Compliance Specialist

OneAZ - Phoenix


Position:                        Compliance Specialist

Department:                  Risk Management

Reports To:                   VP Internal Audit and Compliance

SUMMARY Ensures the policies and procedures of the credit union comply with the appropriate laws and regulations.  Analyzes new and pending laws that could directly affect the Credit Union's current practices.  Develops and revises current policies and procedures to ensure compliance.  Ensures all affected areas of the Credit Union are kept informed of changing laws and procedures for implementation to be completed at the appropriate time.

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

Examines credit union’s policies, procedures, and practices to ensure compliance with laws and regulations.

Stays abreast of changes to federal and state banking laws and regulations affecting the management, operations, and product offerings of the credit union.

Coordinates with legal counsel and operating departments to ensure adherence to laws and regulations relating to new or revised products and services offerings.

Oversees the revision, preparation, and dissemination of new and updated compliance standards and procedures.

Coordinates, supervises, and supports credit union’s compliance-related programs, such as compliance training, compliance testing and reporting, and records warehousing and destruction.

Examines marketing and promotional material ensuing compliance with both state and federal regulations.

Informs and advises management of conditions and status of credit union’s compliance with laws and regulations.

Consults with and advises operating units and managers affected by compliance issues and regulatory requirements.


To perform the job successfully, an individual should demonstrate the following competencies:

Analytical - Synthesizes complex or diverse information; Collects and researches data; Uses intuition and experience to complement data; Designs work flows and procedures.

Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.

Interpersonal Skills - Focuses on solving conflict, not blaming; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things.

Ethics - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.

Quality - Demonstrates accuracy and thoroughness; Looks for ways to improve and promote quality; Applies feedback to improve performance; Monitors own work to ensure quality.

Innovation - Displays original thinking and creativity; Meets challenges with resourcefulness; Generates suggestions for improving work; Develops innovative approaches and ideas; Presents ideas and information in a manner that gets others' attention.


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.

Education and/or Experience                                        

Bachelor's Degree in related field; two to five years related compliance experience in a financial institution.

Contact Information

Margaret Chamberlain
Phone     602-452-4960
Fax          602-452-4961

Or apply online at:

Posting Date: 
April 13, 2017