Compliance Specialist Certification Required

Job Summary

A company is looking for a Senior Compliance Specialist.

Key Responsibilities

• Coordinates and gathers information for compliance and audit reviews, collaborating with management to address identified weaknesses
• Monitors and improves the Compliance Management Program, developing and revising operational procedures to prevent illegal conduct
• Reviews marketing promotions and documents for regulatory compliance, and provides guidance on compliance issues as needed

Required Qualifications

• Bachelor's degree or equivalent experience is required
• 3+ years of experience in the financial industry with a focus on financial regulations is required
• Certification in compliance must be obtained within the first 18 months of employment
• Working knowledge of compliance-related laws and credit union supervisory procedures is required
• Proven organizational abilities are required to promote the Compliance Management Program