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Vice President, Compliance

Company: Patelco Credit Union
Location: Dublin
Posted on: May 22, 2020

Job Description:

OverviewThe Vice President Compliance coordinates the credit union's overall compliance program with applicable rules, regulations and statutory requirements through the development and maintenance of a comprehensive compliance program. To effectively achieve compliance goals, the VP Compliance maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and weaknesses. This role advises the lines of business/management on implications of new regulatory policies, Credit Union products, and assists in the implementation of new or revised policies and programs to address them.ResponsibilitiesLine of Business (LOB) Compliance Program Execution and Monitoring:

  • Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies are operating appropriately. Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements.

  • Anticipate potential consequences of unaddressed risk factors or shortfalls in compliance and recommend appropriate controls. Continually challenge LOB staff through ongoing dialogue and discussion to identify opportunities to implement more effective compliance-related policies and procedures.

  • Elevate high profile or high risk cases to the Risk Group and LOB management to ensure visibility and prompt resolution.

  • Perform ongoing validation of monitoring strategies to ensure appropriate governance and control. Identify any observations/trends and make recommendations for improvement.

  • Execute appropriate testing and analyze key performance indicators to ensure requirements of the LOB policies and programs are maintained at a level commensurate with regulatory expectations. Support root cause analysis in response to control failures in LOB.
  • Prepare complete, accurate documentation of compliance monitoring activities. Report findings to the Risk Group and LOB management and provide timely follow-up on outstanding issues.

  • Validate that issues identified through compliance monitoring and review processes are promptly addressed. Ensure that management remediation plans are adequate.

  • Provide guidance to less experienced Compliance team members in developing and implementing solutions.

    Regulatory Consultation:

    • Provide advisory services on compliance matters to LOB management and staff (first line of defense). Work proactively with business line contacts and management toward ensuring that effective and efficient compliance risk management solutions are identified and implemented.

    • Review various forms, disclosures and advertisements for compliance with applicable requirements.

    • Consult on new products, services and automated systems to assist the LOB(s) with incorporating compliance requirements into these initiatives.

      Regulatory Governance:

      • Develop and maintain a high level of expertise in all regulations, directives and guidance which apply to the LOB Compliance group(s) supported.

      • Provide input to LOB Compliance and LOB staff regarding emerging issues and interpretation of regulations.

      • Identify training needs based on gaps identified through the compliance monitoring process.

      • Identify possible enhancements to LOB Compliance tools and processes and communicate them to the Risk Group management.

      • Assist LOB management and staff in communicating and implementing changes to applicable regulatory policies and procedures.

      • Represent the LOB Compliance team and interact with examiners and auditors during internal, external and regulatory audits and examinations.

      • Provide regulatory perspective on appropriateness of LOB sales and marketing materials.

      • Assist the Chief Risk Officer in preparing Patelco to be in compliance with regulation expectations as Patelco surpasses $10 billion in assets.


        • Bachelor's degree and other technical field or equivalent work experience.
        • Recognized compliance certification preferred.
        • Ability to effectively communicate the roles and importance of each of the three lines of defense, as well as proactively identifying regulatory risk.

        • Knowledge of consumer protection regulations such as EFT Act (Reg E), Truth In Savings (Reg DD), Funds Availability Act (Reg CC), UDAAP, Reg D, FDIC Insurance Rules, E-SIGN Act and related marketing and advertising guidelines.
        • Minimum of 10 years of experience in compliance with a financial institution.

        • Experience in a management position and experience with the CFPB.
        • Ability to demonstrate solid judgment, problem solving, and independent decision making skills.
        • Ability to apply knowledge and experience to develop solutions in partnership with senior leaders of the credit union.
        • Effectively communicates internally and externally; assist in communications and presentations with senior management, committees, and other financial institutions.
        • Effectively collaborates with others to achieve organizational goals.

        • Effective planning and organizing skills to deliver workload in timely manner.
        • Self-motivated and ability to adhere to deadlines

          Patelco Credit Union is an EO Employer - M/ F/ Veteran/ Disability

Keywords: Patelco Credit Union, Dublin , Vice President, Compliance, Executive , Dublin, California

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