East Texas Professional Credit Union ยท 4 hours ago
Compliance/Audit Specialist
Administration Building - Longview, TX 75605
Full-time
Onsite
Mid Level
3+ years expEast Texas Professional Credit Union is seeking a Compliance/Audit Specialist to perform a broad variety of audit functions ensuring staff compliance with policies and procedures. The role involves verifying, sampling, reviewing, and reporting on various financial and operational activities, while working closely with the Compliance Officer and auditors to enhance internal controls.
FinanceFinancial ServicesInsurance
Responsibilities
Responsible for performing a broad variety of audit functions to ensure staff compliance with policies and procedures
Completes audit functions including verifying, sampling, reviewing, confirming, and reporting in such areas as financial accounting, operations activities, loan process, and other areas as assigned
Works with Compliance Officer and auditors to evaluate internal controls and recommend improvements
Assists and supports Compliance Officer and Special Accounts Representative as needed
Serves as Credit Unions OFAC Officer
Performs other duties as assigned
Assumes responsibility for the effective and professional performance of internal audit functions
Reviews Credit Union documents and records for evidence of fraud, deficiencies in controls or employee performance, and ensures staff compliance with appropriate federal and state regulations as well as established Credit Union policies and procedures
Monitors and verifies file maintenance changes made to share, loan, and collection accounts
Audits signature cards to ensure compliance with CIP, new account, and imaging procedures
Audits business deposit accounts to ensure appropriate documents are on file
Monitors dormant accounts and processes appropriate member notification
Conducts annual MasterCard audit
Conducts quarterly FIS quality control reviews to ensure appropriate authorization levels for current users
Assists Compliance Officer with all other regular audits as directed
Monitors compliance with the OFAC policy and procedures, works with third parties to clarify if an individual is an SDT, maintains access to OFAC lists, and conducts training on OFAC regulations
Assumes responsibility for establishing and maintaining effective, professional business relations with staff, auditors, and members
Works closely with external auditors and staff to evaluate internal controls and recommend improvements
Works closely with staff while conducting audits to ensure staff compliance with policies and procedures
Maintains and projects the Credit Union's professional reputation
Assumes responsibility for establishing and maintaining effective coordination and working relationships with area personnel and management
Assists area personnel as required
Keeps supervisor informed of area activities and significant problems
Completes required reports and records accurately and promptly
Attends meetings as required
Assumes responsibility for related duties as required or assigned
Performs related clerical and secretarial duties as needed
Ensures that work area is clean, secure, and well maintained
Qualification
Required
High school graduate or equivalent
Thorough knowledge of credit union policies and procedures required
Three or more years of credit union experience in increasingly complex positions
Excellent communication and critical thinking skills
Ability to operate computer applications and business equipment, including Microsoft Office Suite (Word, Excel)
Professional appearance, dress, and attitude
Company
East Texas Professional Credit Union
East Texas Professional Credit Union offers banking, insurance and financial services.
201-500 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase