Compliance Coordinator Jobs

Address: 16430 Park Ten Place, Houston, Texas 77084

Role:

The Compliance Coordinator is responsible for continually reviewing operational activity and reporting findings to the Compliance Manager/VP of Compliance while also assisting with legal requests received by the credit union. The Compliance Coordinator may also assist the Compliance Analysts with monitoring member activity and filing reports related to the Bank Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC) while serving as a resource on compliance topics to operational staff. The Compliance Coordinator will also complete various projects pertaining to the Compliance department and/or other matters deemed appropriate.

Essential Functions & Responsibilities:

• Monitor and follow through on issues/problems discovered in review process to final resolution and implementation.
• Assist in the implementation of the credit union's BSA and OFAC compliance programs; this includes submitting timely regulatory filings, regularly reviewing activity, training staff, and performing research as needed.
• Assist in communication and request fulfillment during external audits and regulatory examinations.
• Assist in various internal reviews of credit union procedure and activity to detect deficient controls, duplicative efforts, fraud, and noncompliance with state and federal regulation, bylaws, and credit union policy. (e.g., reviewing operational reports, performing research, interviewing staff, etc.).
• Completes various other projects and tasks assigned by supervisor and/or executive management
• Assist with the coordinate of responses and action for subpoenas, garnishments, receiverships and other legal requests in a timely manner; this includes researching, retrieving, organizing, and submitting requested items and communicating the required transactions and file maintenance to relevant staff.

Performance Measurements

1. Prepare and deliver assigned reports in a timely, accurate manner.

2. Develop, maintain, and demonstrate current knowledge of applicable State and Federal Laws and Industry Regulations to ensure the Credit Union's policies and procedures remain compliant and are adhered to in all areas.

3. Keep management informed of key operating issues affecting the credit union or other departments.

4. Troubleshoot and resolve member and internal inquiries in a timely, accurate manner.

5. Provide informed, professional, accurate service and support to all members and associates.

Knowledge and Skills:

Experience - Two + years experience in a financial institution or audit environment; knowledgeable in topics pertaining to credit union/banking operations,fraud detection and prevention, Anti-Money Laundering, BSA, and other relevant laws and regulations.

Education - High School Diploma. Willingness to obtain a compliance certification within 18 months of accepting the position

Interpersonal Skills - Courtesy, tact, diplomacy and a curious nature are essential elements of the job. Work involves much personal contact with others inside and/or outside the organization for purposes of giving or obtaining information, building relationships, or soliciting cooperation.

Other Skills - Ability to maintain a high level of confidentiality at all times. Capable of exercising independent initiative and judgement. Ability to travel to various branch locations as needed. Ability to perform work with high attention to details. Strong written and verbal communication. Strong organizational skills. Must have a cooperative attitude toward members, supervisors, coworkers, and the credit union. Proficiency in the use of Microsoft Office products, including but not limited to Word, Excel, and Outlook.

Physical Requirements -

While performing the duties of the job, the employee is regularly required to:

-- position self to move about the work area

-- reach, grab, sort

-- communicate in person, via telephone, and electronically with others

-- identify and recognize small font communication

-- transport a minimum of 10 pounds