Job Description:

Job Description Summary

Under direction of the Sr. AVP, Risk & Compliance, plans, organizes, integrates, manages and evaluates compliance risk functions for the Credit Union’s Compliance Department; ensures projects are designed and implemented efficiently and effectively.

Job Description

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Plans, organizes, evaluates and manages the work of staff within the department; utilizes resources effectively; implements plans, programs and work processes and procedures necessary to achieve designated results; coordinates and integrates functions within the department and across the Credit Union.




• Participates in establishing business and operational plans and initiatives to meet Credit Union goals and objectives.




• Provides leadership and works with staff to develop and retain highly competent, member service oriented staff through training and day-to-day management practices that support the Credit Union’s mission and strategic goals.




• Establishes performance requirements and objectives for staff; monitors and evaluates their performance; provides coaching and development opportunities; finds ways to recognize performance; addresses performance deficiencies and takes disciplinary action, if warranted, in accordance with Credit Union’s policies and procedures.




• Develops and implements programs and processes related to compliance testing and compliance risk, as well as other initiatives, as needed.




• Assesses compliance risks and controls to be implemented by the first and second line of defense across the organization.




• Performs independent testing activities to assess the design and effectiveness of key controls designed to address compliance risk; reporting and escalating control issues and any violations of laws or breaches of policy; and validating adequacy of remediation taken to address reported issues.




• Monitors and analyzes developing trends and changes in regulatory compliance requirements; advises Credit Union management of the operational impact of such trends and changes; develops appropriate revisions to disclosure forms, policies, procedures and processes; provides compliance input to the new product development process.




• Reviews correspondence and marketing material for members to ensure compliance with laws and regulations; ensures Credit Union compliance with NCUA rules and regulations across departments.




• Assists federal examiners during compliance related examinations, as needed; monitors corrective action of any compliance deficiencies identified.




• Stays abreast of all applicable laws and regulations.




• Finds ways to continually improve the efficiency of departmental and/or team processes to provide the best service to our members.




• Develops teamwork and collaborative relationships within the Credit Union.




• Serve as backup to other department managers, as needed.




• Promotes the Credit Union by participating in community involvement and special events.

Company Wide Expectations

• Maintains a professional image and demeanor at all times, consistently demonstrating Credit Union RISE Values and adhering to the Code of Ethics.




• Delivers friendly, caring service to internal and external members.




• Complies with all applicable State, Federal and NCUA rules and regulations and all Credit Union policies and procedures.




• Follow all physical and online security procedures and maintain strict confidentiality of all member information.




• Completes all required regulatory and compliance training and maintains required knowledge of Credit Union products and services.




• Works scheduled hours and maintains punctuality.




• Performs other related duties as assigned or requested.

EDUCATION/EXPERIENCE

Minimum Qualifications

To perform this job satisfactorily, an employee must be able to carry out each essential duty competently. The requirements listed below are representative of the education, experience, skills and abilities required.

An equivalent combination of education and experience may be considered.

Education Requirements

• Required - 4 Year / Bachelors Degree - Business Administration, Finance, or other fields of study.




• Required - NAFCU NCCO Certification

Experience Requirements

• Required - 5 Years - Experience handling legal or regulatory compliance.




• Required - 2 Years - Management or supervisory experience.

SKILLS/ABILITIES

• Effectively apply internal/external customer service practices and processes to meet quality service standards and achieve member satisfaction.




• Learn and apply information, on a wide range of Credit Union products, services and regulatory compliance requirements, in order to assess member situations and develop solutions.




• Plan, organize and direct the day-to-day activities of the Compliance Department.




• Lead and model RISE values and Code of Ethics through daily interactions and conduct.




• Promote and foster excellent member service and teamwork throughout division.




• Ensure all internal/external customer service practices and processes are carried out and meet quality service standards and achieve customer satisfaction.




• Provide guidance in the resolution of complex problems utilizing advanced knowledge and experience within areas of responsibility.




• Ensure regulatory compliance requirements are applied by all areas of responsibility.




• Communicate in a professional manner and deliver information clearly and effectively to staff. Actively listen to questions, opinions and ideas of others. Use tact and diplomacy in sensitive and confidential situations.




• Use correct English including spelling, grammar and punctuation.




• Operate computers and use business software and other standard office equipment.

PHYSICAL DEMANDS

Physical Demands Disclaimer

The physical demands described here are representative of those that must be met by employees to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Physical Requirements

• Intermittent standing, sitting, walking, bending and climbing.




• Reaching with hands and arms.




• Reaching with hands and arms.




• Intermittent lifting and carrying up to 25 pounds.

WORK ENVIRONMENT

Work Environment Disclaimer

An employee in this job will experience the following main work environments, others not listed may also be encountered on occasion;

Work Environment

• Works in a general office environment.

Redstone Federal Credit Union is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, protected veteran status or status as an individual with disability. All qualified applicants will not be discriminated against on the basis of disability.

We are proud to be a Drug-Free and Tobacco Free Workplace.

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