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Assistant Vice President - Compliance

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San Diego, CA

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Assistant Vice President - Compliance
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San Diego
CA
Job #684158362
JOB OBJECTIVE: This position is accountable for providing guidance and creating or revising documentation regarding all aspects of Compliance to ensure the credit union is in compliance with all applicable regulations and laws including but not limited to programs, policies, procedures, disclosures, contests, marketing materials and training content. This position will participate in projects that impact branch operations and other departments. This position serves as the credit union’s Bank Secrecy Act (BSA) officer and ensures full compliance with all BSA-related regulations. This position coordinates the credit union’s Business Continuity Program (BCP), including documentation, testing and reporting. This position also oversees vendor management including procedures, due diligence and ensuring managers actively manage their vendor relationships consistent with the terms of the respective contracts. DIMENSIONS: Expectations: Credit union examiner/auditor reports are favorable and projects are completed in a timely manner. Credit union has a BSA program that is fully compliant with all applicable regulations. Credit union has a robust business continuity program and process that prepares it for business interruptions under various scenarios. Vendors and vendor contracts are actively managed, especially the high risk vendors. Compliance: Oversees the analysis and mitigation of risk by complying with local, state & federal laws and applicable regulations, especially in the area of BSA. Service Goals: Provides 25 branches, a call center and all departments with timely compliance updates, requirements, reporting and training, and answer compliance questions. Budget: Manages an expense budget of approximately $500,000; capital budget will vary depending upon priorities. SUPERVISORY RESPONSIBILITIES: This position reports directly to the VP, Enterprise Risk Management and has 3 directly reporting employees. NATURE & SCOPE: • Serves as the credit union’s designated BSA Officer. Oversees all aspects of the credit union’s BSA program, including reporting, training, software, monitoring of changes to regulations and risk assessments. Prepares necessary changes to the credit union’s formal BSA Program for consideration by the Board of Directors. • Oversees all aspects of the credit union’s BCP. Establishes the calendar of department and full-scale BCP tests. Serves as the primary liaison with BCP-related third party service providers, ensuring a high level of quality service. Serves as the chair of the BCP Steering Committee and the BCP Planners group. • Oversees the production of the annual Business Impact Analysis (BIA), ensuring that timely and accurate information on the critical threats facing the credit union is provided to management and the Board of Directors. • Acts as consultant to ensure that credit union operations are in compliance with all applicable laws/regulations. This includes, but is not limited to policies and procedures for new and current regulations, staff training, internal controls, and training for the board of directors. • Ensures that appropriate business judgment is used when providing input on regulatory compliance matters, weighing all risk factors from a cost/benefit perspective. • Provides input regarding procedures and disclosures as products and services of the credit union systems are developed or revised. • Oversees the credit union’s Identity Theft Prevention Program (ITPP). Ensures that the ITPP effectively identifies, detects and responds to patterns, practices or specific activities that could indicate identity theft of sensitive member information. • Participates in the development of staff compliance training programs to ensure that staff is trained annually in regulatory areas, including but not limited to ITPP responsibilities. • Oversees the credit union’s elder abuse reporting program, providing coordination with the branch network and ensuring that all suspected elder abuse cases are reported to the appropriate authorities in a timely and effective manner. • Maintains current knowledge of and ensures the credit union is in compliance with state and federal laws, rules, regulations and upcoming regulatory changes as related to the credit union’s policies, procedures and products. Assesses the impact of regulations on the credit union and provides analysis and recommendations to appropriate staff and management. • Ensures that accurate records current and previous compliance material are kept, including disclosures, applications, fee schedules and maturity notices. • Manages ongoing review and maintenance of existing procedures, forms, standard member letters and disclosures for all areas of the credit union. Ensures that appropriate documents are developed and updated as new products and services are added; as regulations, policies and practices change; and as areas of concern are identified by management and/or audit findings. • Ensures that all department team members are receiving ongoing training in their areas of responsibility. Proactively looks for cross-training opportunities for staff to expand their knowledge and skills. • Builds trust by maintaining healthy relationships and lines of communication with all credit union staff, management, volunteers, third-party vendors, auditors and regulatory authorities. • Guides, directs and monitors the work of the department staff. Provides formal and informal feedback, coaching and training as part of employees’ continued development. Completes performance reviews and all aspects of managing the performance of the department specialists. Proactively addresses performance issues with employees to improve their performance, engagement and productivity. • Serves as a liaison and subject matter expert in researching issues involved in introducing or revising products and services as requested by senior management. • Consults on procedures and forms, and helps write branch staff communications. • Takes full responsibility for oversight of the vendor management program and ensures due diligence efforts are fulfilled as required. • Participates in implementation of new or revised projects to ensure that all aspects of the projects are completed such as programming, marketing material, compliance review, communication to staff and core system changes and that all aspects are in compliance with state and federal regulations. • Ensures that branch and department staff are provided with an exceptional level of quality support and interacts with members on compliance and operational issues as needed. • Performs other duties as required. EDUCATION, SKILLS, & ABILITIES: • A Bachelor’s Degree and at least ten (10) years compliance experience in banking operations, consumer regulations and lending regulations is required. Requires at least five (5) years of supervisory experience. • Thorough knowledge of credit union and/or financial institution operations, laws, regulations, technology, products and services. • Ability to exercise and apply sound business judgment to critical business problems, taking into account all relevant information. • Strong written and verbal communication skills with ability to effectively present information and recommendations to all levels of management and credit union board of directors and supervisory committee members. • Strong organizational skills, attention to detail and the ability to handle multiple simultaneous projects. • Must possess strong project and time management skills. Must maintain a strong level of quality control over all assigned tasks. Must have the ability to manage multiple commitments while maintaining flexibility, adaptability and a positive attitude. • Ability to gather, compile and analyze data in a clear and logical manner. • Strong computer skills to include Microsoft Word, Excel, Power Point and Outlook are required. • Ability to interact effectively with others, follow work rules and procedures, accept constructive criticism and lead and manage others. MAJOR ACCOUNTABILITIES: • Ensures the credit union is in compliance with all applicable credit union regulations and laws. • Ensures that the credit union’s BSA and Red Flag programs are fully compliant with all applicable regulations. • Ensures that the credit union’s BCP is up-to-date, accurate and tested. • Make sure that upcoming compliance requirements for new regulations affecting credit union operations are implemented. • Participates in the development of staff compliance training programs to ensure that all new and existing staff is trained in regulatory areas. • Ability to recommend changes and revisions in a positive and constructive manner to employees and all levels of the credit union. PHYSICAL REQUIREMENTS: • Must possess excellent communication skills, both verbal and written. • Must be able to tolerate periods of continuous sitting. • To keep knowledge, skills and network contacts current, employee must be able to travel to occasional offsite training, conferences, networking functions and other meetings as required. ENVIRONMENTAL CONDITIONS: • Work is primarily performed within a cubicle office setting. Subject to standard background noise found in an office environment. POSITION TYPE/EXPECTED HOURS OF WORK This is a full-time position with 8 hours in a workday. Workdays are Monday through Friday. Work generally starts between the hours of 8:00 a.m. to 9:00 a.m. and ends between the hours of 5:00 p.m. to 6:00 p.m. Note: Staff is expected to perform various tasks, projects and administrative duties as assigned. Management reserves the right to assign or change duties and tasks to this position at their discretion.
Updated 06/12/2018
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