SENIOR COMPLIANCE AUDITOR
The Judge Group Inc.

Job Info

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Location: Sacramento, CA
Salary: $80,000.00 USD Annually - $100,000.00 USD Annually
Description: Our client is currently seeking a Senior Compliance Auditor to work hybrid in Sacramento, CA.

This job will have the following responsibilities:

• Assist with the development and maintenance of the Credit Union's Compliance Monitoring Program.
  
• Review and approve work completed by Compliance Specialists.
  
• Maintain a thorough understanding of state and federal laws and regulations related to regulatory consumer protection compliance
  
• Promote compliance awareness across the organization by establishing and maintaining relationships with key business lines and functional stakeholders.
  
• Analyze testing results to identify trends/anomalies, provide feedback and suggestions on potential process enhancements to improve business unit compliance.
  
• Make recommendations to management regarding policies, procedures and/or controls to improve ongoing compliance efforts.
  
• Assists responsible management in addressing exceptions from audits, reviews, or examinations.
  
  
• Responsible to review all work papers to ensure documentation is in accordance with department standards to support compliance monitoring functions and conclusions.
  
• Conduct second line Compliance Reviews according to schedule to support ongoing business line compliance with applicable regulations and provide feedback to business owners in support of compliance efforts.
  

Qualifications & Requirements:

• EDUCATION: bachelor's degree in business administration or associate degree
  
  coupled with commensurate experience in business communications, analysis
  
  and/or regulatory compliance
  
• EXPERIENCE: Minimum of five years' experience in regulatory compliance, risk, or internal audit for a financial institution including an emphasis on regulatory compliance, project management, customer service, branch operations, complaint resolution, and problem-solving.
  
• A background in regulatory compliance would be helpful but is not required.
  
• Knowledgeable of compliance laws, rules, regulations (with a special emphasis on consumer protection regulations), and procedures.
  
• Strong foundation in credit union philosophy, member service and operational processes.
  
• LICENSES / CERTIFICATIONS:
  
  Certified Internal Auditor (CIA) or equivalent preferred. Compliance Certification (or
  
  obtained within one year of hire) required; and/or Credit Union Compliance Expert
  
  (CUCE), NAFCU's Certified Compliance Officer (NCCO), Certified Bank Compliance
  
  Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), Certified Public
  
  Accountant (CPA).
  

Contact: slee@judge.com

This job and many more are available through The Judge Group. Find us on the web at www.judge.com

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