Compliance Associate

Nizaricu; Sugar Land (TX); Hybrid; USD 52,000 - 78,000; Full time

Job summary

ADP, Inc. is seeking a Compliance Associate to support branch audits, ensure adherence to policies, and maintain regulatory compliance across the credit union environment. You will assist with internal audits, external examinations, and ongoing monitoring while communicating with branches and management.

Responsibilities include conducting branch procedures reviews, verifying accounts, and supporting remediation of audit findings. A bachelor’s degree and 1–3 years in compliance are preferred.

Qualifications

• Bachelor’s degree in Accounting, Business, or a related field required.
• Professional compliance or audit certification preferred (e.g., CUCE, BSACS, CFE).
• Strong understanding of Branch operations, credit union products, and internal procedures.
• Working knowledge of compliance requirements and audit practices within financial institutions.
• 1–3 years of compliance or related experience preferred.
• Previous experience in a financial institution is a plus.
• Strong analytical and problem-solving abilities.
• Excellent written and verbal communication skills.
• Ability to work independently and manage multiple tasks.
• Proficiency with related computer applications and business equipment (PC, calculator, phone, etc.).

Responsibilities

• Assist in performing Branch audits, including teller balancing, cash balancing, cash controls, and security procedure reviews.
• Conduct periodic and random consumer and business account verifications to ensure compliance with established procedures.
• Assist with audit functions such as balancing, reconciling, verifying, sampling, confirming, evaluating, and reviewing products and services including money orders, bonds, CDs, loan accounts and collateral, dormant accounts, fees, overdrafts, safe deposit boxes, and other branch documentation.
• Review Branch policies and procedures to ensure proper implementation and compliance.
• Review Branch security procedures, including opening/closing processes, night balancing, and cash protection standards.
• Provide support during annual NCUA examinations, external BSA audits, and other third-party verifications.
• Understand audit findings and assist in explaining results and recommended corrective actions.
• Follow up on audit recommendations to support remediation and continuous improvement.
• Provide guidance and support to branch staff on compliance issues using regulatory standards and industry best practices.
• Maintain effective communication with management, keeping them informed of issues, concerns, and audit progress.
• Attend required meetings and training sessions.
• Complete required documentation, reports, and records accurately and within established timelines.
• Assist with or conduct special investigations or audits as assigned.
• Stay current on compliance trends, regulatory updates, and industry developments.
• Support other compliance-related tasks as needed.

Skills

Analytical skills

Written communication

Verbal communication

Attention to detail

Independent work

Multitasking

PC proficiency

Education

Bachelor’s degree in Accounting, Business, or a related field

Job description

The Compliance Associate supports the credit union in conducting Branch audits, ensuring adherence to policies and procedures, and maintaining regulatory compliance. This role assists with internal audits, external examinations, and ongoing compliance monitoring, while maintaining strong communication with branches and management. The Compliance Associate helps ensure the integrity of operations and contributes to maintaining a strong internal control environment.

Key Responsibilities

Assist in performing Branch audits, including teller balancing, cash balancing, cash controls, and security procedure reviews.

Conduct periodic and random consumer and business account verifications to ensure compliance with established procedures.

Assist with audit functions such as balancing, reconciling, verifying, sampling, confirming, evaluating, and reviewing products and services including money orders, bonds, CDs, loan accounts and collateral, dormant accounts, fees, overdrafts, safe deposit boxes, and other branch documentation.

Review Branch policies and procedures to ensure proper implementation and compliance.

Review Branch security procedures, including opening/closing processes, night balancing, and cash protection standards.

Regulatory & Examination Support

Provide support during annual NCUA examinations, external BSA audits, and other third-party verifications.

Understand audit findings and assist in explaining results and recommended corrective actions.

Follow up on audit recommendations to support remediation and continuous improvement.

Communication & Internal Coordination

Provide guidance and support to branch staff on compliance issues using regulatory standards and industry best practices.

Maintain effective communication with management, keeping them informed of issues, concerns, and audit progress.

Attend required meetings and training sessions.

Complete required documentation, reports, and records accurately and within established timelines.

Additional Duties & Professional Development

Assist with or conduct special investigations or audits as assigned.

Stay current on compliance trends, regulatory updates, and industry developments.

Support other compliance-related tasks as needed.

Qualifications

Education / Certification

Bachelor’s degree in Accounting, Business, or a related field required.

Professional compliance or audit certification preferred (e.g., CUCE, BSACS, CFE).

Required Knowledge

Strong understanding of Branch operations, credit union products, and internal procedures.

Working knowledge of compliance requirements and audit practices within financial institutions.

Experience

1–3 years of compliance or related experience preferred.

Previous experience in a financial institution is a plus.

Skills & Abilities

Strong analytical and problem-solving abilities.

Excellent written and verbal communication skills.

Ability to work independently and manage multiple tasks.

Proficiency with related computer applications and business equipment (PC, calculator, phone, etc.).