assigned to and owned by a department, are mapped to written procedures and policies, and are assessed on a risk-based schedule.
  • Manage the complaint management process, including identifying potential instances of compliance errors or adverse member experiences, performing root cause analysis, and providing remediation as needed.
  • Review and approve all marketing content to ensure compliance with all applicable rules, regulations, and best practices.
  • Oversee HMDA compliance, including quarterly monitoring and the annual pre-submission review of the Loan Application Register.
  • Provide regular reporting to the Enterprise Risk Management committee on the compliance activities of the credit union.
  • Work with department managers to provide training, as dictated by the compliance risk assessment and compliance change management process.
  • Respond to compliance questions from credit union personnel, providing timely feedback and direction on compliance requirements and integration of compliance and operational needs.
  • Maintain the credit union's compliance software.
  • Remain current on all industry trends and regulatory changes, working with subject matter experts to make changes to credit union systems and products to maintain compliance.
  • Work with HR/Training to evaluate the effectiveness of compliance training, make recommendations to support documentation and validation of training, and provide training as needed.
  • Assist with correspondence, including member services, Board-related concerns, reports, and special presentations.
  • Oversee the credit union's quality assurance program, directly supervising the Quality Assurance Manager.
  • Oversee the day-to-day management of the credit union's Bank Secrecy Act, Anti-Money Laundering, and Fraud Prevention program, directly supervising the AVP BSA/AML.
Requirements
  • Bachelor's degree or equivalent successful work experience in a retail-banking environment.
  • Minimum of 5 years' experience in compliance management within a medium to large-sized financial institution.
  • Certification in compliance or risk management is required.
  • Must be proficient in the use of Microsoft Office products, specifically Outlook, Word, Excel, and PowerPoint.
  • Must possess strong leadership and management experience, including coaching, training, motivation, time management skills, and performance coaching.
  • Must be able to deal effectively with employees, members, and officials with tact and diplomacy.
  • Must possess excellent communication, training, and presentation skills.
  • Must have strong analytic, research, and problem-solving skills.
  • Must be detail-oriented with the ability to adapt quickly in a fast-paced environment.
  • Must have strong organizational skills and be able to concentrate, exercise judgment, and be a creative thinker with a tolerance for risk.
Working Conditions

The working conditions are for an office environment. Work may require occasional weekend and/or evening work. The work involves physical mobility within the general work area and occasional local travel. Reliable transportation is required.

Mental and/or Emotional Requirements

Must be able to perform job functions independently and work effectively either on own or as part of a team. Must be able to plan and direct the work activities of self and others. Must be able to read and carry out various written instructions and follow oral instructions. Must be able to speak clearly and deliver information in a logical and understandable sequence. Must be capable of dealing calmly and professionally with numerous different personalities from diverse cultures at various levels within and outside of the organization and demonstrate highest levels of customer service and discretion when dealing with the public. Must be able to perform responsibilities with composure under the stress of deadlines/requirements for extreme accuracy and quality and/or fast pace. Must be able to effectively handle multiple, simultaneous, and changing priorities. Must be capable of exercising highest level of discretion on both internal and external confidential matters.

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