General Summary

The Senior Risk and Compliance Analyst, under general supervision and in compliance with all federal and state regulations and established firm policies and procedures, is responsible for identifying, measuring, and monitoring the Credit Union’s compliance and operational risks across the enterprise. A successful candidate will have foundational knowledge of risk and compliance, laws/regulations, processes and associated controls, and risk management and risk mitigation practices to identify deficiencies and opportunities. This position requires strong analytical skills in order to filter, prioritize and validate potentially complex and dynamic material from multiple sources. Strong communication skills are also required.

Major Duties & Responsibilities

1. Assists with the development and implementation of programs to enhance the firm’s control environment, technology, tools, and governance processes to create solutions for minimizing losses from failed internal processes, inadequate controls, and emerging risks.

2. Contributes to risk assessments and drives action to address the root causes by challenging both historical and proposed practices. Schedules, delivers, and follows-up to ensure risk questionnaires and other risk assessments are completed on time to ensure compliance requirements are met across the Credit Union. Assists in training and mentoring less experienced team members on multi-faceted engagements, platform dependencies, and assists with the review and interpretation of less-complex guidance.

3. Liaise with business areas, technical staff, project teams, and third parties to execute cross-functional risk assurance projects. Prepares materials to support communication of assessment results and findings with multiple stakeholder groups.

4. Evaluates control environments across the enterprise by ensuring appropriate controls are in place. Develops assessment reports, test scripts, and execute testing.

5. Prepares and provides compliance performance and risk-related reports to senior management.

6. Coordinates audits, examinations, and deliverable requirements from internal and external reviewers by supporting coordinating activities.

7. Assists with the development of compliance oversight materials for senior management.

8. Assists with vendor management due diligence reviews as needed.

9. Complies with all applicable Rules, Regulations, and Statutes of the NCUA and other appropriate governing bodies to include but not limited to: the Credit Union Bylaws, Credit Union Code of Conduct, Credit Union Employee Guidebook, Bank Secrecy/Anti-Money Laundering Act, Fair Housing Act, Fair Lending Act, and Fair Credit Reporting.

10. Performs other duties as assigned.


Education: Bachelor’s Degree or combination of education and equivalent experience. Compliance and/or Risk related certification preferred.

Experience: 5+ years relevant experience. Demonstrated Risk and Compliance experience with a background in key operational areas, testing experience, report preparation, trend tracking and analysis. Ability to independently handle multiple priorities and deliver a quality result within tight deadlines. Strong Attention to detail and follow-up skills. Technical proficiency in MS Office Suite programs, such as Word and Excel.

Communication: Excellent oral and written communication skills required. Customer focused with excellent interpersonal skills and ability to work well in a team environment collaborating across diverse teams.

PLEASE CONTACT: Michael Tuller / 212-997-3169 / mtuller@compliancesearch.com

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