• Job Description

  Req#: 3333663
  Job Type
  
  Full-time
  
  Description
  
  The Compliance Assistant works within the Risk and Compliance Department to support daily activities within the regulatory compliance, operational risk, and review of control reporting. This role will also assist in the support of WCCU's fraud risk management program.
  
  Principal Duties and Responsibilities:
  
  • Assist with the development, implementation, and administration of the compliance management systems with direction from the Compliance Risk Director to ensure on-going organizational compliance with applicable federal and state laws and regulations.
  • Proactively monitor compliance and regulatory alerts, announcements, and interpretations of changes in best practices in risk mitigation strategies, rules, and laws.
  • Assist in the review and analysis of CTR reports for completeness and validity.
  • Assist in the perpetration and filing of SAR reports including conducting internal investigations of illicit allegations of any credit union member and/or employee.
  • Assist in the resolution of compliance issues and seek guidance from experts as necessary to resolve difficult compliance issues.
  • Support supervisors to devise reasonable solutions for non-compliance.
  • Assist in determining the adequacy and soundness of internal controls to accomplish organizational goals while complying with policies, procedures, and applicable laws and regulations.
  • Assist with daily monitoring of system maintenance reports.
  • Assist in the evaluation and response to records request and court proceedings.
  • Perform other job-related duties, as may be necessary to carry out the responsibilities of this position.
  • Willing to pursue and obtain applicable industry accepted certifications.
  
  Work Relationships and Scope: Reports directly to the Chief Risk Officer. Will have regular contact with employees of the Risk Department.
  
  Performance Dimensions:
  
  • Must maintain the integrity of confidential business information and follow all guidelines on confidentiality.
  • Provide outstanding services to co-workers & members.
  • Possess the ability to attend to numerous details with frequent interruptions under the stress of maintaining courteous, effective, and timely relations with a variety of individuals and personalities.
  • Promotes quality, accuracy, timeliness, reliability, and thoroughness of work performed.
  • Is punctual, flexible, reliable, and demonstrates a friendly and helpful attitude.
  • Possess ability to gain the trust and respect of members, management, and employees. Also maintains a positive, professional, team-oriented working relationship with staff and outside vendors.
  • Enhance job growth through continuing education, as required or necessary.
  
  
  Requirements
  
  Knowledge, Skills and Abilities Required:
  
  Education/Experience:
  
  • Willing to pursue and obtain applicable certifications for the Credit Union National Association.
  • Experience in a financial institution preferred.
  
  Skills and Abilities:
  
  • Manage personal workflow, incoming calls, and meet deadlines by being organized, detailed and task-oriented with minimum guidance or supervision.
  • Analyze problems (not just symptoms), propose reasonable solutions, make logical decisions, carry-out decisions made, and follow-up with feedback where appropriate.
  • Ability to maintain stable and courteous business relations with employees, etc.
  • Ability to work with a wide range of personalities in a courteous, effective, and efficient manner.
  • Knowledge and ability to apply current financial service industry standards, laws, and regulations.
  • Ability to present ideas, report facts and other information clearly and concisely.
  • Proficient knowledge of the Microsoft Suite (Outlook, Word, Excel, PowerPoint).
  • Proficient operation of a variety of general office equipment such as a computer, software applications, typewriter, calculator, telephone, copy machine, fax machine and other similar devices or programs related to the position.
  
  Working Conditions:
  
  Job Conditions/Work Location: The majority of work will be performed in a normal office environment. Hours of work will generally be during regular business hours. There will be some variation in work hours due to special projects, deadlines, education and other concerns. The noise level in the work environment is usually moderate. Will make periodic visits to branch locations.
  
  Physical Requirements: Ability to sit for extended periods of time, regularly access files (some standing, walking, climbing, bending, stooping, lifting and carrying of usually light materials.) Frequent mental and visual concentration required for computer usage.
  
  Equipment Used: Various software programs, telephone, computer, copy machine, calculator, fax machine, and other office equipment.
  
  Hazards: Only those present in a normal office setting; no known hazards. In the course of working with the public, the employee may, on a very limited basis, encounter abusive, aggressive or unpredictable threatening behavior. Must observe safety and security practices at all times.
  
  Acknowledgment: This job description describes the general nature and level of work performed by the employee assigned to this position. It does not state or imply that these are the only duties and responsibilities assigned to the job. The employee may be required to perform other job-related duties as requested by leadership. All requirements are subject to change over time and to possible modifications to reasonably accommodate individuals with a disability.

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