Compliance and Control Specialist

    • Job Tracking ID: 512165-672220
    • Job Location: Firestone, CO
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: March 01, 2019
    • Years of Experience: Not Applicable
    • Starting Date: ASAP
    • Days of the Week: Mon,Tue,Wed,Thurs,Fri
    • Hours: full time 40 hrs, M-F 8-5
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Job Description


Provides administrative support to the Enterprise Risk team. Researches, documents, and gathers audit information. Maintains files. Assists with miscellaneous routine department duties as required. Assists in performing BSA related duties as directed using Verafin Software and completing daily reports generated by the software. Assists the BSA & Compliance Officer to ensure compliance with all applicable laws, rules, regulations and policies, staying mindful of loss prevention and fraud detection.


  • Coordinates credit union audit schedule, working with staff and outside auditors, internal auditors, or consultants as necessary.

  • Tracks exam and audit findings and coordinates responses from credit union personnel.

  • Provides audit and finding updates to the Supervisory Committee.

  • Tracks staff changes and updates restrictions on core processor.

  • Identifies and reports discrepancies, errors and other detected problems as well as inefficiencies to the Compliance/Quality Control Manager for review.

  • Assists with special investigations or audits as needed.

  • Provides administrative support to the Chief Administrative Officer and other members of the line of business.

  • Acts as a backup for the Quality Control function as needed.

  • Supports the BSA & Compliance Officer with compliance duties as needed:

    • Tracking OFAC errors and notifying branch personnel.

    • Reviewing Customer Due Diligence findings and follow up with any red flags or other possible fraud itens on member accounts to help reduce risk.

    • Reviewing accounts with missing SSNs.



  • High school diploma, GED or equivalent combination of formal training and experience

  • Regulatory Compliance certification required (or the ability to become certified within two years)

Required Knowledge:

  • Knowledge of regulatory compliance.

  • Knowledge of credit union policies, services, and procedures.
  • Knowledge of data processing on-line system and related computer systems.

Experience Required:

  • At least two years of related experience preferred.


  • Strong analytical and problem-solving abilities.

  • Strong written and oral communication skills.

  • Ability to work without supervision.

  • Attention to detail.

  • Ability to deal effectively and tactfully with staff at all levels.

  • Ability to deal with conflict.


  • Standard office conditions

  • Low to moderate noise

  • Limited lifting up to 10 lbs.

This description has been reviewed to ensure that only essential functions and basic duties have been included. Peripheral tasks, only incidentally related to each position, have been excluded. Essential functions, requirements, skills, and abilities included have been determined to be the minimal standards required to successfully perform the positions. In no instance, however, should the duties, responsibilities, and requirements delineated be interpreted as all-inclusive. Additional functions and requirements may be assigned by supervisors as deemed appropriate.

In accordance with the Americans with Disabilities Act, it is possible that requirements may be modified to reasonably accommodate disabled individuals. However, no accommodations will be made which may pose serious health or safety risks to the employee or others or which impose undue hardships on the organization.

The Credit Union believes that each employee makes a significant contribution to our success. That contribution should not be limited by the assigned responsibilities. Therefore, this job description is designed to outline primary duties, qualifications, and job scope, but not limit the incumbent. It is our expectation that each employee will offer his/her services wherever and whenever necessary to ensure the success of our endeavors.

Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.

Experience and Skills