Compliance Manager
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Overview
Job Description
The Compliance Manager assists AMOCO in achieving its mission of "serving the financial needs of our members" by ensuring compliance with all company policies and procedures, as well as, all applicable state and federal financial regulations. Must comply with company's BSA/AML Program and ensure that Consumer Compliance regulatory requirements are adhered to. Responsible for the oversight of a Consumer Compliance and Safety and Soundness program for the credit union.
Our Culture
AMOCO Federal Credit Union is 85+ years strong and recognized as one of the largest credit unions in the Houston/Galveston area. Our culture is driven by staff who exemplify the cooperative spirit of people helping people. By listening and understanding the needs of our membership, we aim to become their trusted financial institution. The goal with every interaction is to create member loyalty and to serve and satisfy the financial needs of our members and employees at every touch point in the member service chain. To achieve that, we focus on hiring for talent and the right fit for our culture.
Work Perks
We offer the following exceptional benefits:
- Health Benefits including medical, dental, and vision for employees
- Tuition reimbursement
- On the job training
- 401(k) match
- Annual Bonus Incentive
- Paid Company Annual Holidays
- Paid time off
- Frequent employee appreciation and recognition events
Essential Functions and Duties
| Weight | Description |
20% | Maintains a schedule for a cursory examination of all compliance requisites and looks for evidence of deficiencies in controls, duplication of effort, timeliness of response to compliance issue or lack of compliance with laws, government regulations, and management policies or procedures. |
| 15% | Documents investigative steps in the Case Management System. Process CTR and SAR filings. Maintains documentation of compliance activities, such as complaints or investigation outcomes. Assist with compliance audit for the organization, maintaining the ongoing compliance program and coordinating with outside audits, exams and reviews. |
| 10% | Assists the credit union in understanding and addressing all applicable laws and regulations. Develops and maintains corporate compliance policies and establishes compliance review procedures. |
| 10% | Assists administration and other credit union personnel on department business to coordinate inter and intra-departmental activities; resolves inquiries or issues relating to BSA/Compliance matters; participates in various internal committees as assigned. |
| 10% | Responsible for the development and update of BSA/AML training materials and forms for credit union's personnel and Management. |
| 10% | Monitors compliance management system. Assesses various compliance surveillance and exception reports. Conduct periodic internal account/customer reviews to identify potentially suspicious activity. Completely and accurately document steps taken through the investigation process. |
| 10% | Attends compliance schools and information sessions to become knowledgeable and skilled in compliance requirements. Reports requirements to management and may train departmental heads in compliance processes, requirements and controls. |
| 10% | Analyzes complex situations and provides guidance, escalate issues to appropriate levels of management. Manages the record retention program, NMLS registration program, the red flag identity theft program, and non resident alien documentation. |
| 5% | Accountable for the success of task/project results, set dates for weekly dialogs and team meetings if needed. Prepares meeting agendas and takes the lead role in facilitating to ensure the team's time is used wisely. Contributes to the work of the team and encourages dialog between members (if needed) and attends line of business meetings with other departments. |
- Must comply with all company policies and procedures, applicable laws and regulations, including but not limited to, the Bank Secrecy Act, the Patriot Act, and the Office of Foreign Assets Control. - Commitment to provide excellent customer service while using Member Service & Loyalty Skills: Focus on Member, Maintain/Enhance Self-Esteem, Listen, Maintain Personal Responsibility, Manage Complaints and Resolve Problems. Knowledge and SkillsEXPERIENCEFive years to eight years of similar or related experience, including preparatory experience. EDUCATION/CERTIFICATIONS/LICENSESPrefer a completed Compliance Certifications from National Compliance School. INTERPERSONAL SKILLSThe ability to motivate or influence internal or external senior level professionals is a critical part of the job, requiring a significant level of influence and trust. Obtaining cooperation and agreement on important outcomes via frequently complex, senior level dialogues, as well as a professional level of written communication skills are essential to the position. OTHER SKILLSUnderstanding and knowledge of Bank Secrecy Act and AML Regulations, USA Patriot Act, Office of Foreign Assets Control and/or local regulations or consumer fraud issues (Preferred). | |
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