VP Risk, Audit and Compliance

About the position

We are hiring a Vice President of Risk, Audit and Compliance who is responsible for overseeing, managing, and reporting on CU SoCal’s Enterprise Risk Management (ERM), Vendor Management (VM), Bank Secrecy Act and Anti-Money Laundering (BSA/AML), Business Continuity (BC), Data Governance (DG), Internal Audit (IA) and compliance-related programs. This position is based in Anaheim Hills CA with the opportunity to work a hybrid-remote schedule which consists of 2 days in-office and 3 days working remote from home.

Responsibilities

• Works closely with the CFO and Management to assess, analyze, report, and provide appropriate risk responses to organizational risks.
• Manages audit engagements and provides objective assurance to the CFO on the effectiveness of risk management.
• Establishes and maintains IA programs and maintains business relationships with external auditors, risk management partners, and regulators.
• Oversees the implementation of, and organizational compliance with, the ERM program.
• Chairs the Enterprise Risk Management Committee (ERMCO) and facilitates all ERMCO meetings and materials.
• Provides leadership for the Compliance Department, focusing on BSA/AML and depository regulations.
• Oversees BSA/AML activities and directs the BSA officer to ensure regulatory compliance.
• Ensures compliance with the VM Policy and oversees the VM platform.
• Provides leadership for the IA Department and oversees the creation and execution of a risk-based IA plan.
• Oversees the annual CPA opinion audit and all state and federal regulatory examinations.
• Leads internal team member investigations in conjunction with IA.
• Oversees and develops the BC program and performs business impact analyses.
• Must be able and available to work a hybrid schedule, per business operations requirement.

Requirements

• High school diploma or equivalent.
• 5+ years of experience auditing or examining financial institutions.
• 3+ years of progressive risk management and vendor management experience.
• 5+ years of experience in a management role.
• Familiarity with The Institute of Internal Auditors’ standards and necessary processes to ensure compliance.
• Working knowledge of all related regulations and laws affecting financial institutions.
• Working knowledge and experience with COSO frameworks and guidance, BSA/AML, and Fraud & Loss Mitigation.
• Working knowledge of business continuity frameworks and data governance concepts.

Nice-to-haves

• Bachelor’s degree in business, finance, or accounting, or an equivalent combination of education and experience.
• Experience working in a credit union or within the financial services industry.

Benefits

• Competitive pay
• Great health benefits
• Flexible work schedule
• Opportunity for personal development
• Culture of open communication and genuine care for each other