Identify potential areas of compliance vulnerability and risk to develop and implement corrective action plans. • Provide guidance, advice, and training to improve business' understanding of related laws and regulatory requirements. • Prepare training programs to improve compliance at all levels. • Oversee the Credit Union’s Unclaimed Process, and ensure it is performed in compliance with the state regulations. • Gather, organize, and evaluate data to make accurate assessments of current operations. • Manage practical action plans to respond to audit discoveries and compliance violations. • Write and present reports outlining findings and recommendations from compliance audits. • Enhance accountability and responsibility for compliance by allocating tasks such as assessments, mitigation, monitoring, and auditing. • Review company forms, marketing materials and communication procedures for compliance with applicable laws and guidelines. • Oversee proper maintenance and dissemination of filing documentation as well as records and reports for review by various departments. • Collaborate with sales and marketing departments and other business units to address indications of improper sales practices and market conduct violations. • Collaborate with Senior Leaders on upcoming initiatives and projects to ensure we remain compliant. • Oversee team of 3 members who perform Risk Management Specialist duties. • Oversee all Legal review, and deceased member review processes.• Perform quarterly, and year end reviews for employees. • Perform coaching sessions and handle any disciplinary actions. • Member of credit union's Communications Committee. • Ensure the team is empowered to make decisions, and advocate for their decisions and what supported the decision.

Provided guidance, advice, and training to improve business' understanding of related laws and regulatory requirements. • Wrote and presented reports outlining findings and recommendations from compliance audits. • Read and review any legal document presented to be utilized on an account. (Power of Attorney, Trust, Guardianship, etc.) • Developed process and monitoring system to handle Deceased member accounts. • Attended webinars regarding any compliance regulation change. • Assist with responding to Formal Complaints. • Assist with BSA/Fraud Team duties. • Oversee legal document review process. • Ensure we are compliant with KYC guidelines