COMPLIANCE SPECIALIST

Fox Careers Page; Appleton (WI); On-site; USD 65,000 - 90,000; Full time

Benefits offered by this job

Competitive salary

Comprehensive health insurance

401(k) with company match

Paid time off and caregiver leave

Volunteer time off

Job summary

Fox Careers Page is seeking a full-time Compliance Specialist to assist our Compliance Attorney/Officer with the oversight and implementation of the Regulatory Compliance Management Program at our Appleton corporate office.

The role involves reviewing policies, disclosures, and procedures to ensure compliance with state and federal laws, preparing compliance reviews, and coordinating across departments to mitigate regulatory risks.

Qualifications

• Equivalent to a college degree or equivalent in years of study in financial institution compliance field.
• CUCE certification or NCCO certification required.
• Three to five years similar or related experience.
• Excellent communication skills.
• Significant level of trust and diplomacy.
• Strong analytical skills.
• Attention to detail.
• Ability to prioritize work and duties.
• Ability to maintain professionalism in appearance, dress, and attitude.

Responsibilities

• Promoting and upholding Fox purposes, mission, vision, and values.
• Reviewing internal policies and procedures for compliance with state and federal laws.
• Reviewing forms and disclosures for regulatory adherence.
• Preparing written compliance reviews and remedial actions.
• Maintain knowledge of regulatory changes via continuing education.
• Analyzing new laws and disseminating to management.
• Collaborating with departments to implement regulatory changes.
• Coordinating compliance efforts across departments.

Skills

Communication skills

Analytical skills

Attention to detail

Diplomacy

Prioritization

Professionalism

Education

College degree or equivalent in financial institution compliance

CUCE certification

NCCO certification

Job description

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

Responsibilities

• 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

Qualifications

• 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
• Excellent communication skills
• Significant level of trust and diplomacy
• Strong analytical skills
• Attention to detail
• 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

Benefits

• Competitive salary
• Medical, dental, vision, life, short‑term and long‑term disability insurance
• 401(k) (Roth and Traditional) with company contributions including match
• Paid time off and caregiver leave
• Paid Volunteer Time Off

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