Compliance Specialist, Finance & Banking

Compliance Specialist

Fox Communities Credit Union – Appleton, Wisconsin, United States

We currently have a career opportunity for a full-time (40 hrs./week.) 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.

The primary responsibilities of the Compliance Specialist role include but are not limited to:

• 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

Candidates for the Compliance position should possess:

• 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
• Significant level of trust and diplomacy
• Strong analytical skills
• 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

Fox Communities Credit Union is an over $3 billion in assets community‑based credit union serving more than 130,000 members at over 20 locations. We take pride in being a progressive, member‑owned, full‑service financial institution dedicated to serving the community.

Fox Communities Credit Union believes our team members are our most important asset. They offer a great team environment, competitive salary and an excellent benefit package which includes medical, dental, vision, life, short‑term and long‑term disability insurance, 401(k) (Roth and Traditional), company contributions including match, paid time off and caregiver leave! As part of our commitment to the communities we serve we also offer all team members Paid Volunteer Time Off!

If you are enthusiastic about a rewarding career with a successful & growing credit union, apply now!

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