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Redwood Credit Union · 3 hours ago

Senior Compliance Analyst - Mortgage Lending

Napa, CA

Full-time

Onsite

Senior Level

Redwood Credit Union is seeking a Senior Compliance Analyst who will be responsible for proactively identifying and evaluating risks and controls, completing regulatory compliance analysis and research, and developing action plans to ensure risks are effectively mitigated. The role involves providing guidance and leadership to other team members in Compliance and planning, organizing, and performing Compliance activities and projects.

Finance

Growth Opportunities

Hiring Manager

Dana Jensen, PHR, SHRM-CP

Responsibilities

Review and analyze regulatory and legal changes affecting financial institutions to determine applicability and impact to RCU

Research regulatory/legal questions for other departments as assigned

Present analysis and findings to RCU management

Independently work with RCU departments to implement legal requirements and to ensure changes to products, services, and processes comply with applicable legal requirements

Create and manage compliance programs and training programs

Oversee activities of Compliance Analyst(s) as assigned by Compliance Manager

Prepare revisions to Credit Union disclosures

Prepare written reports and analysis for Compliance management

Assist on projects, exams, audits, and other tasks as assigned

Provide excellent service to all Members and internal clients

Manage projects required to implement regulatory and legal changes, including setting project goals, coordinating efforts between multiple departments, and monitoring for effectiveness

Independently work with RCU departments to identify and mitigate risks to the line of business, including compliance, business continuity, and internal controls

Research and advise RCUSG Management on Credit Union Service Organization (CUSO) governance requirements

Review and analyze regulatory and legal changes affecting insurance agencies and vehicle broker/dealers to determine applicability and impact to RCU Services Group

Present analysis and findings to RCU and RCU Services Group Management

Independently work with RCU Services Group Management to implement legal requirements and to ensure changes to products, services, and processes comply with applicable legal requirements

Create and manage RCU Services Group compliance programs and training programs

Prepare revisions to RCU Services Group disclosures

Prepare written reports and analysis for RCU Services Group Management

Manage projects required to implement regulatory and legal changes, including setting project goals, coordinating efforts between multiple departments, and monitoring for effectiveness

Administer RCU Services Group licensing process to ensure all corporate and employee licenses are properly maintained

Administer annual RCU Services Group reporting

Establish goals and work plans for RCU Services Group compliance

Prepare compliance reports as needed for RCU Services Group Board

Collect and prepare information for both internal and external audits

Act as liaison with external compliance auditors

Document audit procedures performed or coordinated/supported

Maintain audit work papers and documentation

Develop and monitor remediation plans resulting from any deficiencies identified in audits

Administer compliance testing program and monitors result status

Complete status reports and maintain records of time usage

Support RCU governance activities

Attend training as designated by Compliance Manager

Qualification

Regulatory compliance analysisRisk managementCompliance program managementAudit proceduresProject managementAnalytical skillsLeadershipCommunication

Required

Proactively identifying and evaluating risks and controls

Completing regulatory compliance analysis and research

Identifying issues and/or areas for improvement in efficiency or effectiveness

Working with management in developing action plans to ensure risks are effectively mitigated and issues are corrected

Working independently with broad discretion as assignments may be varied, diverse, and difficult in nature

Providing guidance and leadership to other team members in Compliance

Planning, organizing, and performing Compliance activities and projects

Reviewing and analyzing regulatory and legal changes affecting financial institutions to determine applicability and impact to RCU

Researching regulatory/legal questions for other departments as assigned

Presenting analysis and findings to RCU management

Independently working with RCU departments to implement legal requirements and to ensure changes to products, services, and processes comply with applicable legal requirements

Creating and managing compliance programs and training programs

Overseeing activities of Compliance Analyst(s) as assigned by Compliance Manager

Preparing revisions to Credit Union disclosures

Preparing written reports and analysis for Compliance management

Assisting on projects, exams, audits, and other tasks as assigned

Providing excellent service to all Members and internal clients

Managing projects required to implement regulatory and legal changes, including setting project goals, coordinating efforts between multiple departments, and monitoring for effectiveness

Independently working with RCU departments to identify and mitigate risks to the line of business, including compliance, business continuity, and internal controls

Researching and advising RCUSG Management on Credit Union Service Organization (CUSO) governance requirements

Reviewing and analyzing regulatory and legal changes affecting insurance agencies and vehicle broker/dealers to determine applicability and impact to RCU Services Group

Presenting analysis and findings to RCU and RCU Services Group Management

Independently working with RCU Services Group Management to implement legal requirements and to ensure changes to products, services, and processes comply with applicable legal requirements

Creating and managing RCU Services Group compliance programs and training programs

Preparing revisions to RCU Services Group disclosures

Preparing written reports and analysis for RCU Services Group Management

Managing projects required to implement regulatory and legal changes, including setting project goals, coordinating efforts between multiple departments, and monitoring for effectiveness

Administering RCU Services Group licensing process to ensure all corporate and employee licenses are properly maintained

Administering annual RCU Services Group reporting

Establishing goals and work plans for RCU Services Group compliance

Preparing compliance reports as needed for RCU Services Group Board

Collecting and preparing information for both internal and external audits

Acting as liaison with external compliance auditors

Documenting audit procedures performed or coordinated/supported

Maintaining audit work papers and documentation

Developing and monitoring remediation plans resulting from any deficiencies identified in audits

Administering compliance testing program and monitoring result status

Completing status reports and maintaining records of time usage

Supporting RCU governance activities