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    VP Compliance/BSA Officer/FT/Nashua - Triangle Credit Union

    Triangle Credit Union
    Triangle Credit Union Nashua, United States

    4 weeks ago

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    Description

    Job Description

    Job Description

    Role:

    To develop, implement and administer aspects of the credit union's compliance management program.
    Provide counsel and recommendations to executive leadership on emerging compliance, regulatory or risk related matters affecting the CU ensuring conformity and adherence with applicable state and federal laws and regulations.
    Act as the Board approved BSA officer, provide organization-wide compliance support by coordinating, updating, monitoring and maintaining the Bank Secrecy Act (BSA) program to include, Anti Money laundering (AML), Member Identification Program (MIP), FINCEN activities and Office of Foreign Asset Control (OFAC). Provides enterprise-wide risk guidance and leadership by assisting in the coordinating and managing the Enterprise Risk Management (ERM) function in all areas and levels of TCU.
    Coordinate the CU's outsources operational internal audit vendor to provide audit services by preparing risk assessments, plans and schedules to Supervisory and department managers.

    Essential Functions & Responsibilities:


    • As the Compliance officer: Coordinate, update and maintain TCU's compliance policy, program, and training to help ensure organization-wide operational compliance.

    • Ensure TCU's risk position and management's responses are in-line with company policies and are being adhered to. Additionally, ensure the Board of Directors, Management, and Employees are in compliance with the rules and regulations of the applicable regulatory agencies, company policies, and procedures. Safeguard the organizations regulatory culture meets the credit union's ethical standards.
    • Provides reports on a regular basis to keep the President/CEO informed of the operation and progress of compliance efforts.
    • Provide a link between Regulation Owners/departments and Risk Management in an advisory/administration role, to update policy and procedures while working with Management and Regulation owners to ensure required changes are implemented.


    • Work with Regulation Owners and Training annually to prepare appropriate regulatory consumer training based on regulatory requirements, prior audit/exam findings and emerging regulations and rulings.


    • Identifies potential weaknesses from audit/exam and suggests monitoring efforts to Regulation Owners


    • Manage the processing of subpoenas, levies, police reports.


    • BSA officer: Ensure compliance with the Credit Union's Bank Secrecy Act (BSA) program to include recommended changes to policy and procedures. Maintain annual risk assessments, recordkeeping, testing, staff training and examination overview of BSA/AML, MIP and OFAC programs.


    • Provide guidance to the Credit Union staff for SAR and OFAC issues as well as ensuring SARs are submitted and/or reviewed and approved within the required timeframes.


    • Maintain BSA/AML assumptions and parameters within the BSA/AML software model and systems, identify exceptions and ensure the model's integrity to detection all unusual or suspicious activity.


    • Perform high risk member reviews and analysis for expected vs actual behavior to set custom settings member activity.


    • Provide annual BSA/identity theft training to BOD Provide guidance to front line personnel in all areas stated above.

    • Work closely with TCU's Enterprise Risk Management Officer, develop, maintain and oversee the ERM framework and program, Coordinate and track responses to incidents including current actions taken and make recommendations to prevent and detect and or correct future incidents. Provide reports and participate in various committees to ensure risks effectively identified and managed. Including but not limited to ERM, IT Steering, Compliance, Supervisory, and Advocacy establishing strong and transparent relationships with key stakeholders including auditors and regulators. Remain current in industry topics


    • Internal Audit: Act as the liaison to the Credit Union's Internal Audit provider


    • Coordinate annual risk assessments for both compliance and internal audits


    • Work with Audit firm to develop annual and multi-year audit schedule


    • Act as liaison to the Credit Union for State and NCUA examinations


    • Maintains audit/exam tracking document


    • Insurance: documents incidents/accidents in CUNA portal. Annually participates in the CU's review of various policies.

    • Reviews or performs audits of higher-risk activities or as part of a complaint investigation. Responds to alleged violations of rules, regulations, policies, procedures, and ethical standards by evaluating the action or initiating investigation procedures. Acts as an independent review and evaluation body to ensure that compliance issues or concerns within the organization are being appropriately evaluated, investigated, and resolved. Ensures proper reporting of violations or potential violations to the President/CEO.


    • Prepares various reporting for Senior Management, Supervisory Committee and Board.

    Works to develop an effective compliance training program including appropriate introductory training for new employees as well as ongoing training for all employees and managers


    • Be a subject matter expert on processing platforms used within the Department, train team members on new software and updates on existing programs.


    • Actively lead, communicate, and participate in professional development to support the core values and the overall organizational health.


    • Performs other related duties as assigned.

    Knowledge and Skills:

    Experience: Five - eight years of similar or related experience.

    Education: (1) A four-year college degree, or (2) completion of a specialized certification or (3) job-specific skills acquired through an apprenticeship program.

    Interpersonal Skills: Work involves extensive personal contact with others and is of a personal or sensitive nature. Motivating, influencing, and/or training others is key at this level. Outside contacts become important and fostering sound relationships with other entities (companies and/or individuals) becomes necessary and often requires the ability to influence and/or sell ideas or services to others.

    Other Skills: Possess ability to use technology needed within the area and the Microsoft Office suite: Excel, Word, Teams, SharePoint, OneDrive, and OneNote, Verafin and Vertifi.

    Physical Requirements: Occasionally lift up to 25 pounds

    Work Environment:
    • Professional office


    • Office and hybrid work from home.

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