Compliance Specialist (at small credit unions)

Accounting & Finance NORCROSS, Georgia


Position at NAPA Auto Parts

Position Overview:

This individual handles many credit union duties in the course of a day with the primary focus being that of ensuring credit union compliance.  The Compliance Officer also provides information on credit union products and services to members according to credit union policies and procedures as well as state and federal rules and regulations.

Major Functions:


  • Develop, implement and maintain an ongoing risk-based compliance program.
  • Develop, implement and maintain an on-going ‘how to’ manual of all credit union duties and responsibilities that are performed by all credit union employees.
  • Analyze regulation and policy, assess compliance risk, recommend correction for deficiencies, assist in implementation/training, and ensure ongoing adherence.


Duties and Responsibilities:

  • Develop, implement, and maintain an ongoing, risk-based compliance program to include compliance training and policy and procedure creation.  Document this program and report on progress throughout the year.
  • Research and analyze new and pending regulations affecting the credit union's current operations.Provide written documentation to assist management in the development and maintenance of policies and procedures to ensure compliance with the applicable Federal and State laws and regulations.
  • Collaborate with External Auditors to prepare and present reports to the Supervisory Committee and senior management regarding the credit union's compliance.
  • As the Bank Secrecy Act (BSA) Officer, take responsibility for compliance and oversight of the BSA and OFAC programs.
  • Review, revise and develop credit union forms and disclosures to ensure compliance with applicable laws, rules and regulations.
  • Review advertising and marketing materials for compliance.
  • Maintain a high level of current knowledge/certifications of applicable State and Federal Laws and industry regulations in order to assist management in ensuring the credit union's policies and procedures remain compliant and are adhered to in all areas.
  • Participate in new product development and provide input regarding compliance concerns relevant to proposed and current products and services offered by the credit union.
  • Special projects, research, analysis and other duties as assigned.

Performance Standards:

  • Works autonomously
  • High level of analytical and problem solving skills
  • Ability to motivate and influence others
  • Manages projects successfully from start to finish
  • Meets deadlines
  • Excellent attention to detail
  • Teamwork and cooperation oriented
  • High level of written and verbal communication skills
  • Maintains a high level of confidentiality
  • Produces accurate work results
  • Readily keeps others adequately informed
  • Ability to make engaging presentations to groups
  • Presents a professional image
  • Maintains a high level of knowledge
  • Strives to exceed credit union, department, and personal goals



  • Three to five years of similar or related experience.
  • A Bachelor’s degree in Business Administration or related field, or equivalent combination of education and experience required. Must have a thorough knowledge of financial policies, procedures, products and services, and have the ability to monitor, explain and disseminate compliance requirements, as they relate to financial services.
  • Cuna Certified Credit Union Compliance Expert (CUCE) or equivalent, preferred.
  • Extensive knowledge of Bank Secrecy Act, OFAC, USA Patriot Act and related regulations.
  • Excellent analytical skills to conduct thorough research to interpret laws and regulations.Ability to provide workable recommendations and solutions to problems.
  • The ability to motivate and influence others, as well as obtaining cooperation.
  • Must possess excellent verbal, presentation, and written communication skills.
  • Outgoing personality with ability and willingness to offer new ideas and work with all levels of the organization, including members.
  • Excellent computer/software skills; experience with Microsoft Office and Symitar preferred.


Physical Demands:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Normal office environment where there is little discomfort or exposure to hazards due to temperature, dust, noise etc.
  • While performing the duties of this job, the employee is regularly required to walk; use hands and fingers, reach with hands and arms.
  • The employee consistently is required to stand and sit, view computer screen, talk and hear, and lift/move up to 25 pounds.
  • Ability to work overtime, attend meetings, seminars and travel, if required.

We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law.