Ethics & Compliance Training Specialist jobs in Huntington Beach, CA

The overall purpose and role of the Compliance Specialist is to ensure that the Credit Union is in compliance with all state and federal regulations, as well as administering quality assurance checks that support compliance within the established guidelines.  Analyze new and pending laws and regulations that could affect the Credit Union practices and make recommendations to the Leadership Team. Assists vendor management in monitoring and performing regular due diligence to assist Relationship Owners with assessing and managing assumed risks. The position will also perform Quality Assurance reviews on Consumer Loans, Real Estate Loans and Pre-Funded Mortgage Loans, as well as assist with Branch quality Assurance Reviews. This role ensures that policies, procedures and regulations are followed in order to protect the integrity of the credit union.

Responsibilities:

• Compliance Development: Assumes responsibility for the Credit Union’s compliance with all applicable laws, rules, and policies. Assists in the management, implementation, and assurance of compliance with applicable financial laws and regulations. Assists and makes recommendations in response to regulatory changes. Compiles reference resources for the Credit Union’s daily use to ensure compliance with regulations. Assists Leadership Team, as needed, in developing policies and procedures that follow compliance guidelines. Periodically reviews existing policies to ensure accuracy, efficiency, and effectiveness. Ensures policies and procedures are updated and are in accordance with evolving regulations, legal requirements, and industry trends. Reads material from CUNA, CCUL, CFPB, Federal Reserve, NAFCU and NCUA; attends seminars, webinars, and training sessions to stay abreast of compliance changes and updates, maintains Compliance Commitment Report. Prepares compliance reports for Supervisory Committee meetings.
• Marketing Compliance Review: Reviews all marketing and promotional material for Compliance with state and local laws.
• Compliance and Quality Assurance Reviews: Assumes the responsibility of coordinating and completing various compliance and quality assurance reviews including those conducted by third parties. Utilize compliance and audit software to track findings through completion and provide reports to management as needed. Perform quality assurance reviews on Consumer, Business, Real Estate Loans and Pre-Funded Mortgage Loans as needed. Assist with branch quality assurance reviews as needed.
• Forms Compliance: Works with forms vendors and credit union departments to ensure that CU forms are in compliance with state and federal rules and regulations.
• NMLS Administrator: Ensures that MLO information (with regards to SAFE Act) is up to date on NMLS website. Keeps Nuvision’s list of MLO Unique Identifiers current and accessible to all staff. Monitors annual renewal, ensuring that the registration for all MLOs and applicable credit union staff is current.
• Vendor Management Program: Assist in the oversight of the credit union’s vendor management program including contract and lease management; support Relationship Owners in completing risk assessments and due diligence. 
• Supports and participates in continuous improvement activities. Represents the Credit Union in a positive and professional manner. Maintains member, team members and other sensitive information with confidentiality. Treats co-workers and members with respect.
• Supports member relations and events that promotes member centric experiences.
• Other related duties as assigned.

Qualifications:

• 3 to 5 years combined related experience in compliance and audit in the financial industry.  
• Solid understanding of applicable state and federal laws and regulations. 
• Knowledge of operational and lending processes related to the financial industry.
• Microsoft Word, Excel, data mining skills. 
• Must have a high aptitude for detailed work, research, and problem solving. 
• Must be able to analyze data and recognize potential audit issues and regulatory violations. 
• Excellent oral and written skills to effectively communicate audit and review reports to co-workers and management. 
• Able to work in a fast-paced environment with multiple and /or constantly changing priorities. 
• Time management and organizational skills required to coordinate multiple projects and to be ability to provide comprehensive reviews and reports to management.

Education: Bachelor’s Degree in related field or equivalent work experience.

Website: nuvisionfederal.com/careers

Benefits:

• Medical
• Dental
• Vision
• Life Insurance
• Flexible Spending Account
• 401(k) Matching
• Paid Time Off
• Training Provided
• Tuition Reimbursement

Covid-19 Precaution(s):

• Remote Interview Process (some positions vary)
• Social Distancing and Mask Guidelines in place