- Electronic Fund Transfer Act (Reg E)
- Equal Credit Opportunity Act (Reg B)
- Expedited Funds Availability (Reg CC)
- Truth in Savings (TISA) (Reg D)
- Electronic Fund Transfer Act (Reg E)
- Fair and Accurate Credit Transactions Act
- Fair Credit Reporting Act
- Fair Housing Act (FHA)
- Regulatory expectations regarding unfair, deceptive, or abusive acts or
- Reserve Requirements for Depository Institutions, Rights to Financial Privacy Act (RFPA)
- Flood Disaster Protection Act (FDPA)
- Flood Disaster Protection Act (FDPA)
- Vendor management
- Truth in Lending Act (Regulation Z)
- Gramm-Leach-Bliley Act (GBLA)
- Fair Debt Collections Practices Act (FDCPA)
- TILA RESPA Integrated Disclosure Rule (TRID)
- Home Mortgage Disclosure Act (HMDA)
- Real Estate Settlement Procedure Act (RESPA)
- Military Lending Act
- Service members Civil Relief Act
- Conduct Regulatory Audits: Contribute to the development of compliance audit plans based on research and risk of the credit union and NCUA priorities for the year.Outline the program on developed work papers, including review steps, scope and regulation required test steps.Execute audits on high risk and regulatory areas including depository, lending, collections and call center functions.Perform risk reviews and regulation audits in accordance with all state and federal requirements. Propose documentation for oversight program, determine areas to be selected for audits and research, prepare and schedule audits accordingly. Develop document request checklists for required documentation necessary from each department to complete regulatory audits.Analyze the results and document recommendations for correcting or enhancing compliance requirements.Communicate with department managers to ensure corrective actions have been completed and follow-up procedures have been implemented.Analyze and critique proposed regulations.Recurring audits will include requirements for HMDA, vendor management, the annual marketing plan, and credit union website.Assist with the preparation for, and coordination of, audits and examinations performed by third.
- Credit Union Regulatory Risk Analysis: Review all relevant credit union products and programs affected by state and federal regulations including use of reports, records and software to avoid potential compliance regulation issues. Provide recommendations to remediate issues identified.
- Audit Report Statistics: Prepare periodic reports on compliance with federal, state, local, laws, regulations and ordinances, department and credit union policies as related to regulation audits completed and corrective action remediation. Develop tracking of credit union violations and the responses regarding audit findings. Complete corrective action reviews.
- Member Complaints: Review the monthly complaint log for potential violations of regulation such as but not limited to, Fair Lending, Fair Credit Reporting and Fair Debit and Collection Practices.
- Remain Current in Knowledge: Remain current and be knowledgeable of all aspects of rules, regulations, and the Federal Credit Union Act, NCUA standards, bylaws, the Federal Reserve regulations, Consumer Financial Protection Bureau and other regulations. Establish and maintain a library for all internal and external audit reports and responses. Maintain up to date regulation research depository to monitor for regulation changes and provide recommendations.
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coding compliance auditor
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UMMS Community Impact Grant Program Baltimore, United StatesRegulatory Compliance Clinical Auditor, Hybrid · Full-time · Shift: Day · Position Type: Exempt · If relocating locally to Maryland, please note that in your application. · This position requires experience with utilization review in a hospital setting. · At the University of Ma ...
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InsideHigherEd Baltimore, United States Administrative Jobs ,We are seeking a Sr. Compliance Auditor Trainer who will provide on-going training and support to physicians, non-physician providers, professional fee billing staff, clinic staff, administrators, and other affected personnel on documentation and billing requirements. Using audit ...
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Whitman Requardt and Associates Baltimore, United StatesJob Description · Job Description · At Whitman, Requardt & Associates, LLP, we are "People Focused and Project Driven". We have been in business for more than 105 years and we are known for our quality work and quality employees. This is your chance to join our team - help us t ...
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UMMS Community Impact Grant Program Baltimore, United StatesRegulatory Compliance Clinical Auditor, Hybrid · Full-timeShift: DayPosition Type: ExemptIf relocating locally to Maryland, please note that in your application.This position requires experience with utilization review in a hospital setting.At the University of Maryland Medical ...
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State of Maryland Baltimore, United StatesIntroductionTheGovernor's Office of Crime Prevention and Policy(GOCPP) provides access to federal and state grant funds in an\reffort to support the Governor's initiatives to fund the police and reduce\rcrime, provide for victims' services and for children & youth to mitigate\rad ...
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Compliance Auditor - Edgewood, United States - APGFCU
Description
APGFCU - Your Community Credit Union For over 80 years, APGFCU has shared our financial experience and provided valuable products and services to build stability and financial independence, one member at a time.We are looking for those who want to join this movement and become a part of a growing organization.We offer competitive pay and great benefits.
Summary:
Under the direction of the Vice President of Compliance, prepares and performs internal audits to ensure operations comply with all state and federal government regulations.Provides comprehensive recommendations to policies, and departmental procedures and controls, for matters identified as regulatory concerns to mitigate risk and ensure the credit union remains in compliance with applicable guidance.Proactively monitors, researches, analyzes, and makes recommendations regarding compliance trends and regulations within the financial services industry.
ESSENTIAL DUTIESAND RESPONSIBILITIES
The scope of compliance auditing includes matters related to or affecting:
Education: Bachelor's degree preferred or additional specialized course/training such as Certification in the following Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance Professional (CRCP) a plus.
Experience: Five to seven years of financial industry regulatory research and audit experience.
Knowledge, Skills, and Abilities: Sound knowledge and understanding of related regulation areas. In-depth knowledge of financial institution rules and regulations; strong experience applying state and federal financial institution regulations, OFAC and BSA; human relations, written and oral communications and organization skills; computer competencies such as excel, and word are essential, ability to work independently with a high level of initiative, and to research, and problem solve. Strong decision making, analytical and investigative abilities with attention to detail, accuracy and consistency.
Physical Demand:The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. While performing the duties of this job, the employee is regularly required to sit at a computer for long periods of time, use hands to finger, handle, or feel objects, tools, or controls; and talk or hear. The employee frequently is required to reach with hands and arms. The employee is frequently required to sit, stoop, kneel, or crouch. The employee must frequently lift and/or move up to 25 pounds, and be capable of transporting related supplies and equipment. Specific vision abilities by this job include vision, distance vision, color vision, peripheral vision, depth perception and the ability to focus.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)
