AVP Compliance at WEOKIE Federal Credit Union – Oklahoma City, Oklahoma

The Assistant Vice President of Compliance is responsible for leading and strengthening the organization’s compliance program to ensure adherence to applicable laws, regulations, and internal policies. This role provides oversight of Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) and compliance programs, supports regulatory readiness, advises business units on compliance implications of products, services, and operational changes, and promotes a culture of accountability and sound risk management across the organization. The role also helps drive a proactive culture of compliance through sound guidance, monitoring, reporting, and timely remediation of identified issues.

1. Develop compliance policies and procedures.
2. Ensure appropriate management and employee training in applicable laws and regulations.
3. Reviews products, policies and procedures for compliance with applicable laws and regulations and the organization’s stated policies and practices.
   d. Assesses emerging issues or potential liabilities.

1. Ensures corrective action is taken to respond to identified compliance issues.
2. Responsible for product/service compliance reporting and written assessments. This includes coordinating business impact analysis related to new or proposed regulations.

1. Serves as WEOKIE’s Compliance/BSA Officer, SAFE Act Officer, OFAC Officer, CIP Officer, and Red Flags Officer.
2. Monitor and analyze suspicious activity reports (SARs), customer due diligence (CDD) information, and other relevant data to identify potential money laundering or terrorist financing activity.
3. Lead, mentor, and assist team members with investigations of Suspicious Activity, Identity Theft, Financial Exploitation of vulnerable members, member account issues, and prepare investigative reports.
4. Supervises associated staff.
5. Serves as compliance contact and assists in responding to the day-to-day compliance questions submitted by various departments.
6. Participates in the review/research of new products and services to ensure that compliance and operational risks are identified.
7. Works with WEOKIE departments to assess the compliance and operational risk implications resulting from changes made to policies, procedures, and processes.
8. Maintains knowledge of operational policies, procedures, and systems in operational areas in order to support compliance integration.
9. Builds and maintains constructive, collaborative working relationships characterized by credibility and mutual respect.
10. Assists in managing change to ensure regulatory compliance and follow audit and examination findings through to completion.
11. Assists in ensuring employees understand how their job duties and responsibilities fit into the overall compliance program.
12. Assists with the review and updating of consumer disclosures for all services and products.

Assists with compliance reviews of advertising materials and promotions.

Critical Results:

1. Members and Employees receive a consistently superior service experience.
2. Subordinates work in a positive environment and are developed and encouraged towards individual growth and success.
3. Assigned business units operate efficiently, under appropriate operating controls and are compliant with applicable state and federal laws/regulations.
4. BSA/AML assessments, and others as necessary, are regularly prepared, evaluated, and updated to reflect changes to information systems, major operating processes, or new products and services.

1. Specialized or Technical Knowledge and Skills: The Assistant Vice President of Compliance must possess significant experience and have critical thinking and problems solving

skills. The following are also required:

1. Job Specific Competencies: The position requires a well-rounded and level-headed individual who is able to maintain composure in a variety of situations. The following stand out among a long list of behavioral competencies for this position:

EQUAL EMPLOYMENT OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER

WEOKIE does not and shall not discriminate on the basis of Protected Status, marital status, political belief or any other status or condition protected by applicable federal and/or state law. Bona fide occupational qualifications will be applied impartially. These activities include, but are not limited to,

hiring of staff, selection of volunteers and vendors, and provision of services. We are committed to providing an inclusive and welcoming environment for all our members, our staff, clients, volunteers, subcontractors, vendors, and clients.