Compliance Specialist, Finance & Banking

We currently have a career opportunity for a full-time (40 hrs./wk.) Compliance Specialist
based out of our corporate office (Enterprise) in Appleton!

The Compliance Specialist assists the Compliance Attorney/Officer with the oversight and implementation of the Regulatory Compliance Management Program and assists the business lines and operations areas in meeting their regulatory compliance obligations.

• Promoting and upholding the Fox Purpose, Mission, Vision, and Values
• Reviewing internal policies, processes, and procedures to ensure compliance with the appropriate state and federal laws and regulations
• Reviewing forms, disclosures, and procedures for adherence to governing regulations
• Preparing written compliance reviews identifying deficiencies and required remedial action
• Maintaining a high level of financial compliance knowledge, including changes to state and federal laws and regulations through continuing education via seminars, conferences, webinars, and professionally provided material
• Analyzing new and pending laws and regulations to disseminate the information to appropriate management
• Working with the Compliance team to ensure appropriate and timely measures are taken to implement legal and regulatory changes which may affect policy and/or procedures
• Managing updates to corporate policies, ensuring accuracy, timeliness, and consistency
• Coordinating compliance efforts within all departments of the credit union
• Providing direction and information for staff, management, and the Board of Directors
• Maintaining Credit Union Compliance Expert (CUCE) certification
• Reviewing and approving marketing materials, website, email campaigns, social media posts and digital content for compliance in meeting all applicable legal, regulatory, and internal compliance standards
• Identifying and flagging potential compliance issues in marketing campaigns, materials, and digital to mitigate compliance risks and recommend corrective actions
• Collaborating with various departments to align marketing strategies with compliance requirements
• Communicating comments effectively and working with business partners for creative solutions to issues
• Researching compliance related inquiries
• Actively participating in various compliance projects and initiatives

• Equivalent to a college degree or equivalent in years of study in financial institution compliance field
• CUNA’s Credit Union Compliance Expert (CUCE) certification or NAFCU Certified Compliance Officer (NCCO) certification
• Three to five years similar or related experience
• Excellent communication skills
• Significant level of trust and diplomacy
• Strong analytical skills
• Attention to detail
• Ability to prioritize work and duties
• Ability to maintain professionalism in appearance, dress, and attitude
• Ability to explain rules and regulations to those who do not have a compliance background

• Competitive salary
• Medical, dental, vision, life, short‑term and long‑term disability insurance
• 401(k) (Roth and Traditional) with company contributions including match
• Paid time off and caregiver leave
• Paid Volunteer Time Off

Equal Opportunity Employer of Protected Veterans, and Individuals with Disabilities.