Legal and Compliance Analyst

Job Description

JOB INFORMATION

Title:

Legal and Compliance Analyst

Officer Title:

Grade:

27

FLSA Classification:

Exempt

Date Last Edited:

3/6/2025

Reports To:

Senior Compliance Officer

Department:

Legal/Compliance

URL Link

https://hvfcu.jdxpert.com/ShowJob.aspx?EntityID=2&jobcode=1087

PRIMARY FUNCTION

Support the management, optimization, and analysis within our legal and compliance systems, including our Governance, Risk, and Compliance (GRC) Integrated Risk Management (IRM) platform, M365 applications, complaint management systems, and board/team management software. The ideal candidate will have a strong background in legal and compliance operations, data analysis, and systems, with the ability to ensure our systems align with regulatory requirements and organizational goals.  Help us work smarter!

Enhance HVCU compliance infrastructure and support the credit union's commitment to ethical and regulatory excellence.

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Assist in optimizing the GRC IRM platform, complaint management system, and board/team management software, as well as Teams and other Microsoft 365 applications to support Legal and Compliance operations. Ensure systems are up-to-date, functional, and aligned with legal and compliance requirements. Support the maintenance of functional and regulatory-compliant systems under the guidance of senior team members.

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Collaborate with IT and vendors to troubleshoot issues and implement upgrades or enhancements with minimal supervision. Serve as a support resource for legal and compliance system-related inquiries, exercising independent judgment to resolve issues, and escalating complex issues as needed.

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Perform data analysis from compliance systems to identify trends and risks, contributing to reports for senior management and regulatory practices. Develop and manage dashboards and metrics to monitor compliance performance and risk exposure autonomously.

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Develop and implement compliance policies, procedures, workflows, and controls. Monitor regulatory changes and apply professional discretion to ensure systems reflect new requirements efficiently. Provide support for internal and external audits by preparing accurate data and comprehensive system documentation.

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Support initiatives to optimize the complaint management system, utilizing omni-channel capabilities available within the credit union. Analyze complaint data to identify root causes, using advanced problem-solving techniques to recommend corrective actions. Prepare detailed reports on complaint trends and resolutions for leadership and regulatory bodies, ensuring high-level accountability.

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Participate in managing board and team management software to support effective communication, documentation, and operational alignment. Prepare board materials related to compliance and risk management, exercising discretion in presenting key insights. Collaborate with cross-functional teams to ensure compliance systems meet organizational needs and strategic objectives.

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Provide training support for staff on compliance systems and tools, offering direction on standard processes and assisting with issue resolution.

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Adhere to all Credit Union policies, procedures, and regulatory agency requirements. Participate in all required and recommended training and development including, but not limited to, Bank Secrecy Act training (BSA) and demonstrate attained knowledge. Participate on Credit Union teams, projects and strategic initiatives when the opportunity arises. Perform additional duties and special projects as assigned.

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Embrace and apply HVFCU’s guiding principles to all activities and responsibilities. This includes the Credit Union’s Mission, Vision, Core Values, Employee and Member Value Propositions, Sales and Service Model, and commitment to Lean Six Sigma practices. Support the Credit Union’s initiatives by demonstrating teamwork and professionalism.

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Responsible for regular and predictable attendance including punctuality.

Bachelor’s Degree

Legal Studies, Business Administration, Information Systems, or a related field.

X

Master’s Degree

X

Advanced certification (e.g., CRCM, CCEP, or similar) is a plus.

X

Minimum 3 Years

Minimum of 3-5 years of experience in legal/compliance operations, data analysis, or system management, preferably within a financial institution, credit union or law firm.

X

Minimum 3 Years

Proven experience with GRC IRM platforms, M365, complaint management systems, and board/team management software.

X

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Strong analytical skills with the ability to interpret complex data and generate actionable insights.

•

Strong understanding of GRC platforms, M365, Teams integrations and other business applications.

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Proficiency in data analysis tools (e.g., Excel, Power BI, Tableau) and compliance software.

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Excellent communication and interpersonal skills, with the ability to collaborate across departments.

•

Detail-oriented with strong organizational and project management skills.

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Knowledge of federal and state regulations applicable to credit unions (e.g., NCUA, CFPB, GDPR).

PHYSICAL DEMANDS

Frequency

Physical Demand

Weight (lbs.)

Frequently

Sit for prolonged periods of time

Frequently

Required to communicate verbally

Occasionally

Lift and/or move objects

20

Occasionally

Travel outside of work location to attend meetings and training programs

Frequently

Required to skillfully operate a computer, telephone and other standard office equipment

Occasionally

Accommodate a flexible schedule to meet business needs including evenings and weekends.

WORK ENVIRONMENT

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Typically the noise level in the work environment is low to moderate.

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May experience occasional job stress in dealing with difficult situations and/or high volume.

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High energy, high impact atmosphere.

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Standard office equipment including, but not limited to, a computer, telephone, copy/fax machines, etc.

•

There are no significant hazardous conditions.

View Competencies

Service Excellence

Consistently incorporates Hudson Valley's member and employee value proposition, reinforcing organizational culture and brand differentiators.

Level 1

1. Anticipates and meets the needs of both internal and external customers. Delivers high quality service and is committed to continuous improvement.  2. Consults with management on modifying business processes to enhance service delivery. Monitors own work to ensure quality and apply feedback to improve performance.  3. Integrates core values into the way work is done and how relationships are conducted.  4. Possesses knowledge of customer service concepts and techniques; ability to meet or exceed customer needs and expectations and provide excellent service in a direct or indirect manner.  5. Tailors communications based on others’ needs, motivations and agendas.

Flexibility and Adaptability

Adapts as needed; knowledge of successful approaches, tools, and techniques for dealing with changes and adapting to a changing environment.

Level 2

1. Accepts new or radical ideas with an open mind; avoids snap reactions.  2. Adjusts to new or changing assignments, processes, and people.  3. Demonstrates ability to successfully manage multiple tasks and priorities.  4. Demonstrates willingness to listen to other opinions.  5. Identifies and considers alternative approaches to situations or problems.

Work Standards

Sets high standards of performance for self and others; assumes responsibility and accountability for successfully completing assignments or tasks.

Level 2

1. Documents how results were obtained to support knowledge transfer and best practices.  2. Helps others drive tasks to completion as appropriate.  3. Holds self and others accountable for delivering on all commitments.  4. Identifies actions necessary to achieve task completion and to obtain results. Meets schedules, deadlines, and performance goals.   5. Recognizes the need for assistance and secures additional resources as needed. Escalates issues and unusual findings that could have an adverse impact on the business.  6. Understands and appropriately applies principles, procedures, requirements, regulations, and policies related to role.

Accuracy and Attention to Detail

Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.

Level 2

1. Processes limited amounts of detailed information with good accuracy.

2. Utilizes specific approaches and tools for checking and cross-checking outputs.

3. Develops and uses checklists to insure that information goes out error-free.

4. Accurately gauges the impact and cost of errors, omissions, and oversights.

5. Learns from mistakes and applies lessons learned.

Regulatory Environment - Financial Services

Knowledge of and ability to help an organization adapt to applicable federal, state, local, and company-specific regulations, policies, and guidelines affecting business practices.

Level 2

1. Resolves financial service related problems for the organization according to specific legislation.

2. Implements specific policies or practices based on laws or regulations governing these practices.

3. Follows adherence to issues and considerations relevant to one's own line of business.

4. Researches examples of situations or conditions with potential legal implications; analyzes how these situations/conditions were resolved.

5. Complies with regulatory and management reporting and auditing requirements.

This job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee in this position.  Additional functions and requirements may be assigned by supervisors as deemed appropriate, with or without notice.

Nothing contained in this material creates a contract of employment between an employee and Hudson Valley Credit Union or otherwise alters the at-will nature of the employment relationship.

Are you able to perform the essential functions listed in this job description with or without reasonable accommodation?  YES_______  NO_______

By signing below you certify that you have received this job description and understand the requirements, essential functions and duties of the position.  If you are currently employed in this position, your signature acknowledge that this job description accurately describes the position, including its essential functions.

Name:  _____________________________________________

Signature: _____________________________________________

Date:  _____________________________________________ 

Please also note that Hudson Valley Credit Union respects the religious beliefs and practices of employees and will, on request, reasonably accommodate its employees when a reasonable accommodation is available that does not create an undue hardship on the Credit Union’s business.  Therefore, unavailability for work due to religious observances or practices may not be a bar to employment.