State Licensed Compliance Specialist

Job Summary

A company is looking for a Senior Compliance Specialist.

Key Responsibilities

• Coordinates and gathers information for compliance and internal audit reviews, collaborating with management to resolve identified weaknesses
• Monitors and improves the Compliance Management Program, developing procedures to prevent illegal or improper conduct
• Reviews marketing promotions and consumer disclosures for regulatory compliance and provides guidance on compliance matters 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
• Compliance certification through America's Credit Unions must be obtained within the first 18 months of employment
• Working knowledge of compliance-related laws and credit union/bank supervisory procedures is required
• Proven organizational abilities are required to promote the Compliance Management Program effectively