Job Type
Full-time
Description
The
Compliance Manager ensures the organization adheres to all relevant laws and regulations, with a focus on advertising compliance and product/service reviews. This role involves developing and maintaining compliance policies, conducting monitoring and investigations, and managing the compliance team. The manager collaborates across departments to provide guidance, deliver training, and promote a culture of proactive compliance and regulatory awareness.
This position is based in
Anaheim Hills CA with the opportunity to work on a hybrid-remote schedule which consists of 2 day in-office and 3 days working remote from home.
Business Hours: Monday - Friday 8:00AM - 5:00PM*
*Based upon business needs, our positions may require working flexible hours, including additional in-office days.
Requirements
Minimum Qualifications- High School Diploma or equivalent.
- 7+ years of progressively responsible compliance-related experience in marketing, lending and operational compliance in a financial institution.
- 2+ years in a supervisory or leadership role.
Preferred Qualifications- Associate degree or equivalent experience.
Skills and Abilities- Proficient in all applicable MS Office programs (i.e., Word, Excel, Outlook, Teams, etc.).
- Comprehensive understanding of NCUA, CFPB and related regulations.
- Strong investigative, analytical, and critical-thinking skills.
- Exceptional organizational skills and attention to detail.
- Effective communication skills, both written and verbal.
Essential Duties and Responsibilities- Ensure the Credit Union complies with all laws and regulations that affect the organization through compliance reviews, focusing on Branch Operations, Lending, advertising, marketing, and product/service reviews.
- Provide all branches, the Member Care Center, and business units with regulatory updates, requirements, and answer compliance questions
- Develop, implement, and update compliance policies and procedures to reflect current regulations and industry best practices.
- Lead, manage, and mentor the compliance team, ensuring proficient and ongoing development of staff (Compliance Officers, Compliance Analysts), that results in a highly efficient operations environment and reflects high-quality performance.
- Oversee compliance monitoring of internal operations to detect potential compliance issues and conduct investigations as needed.
- Work closely with other departments to ensure compliance in advertising materials, product offerings, and business operations.
- Audit and ensure ongoing compliance training courses for staff promote regulatory awareness and ensure consistent compliance across the organization.
- Ensure accurate and timely reporting of compliance activities to senior management and regulatory agencies when required.
- Foster a culture of proactive compliance by recommending improvements to policies, processes, and controls to enhance the organization's compliance posture.
- Complete understanding and active application the C.A.R.E. 4 Guide expectations and the Brand Communications Standards Accountability Philosophy.
- Demonstrates leadership behaviors consistent with the organization's Servant Leadership Competency Model (SLCM) and is accountable for fostering a culture of engagement, accountability, collaboration, and team member development through day-to-day leadership practices.
- Must be able and available to work a "hybrid" schedule, per business operations requirement, as needed.
- Additional duties and responsibilities, as assigned.
We support Pay Transparency and are a pay-for-performance organization that benchmarks base pay to the 50th percentile of market data.
Pay Scale: Min. $103,808 / Mid. $136,703 / Max. $165,443* per year
*Actual compensation will be based on geographical location, work experience, education and/or skill level.
The above statements are intended to describe the essential functions, nature and level or work to be performed as of the document preparation date; they are not intended to be an exhaustive list of all duties and responsibilities. CU SoCal reserves the right to modify this job description at any time, without notice.
We foster an environment and culture where ideas and decisions from all people help us grow, innovate, and fulfill our mission of
Building Better Lives.
