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In House Chief Risk Officer/General Counsel JDHuntr

by Aventa Credit Union - 04/09/2019
 
"Responsible for the safety and soundness of the Credit Union as it relates to legal and compliance. Responsible for ensuring that the Credit Union is in compliance with all state and federal regulations."
 
Chief Risk Officer/General Counsel
Aventa Credit Union - Colorado Springs, CO 80918 (Powers area)
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Chief Risk Officer/General Counsel – Colorado Springs, CO

Summary:

Responsible for the safety and soundness of the Credit Union as it relates to legal and compliance. Responsible for ensuring that the Credit Union is in compliance with all state and federal regulations. Ensures that policies are being followed and reviewed periodically for adequateness. Reviews and appraises the soundness, adequacy, effectiveness, and proper application of internal controls. Reports on findings per audit standards. Assesses the adequacy and extent of programs designed to safeguard Credit Union assets. Interact with regulatory examiners on special request by the CEO for unusual issues. Serve as Credit Union liaison with outside auditors and regulatory examiners. Conducts training of all compliance regulations, policies and procedures for volunteers and associates. Compiles and issues memoranda detailing regulations and ensure they are understood by area that will be implementing the changes.

Prepares and files reports with government agencies as it relates to compliance and BSA/AML directly in accordance to State and Federal laws. Assists in the strategic development and business plan execution of Credit Union. Partner with marketing department to ensure marketing materials comply with State and Federal rules and regulations for the credit union. Serve as primary contact for legal issues, such as the review of contracts and litigation matters. Maintain the highest level of confidentiality.

Essential Duties and Responsibilities include but are not limited to the following: Performs other duties as needed and/or assigned.

Compliance:

Reviews all NCUA and DORA regulations pertinent to Aventa operations for procedure and policy changes to assure Credit Union is in compliance of regulations. Track and report to CEO and relevant executive the regulations as they are released to ensure there is a clear understanding of the regulation and where additional knowledge or resources can be found.
Pertinent regulations include but are not limited to:
CFPB regulations, Federal Reserve regulations, FinCEN regulations, NCUA regulations, Colorado Division of Financial Services regulations
Knowledgeable of current market trends, financial products, competitor tactics and all regulatory and compliance issues that may impact and keep Credit Union safe/sound and competitive/productive.
Periodically reviews documentation to assure that Credit Union policy and procedures are in compliance with all pertinent Federal and State regulations.
Conducts periodic checks to see that compliance is applied in practice as well as on paper. Compliance functions are well coordinated with departments and branches.
Prepares reports on compliance issues to include regulatory compliance reports to the CEO and Board of Directors.
Reviews policies, at least annually, and establishes/modifies documentation and coordinates implementation of compliance and implement internal control procedures for the following areas:
Federal Regulations, State Regulations, Credit Union Policies and procedures.
Works with internal auditors, external auditors and examiners to ensure the Credit Union responds appropriately to exceptions, finding, and other recommendations.
Respond to any audit findings or responses to the appropriate examiner/auditor.
Evaluates Credit Union operations and suggests necessary adjustments due to regulatory change, environmental change, or a vendor requirement change that mitigates the risk to Aventa.
Special projects, research, analysis or other duties as assigned by the CEO and BOD or committees.
Prepares and delivers compliance reports and all supporting information for accuracy, timely preparation, and in accordance with generally accepted compliance and audit principles and applicable regulations.
General Counsel:

Draft and prepare legal documents in accordance with State and Federal laws.
Prepares and/or reviews all legal documents related to the Credit Union including but not limited to the purchase, lease, or sale of goods, services and professional services including specifications, bid documents, requests for proposals (RFP), and requests for qualifications, bonds, and contractual agreements.
Advise the executive team and CEO of pending legislation and current legal and regulatory issues that will impact Credit Union.
Review policies, procedures, and forms prepared by other Credit Union personnel for compliance with applicable laws.
Research legal issues and prepares legal opinions, memoranda, and correspondence.
Maintains and develops expertise about laws, regulations, and court decisions affecting credit union issues.
Partner with Marketing for Credit Union promotions, product development, branch targeted marketing strategies to serve our target market, and all outward facing credit union material.
Partner with Training for educational development and education of membership, associates, and volunteers.
Knowledgeable of current market trends, financial products, competitor tactics and all regulatory and compliance issues that may impact SEG relations and keep Credit Union competitive and productive.
Promote the mission, products, services and image of Credit Union internally and externally, while recognizing target market and value proposition through strategic visioning.
Oversight and knowledge of 3rd party due diligence process, make recommendations for improvement, and compile policy and direction of initiative.
Implement new programs and coordinate with other departments.
Other duties as assigned.
Supervisory Responsibilities

Directly supervises AVP Compliance BSA/OFAC Officer to ensure optimal performance.
Ensures high quality work and efficiency in operations are maintained. Determines work methods and flow through assigning, directing, coordinating and reviewing tasks.
Ensures that associates are well trained in all phases of their respective jobs. Completes orientation of new employees in overall procedures. Performs cross training as necessary. Maintain a highly motivated well trained team by tailoring specific goals for all associates based on specific skill sets and talent.
Makes recommendations to management for improvements that create efficiencies in the Credit Union.
Facilitates development and training needs to include performance appraisals, corrective action, merit recommendations and promotions as needed.
Implement new programs and coordinate with other departments. Other duties as assigned.
Training/Educational Responsibilities

Will attend all required regulatory training sessions conducted internally or externally, to include but not limited to: BSA/OFAC; CTR & SAR; I.T. Security, Robbery training. There may be additional training for regulatory compliance as necessary for the position.

Maintain bar licensure.

Maintain AML certification.

Continued education for professional development may/will be assigned.

Core Competencies

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

Judgment - Demonstrates the ability to make decisions and take actions necessary to effectively implement those decisions while exercising sound reasoning in order to mitigate risk and protect the Credit Union.

Reliability - Does the required job properly and accurately with appropriate supervision. Consistently shows reliability in regards to punctuality, attendance to include dependability.

Product knowledge - Demonstrates knowledge of the applicable Credit Union products and services.

Interpersonal Skills - Courtesy, tact, and diplomacy are essential elements of the job. Work involves personal contact with others inside and/or outside the organization, generally regarding routine matters for purposes of giving or obtaining information which may require some discussion.

Professionalism - Maintains confidentiality. Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions; Follows through on commitments.

Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.

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.

Teamwork - Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Able to build morale and group commitments to goals and objectives.

Attendance/Punctuality - Is consistently at work and on time; Ensures work responsibilities are covered when absent; Arrives at meetings and appointments on time.

Member Service - Manages difficult or emotional member situations; Responds promptly to member needs; Solicits member feedback to improve service; Responds to requests for service and assistance; Meets commitments and supports the GREAT culture.

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.

Education and/or Experience

Bachelor’s Degree and Law Degree from accredited institutions. Minimum of two (2) years of experience as an attorney. Admitted to practice in Colorado or ability to be admitted. Significant experience in specialized area of law relevant to financial institutions, e.g. regulatory compliance, administrative law, litigation, mortgage real estate law, contract law, etc., required. Must be Compliance & BSA/OFAC certified by nationally recognizable trade organization or its equivalent. Must understand the Cole Memorandum, and the FinCEN guidelines and its applicability to financial institutions.

Language Skills

Ability to read and interpret documents. Ability to write routine reports and correspondence. Must be able to speak to the membership regarding their accounts. Ability to read analyze, and interpret general business periodicals, E- magazines, professional journals, webinars, technical procedures, or governmental regulations. Ability to write reports, business correspondence, policies and procedure manuals. Ability to effectively train and mentor associates of every level. Ability to effectively present information and respond to questions from groups of associates, managers, Board of Directors, Audit Committee, Auditors and Examiners, members and the general public.

Mathematical Skills

Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent and to draw and interpret bar graphs.

Reasoning Ability

Ability to apply common sense understanding to carry out instructions furnished in written, oral, or diagram form. Ability to deal with problems involving several concrete variables in standardized situations.

Computer Skills

To perform this job successfully, an individual should have advanced proficiency in current software programs to include Microsoft Outlook, Access, Word and Excel as well as the systems used by Credit Union.

Mental Demands

Extended periods of concentration, analysis and interpretation of complicated information, multiple tasks requiring prioritization of work.

Physical Demands

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

While performing the duties of this job, the employee is regularly required to sit and stand; reach with hands and arms and talk or hear. The employee is frequently required to walk; sit and use hands to finger, handle, or feel. The employee must regularly lift and /or move up to 10 pounds, frequently lift and/or move up to 25 pounds and occasionally lift and/or move up to 50 pounds. Specific vision abilities required by this job include close vision, distance vision and ability to adjust focus.

Work Schedule:

Must be able to work a flexible schedule to include occasional weekends and after hours as necessary.

Work Environment

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually moderate.

Travel Requirements

Travel to Pueblo, Denver, Colorado Springs, San Luis Valley and some out of state travel will be required.

Aventa offers an excellent benefit package that includes medical and dental with low deductibles, vision insurance, long term and short term disability, life insurance, 401 (k), flex spending and a variety of optional products (subject to change).

Job Type: Full-time

Experience:

Attorney: 2 years (Required)
Education:

Bachelor's (Required)
License:

AML (Preferred)
Language:

Spanish (Preferred)

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