Director of Compliance and Corporate Counsel
ROBINS FINANCIAL CREDIT UNION
Warner Robins, GA, USA
Published 1 month ago
Business Compliance
Full time
Description
What You'll Do:
Employer-Paid Benefits:
What You Need To Succeed:
What You'll Do:
- Legal Advisory and Compliance:
- Provide legal advice concerning a variety of matters including the establishment, interpretation, and revision of credit union policies, organizational compliance with applicable laws and regulations, contractual agreements, and fiscal issues.
- Assist and provide counsel to credit union personnel for a broad array of consumer retail and business loan and account products and services regarding legal matters including but not limited to Uniform Commercial Code, Trusts, Guardianship and Conservatorship documents, powers of attorney documents, garnishments, levies, and bankruptcies.
- Litigation Management and Regulatory Support:
- Conduct internal investigations, support regulatory inquiries, assist in the assessment of legal complaints and/or actual or threatened litigation.
- Assist General Counsel with managing litigation and external counsel as appropriate with consideration to budgeting, strategic planning, outside counsel fees and expense management.
- Represent the credit union as necessary in various State and Federal Courts or before appropriate agencies.
- Legal Management and Regulatory Support:
- Research, analyze, distill and interpret complex laws, rules and regulations in a clear and concise manner (both oral and written) to Legal Department colleagues, senior management, and internal clients at various levels within the organization.
- Advice on legal and policy matters from time to time relative to supervision and regulation and systemic legal risk; proactively anticipate, monitor and address legal, regulatory and industry trends and advice business on commercially reasonable solutions to ensure the execution of business objectives proceeds in a practical and risk-based manner within established risk tolerances.
- Create and enhance template documents, agreements, policies, procedures and processes to create greater efficiencies for the Legal Department delivery model and organization as a whole.
- Risk Assessments, Compliance Audits, and Required Filings:
- Oversee independent reviews of compliance related matters.
- Oversee the annual risk-based plan for Compliance.
- Evaluates audits ensuring adherence with Credit Union policies, regulations, financial controls, and financial industry standards. Prepares Compliance status reports for the Audit Committee and Board of Director meetings.
- Completes and submits all required reports, records, and related documents in a timely manner.
- Serves as liaison for all external audit and regulatory agencies for Compliance related topics.
- Staff Training and Development:
- Manages and appraises the activities of direct reports.
- Oversees company-wide compliance initiatives and compliance training programs.
- Provides leadership to compliance personnel through effective objective setting, delegation, and communication. Conducts staff meetings as required.
- Conducts regular performance evaluations, provide constructive feedback, and support professional growth opportunities for team members.
- Fosters a positive and collaborative work environment, encouraging teamwork, integrity, and exceptional member service.
- Creates appropriate procedures for Compliance operations in conjunction with the Chief Risk Officer & General Counsel.
- Ensures that team members are well trained, effective, and optimally used.
- Member Service and Relationship Management:
- Provide excellent service to credit union members by responding to inquiries, explaining compliance requirements, and assisting with credit union operations.
- Build and maintain strong relationships with members and credit union staff.
- Ensures that the Credit Union's professional reputation is maintained both internally and externally.
- Promotes and establishes strong, positive and productive working relationships within the organization through commitment to the company's vision statement, core values and business principles.
- Directs and coordinates Compliance and BSA staff to ensure enterprise-wide compliance:
- Assists with strategic planning of operational goals and ensures that institution-wide plans are completed and supported
- Develops short and long term goals and objectives for the Credit Union's Compliance and BSA programs.
- Stays informed of changing regulations, policies and industry trends.
- Additional Functions:
- Keeps Management informed of area activities and of any significant problems.
- Testing of new forms, procedures, Symitar releases, and programming changes.
- Provides regular training as needed regarding policy, procedures, and program changes.
- Efficiently manage and complete projects and tasks assigned by management within designated timelines.
- Comply with all applicable policies, procedures, laws and regulations including but not limited to the Bank Secrecy Act.
- We believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employer-Paid Benefits:
- Health Insurance (only employee premium paid)
- Short and Long Term Disability
- Life Insurance and AD&D
- Dental & Vision Insurance
- Health Care and Dependent Care Flex Spending Accounts
- 401K Plan with match (based on length of employment)
- Generous paid time off- Earn over 3 weeks of PTO during your first year of employment
- Holidays- 11 observed holidays in addition to paid time off
- Tuition reimbursement- Up to $5000 per year
- Performance based Incentive program
What You Need To Succeed:
- Job Education and Experience Required:
- Bachelor's degree from a university or college accredited by a recognized institution.
- Juris Doctorate from a law school accredited by the American Bar Association (ABA).
- State Bar of Georgia licensure is required, or the ability to fulfill licensing requirements within an agreed-upon timeframe.
- 5-7 years of Legal/Compliance experience
- Preferred Education, Certifications & Experience
- Other certifications and/or licenses such as CUCE (CUNA Credit Union Compliance Expert) or NCCO (NAFCU Certified Compliance Officer) are desirable but not required. Equivalent certifications and/or licenses are also desirable.
- Knowledge and Job Performance Requirements:
- Knowledge of financial services industries, applicable industry regulations and procedures, and Banking and Creditor's Rights law.
- Experience reviewing, editing, drafting, and negotiating contracts and related documents.
- Previous courtroom experience helpful.
- Previous financial institution experience in a legal or non-legal role is highly desired.
- Compliance with all regulations including but not limited to the Bank Secrecy Act, OFAC, and USA Patriot Act.
- 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.
- While performing the duties of this job, employee is regularly required to sit, stand, and walk; use hands and fingers to handle or feel; reach with hands and arms; talk and hear.
- Must be able to lift and carry up to 20 pounds.
- Vision requirements include close and classroom vision.
- Rarely required to travel by automobile.
- Occasionally required to work other than normal business hour