Assistant Vice President of Compliance

Full Time
1 month ago


  • Achieves, maintains a NAFCU NCCO certification in compliance.
  • Develops, monitors and administers credit union policies and procedures that that ensure compliance with laws, regulations and rules that govern the credit union’s operations, products and services.
  • Serves as the subject matter expert on all state and federal regulations and laws impacting the credit union.  Advises management on regulatory changes.  Leads efforts to comply with any changes.
  • Reviews / drafts marketing disclosures to ensure regulatory compliance.
  • Supports department heads in lending, operations, marketing and security with regulatory compliance assistance.
  • Works with the training department to ensure staff are trained on regulations impacting their responsibilities.
  • Prepares well documented work papers on monitoring, analysis and conclusions related to departmental compliance monitoring.
  • Conducts ongoing compliance monitoring in lending and operations to ensure regulatory compliance. 
  • Oversees the credit union’s vendor management program including assistance with departmental risk assessments and vendor risk assessments.
  • Oversees the credit union’s business continuity planning.
  • Assists with internal audits, federal examinations and other audits / examinations.  Administers exam preparation as requested.
  • Administers the management of the credit union’s record retention and document destruction program.
  • Other duties as assigned.


NON-ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned. No non-essential duties and responsibilities have been assigned.




QUALIFICATIONS   To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.



Bachelor's Degree (or equivalent experience) required; three to five years related experience required and/or training. Two years of supervisory experience preferred or equivalent combination of education and experience. Requires knowledge of Federal and State Laws and regulations applicable to credit unions. NCBSO or NCCO or equivalent designation preferred


Essential computer or other knowledge including a thorough knowledge of financial services policies and procedures, and the ability to make sound, intelligent underwriting decisions based on an understanding of lending policies and procedures.    



Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.  Ability to write reports, business correspondence, and procedure manuals.  Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public

202 Salem Turnpike Norwich , CT 06360