AVP Compliance Testing and Validation

Job Description

JOB INFORMATION

Title:

AVP Compliance Testing and Validation

Officer Title:

AVP

Grade:

30

FLSA Classification:

Exempt

Date Last Edited:

3/20/2026

Reports To:

VP Compliance & Legal Operations

Department:

Legal/Compliance

URL Link

https://hvfcu.jdxpert.com/ShowJob.aspx?EntityID=2&jobcode=1228

PRIMARY FUNCTION

The Assistant Vice President, Compliance Testing & Validation provides leadership and oversight for the Credit Union's compliance testing, remediation validation, and regulatory examination management programs. This role ensures that compliance risks are proactively identified, corrective actions are validated, and the effectiveness of the compliance management system is continuously improved. The AVP serves as a central liaison between Compliance, regulators, internal business units, and external review partners. This position is responsible for building and executing the annual compliance testing plan, refining methodologies, leveraging data analytics for insights, and ensuring that findings are communicated clearly to leadership and the Board.

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Lead the design, execution, and oversight of compliance testing and validation activities across all business lines.

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Develop and maintain the annual compliance testing plan, ensuring alignment with regulatory requirements, internal risk assessments, and strategic priorities.

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Validate corrective actions from prior reviews, internal audits, and regulatory examinations, ensuring remediation is effective and documented.

•

Continuously enhance testing methodologies, incorporating automation, data analytics, and industry best practices.

Maintain centralized records of examination findings, responses, and remediation status for reporting to senior leadership and the Board.

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Partner with compliance data analysts to design dashboards that track testing progress, remediation status, and systemic risk trends.

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Translate 1st Line quality assurance and performance reports into compliance insights, escalating issues as appropriate.

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Produce clear, concise reports and presentations for executive leadership, risk committees, and the Board.

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Work with business units to facilitate artifact requests and provide guidance on documentation standards.

Provide training and support to departments on compliance testing expectations and remediation processes.

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Collaborate with Risk, Internal Audit, and Operations to ensure alignment of testing and monitoring across the three lines of defense.  Support regulatory change management by integrating new requirements into compliance testing protocols.

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Ensure compliance risk assessments incorporate testing outcomes and validation results.

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Identify and document data inconsistencies, errors, or anomalies; ensure corrective actions are implemented.

Promote a culture of accountability and continuous improvement by driving process enhancements and issue transparency.

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Maintain key risk indicators, dashboards, and other analytical tools to track trends and emerging risks.

Develop or assist in developing targeted training content based on monitoring results, review trends, and emerging regulatory priorities.

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Assist in preparing for and responding to regulatory examinations and internal audits.

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Maintain up-to-date knowledge of applicable laws, regulations, and examination trends; recommend policy and procedural changes as needed.

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Participate in cross-departmental projects and strategic initiatives.

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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 HVCU’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 or at least 2 years equivalent experience for each undergraduate year not completed; undergraduate degree cannot substitute for minimum number of years of experience.

Business or related field

X

Master’s Degree

Computer Science, Business or related field

X

Certified Internal Auditor (CIA) or equivalent certification

X

Minimum 5 Years

Experience in regulatory compliance, testing, risk, or audit roles within a financial institution.

X

Minimum 3 Years

Experience designing and executing compliance testing methodologies, including sampling, control testing, and substantive data testing.

X

Minimum 3 Years

Experience validating remediation efforts and managing regulatory or audit findings to closure.

X

Proficiency in data analysis and reporting tools (Excel, SQL, Python, or Power BI).

X

Experience working with the Consumer Financial Protection Bureau (CFPB)

X

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Strong leadership skills to effectively coach, mentor, and develop analytical and complaint management staff.

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Excellent verbal and written communications skills, including report development/presentation skills.

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Highly motivated strategic thinker with the ability to be proactive, take initiative, and carefully monitor, follow through, and complete responsibilities in a professional and timely manner.

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Expert knowledge of Fair Lending laws and regulations, and regulatory guidance/examination processes.

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Communicates in an open, candid, clear and consistent manner. Someone who listens effectively and probes for new ideas. Effectively partners with key constituents and constituencies and is recognized for being a collaborative team player.

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Excellent organizational and time management skills with the ability to provide leadership, supervision and training for multiple employees.

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Proficiency with Windows and MS Office applications (Word, Excel, PowerPoint, Outlook, Internet, SharePoint, etc.)

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Ability to work independently as well as in a team environment

PHYSICAL DEMANDS

Frequency

Physical Demand

Weight (lbs.)

Frequently

Sit for prolonged periods of time

Frequently

Required to communicate verbally

Frequently

Normal range of vision and hearing abilities required

Rarely

Lift and/or move objects

10

Frequently

Travel outside of work location to attend meetings and training programs

Frequently

Travel outside of work location to meet with prospective applicants and members

Frequently

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

Frequently

Manual and finger dexterity required

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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High energy, high impact atmosphere.

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There are no significant hazardous conditions.

View Competencies

Strategic Visioning

Takes a long-term view and builds a shared vision within the organization; acts as a catalyst for organizational change. Influences others to translate vision into action.

Level 2

1. Cultivates effective cross-boundary relationships focused on shared strategic interests.  2. Deals quickly with lack of alignment to ensure agreed upon strategy is integrated into planning process.  3. Enrolls stakeholders in communicating and coordinating activities to support the organization's vision and strategies.  4. Identifies the critical interdependencies among system elements that help and hinder performance.  5. Influences the manner in which business decisions are made in the organization

Leadership

Leads people towards meeting the organization’s vision, mission, and goals. Provides an inclusive workplace that fosters diversity, development, teamwork and continuous improvement.

Level 3

1. Builds and manages workforce based on organizational goals and budgetary considerations. Drives ongoing workforce planning and succession to support future vision.    2. Develops networks and builds alliances; collaborates across boundaries to build strategic relationships and achieve common goals.  3. Looks towards the broadest possible view of an issue or challenge. Discusses multiple aspects and impacts of issues and projects them into the future.  4. Nurtures growth and development; promotes organizational learning within and across business units by providing challenging and stretching tasks and sharing key experiences.  5. Projects competence and composure. Communicates with credibility. Demonstrates situational- and self-awareness.

Results Driven

Drives critical activities to completion. Meets organizational goals and customer expectations.

Level 2

1. Clearly communicates expected results. Uses motivational tactics to generate team buy in. Consistently measures progress and refocuses efforts to ensure attainment.  2. Implements specific policies or practices based on laws or regulations governing these practices.  3. Makes effective use of technology to achieve results. Ensures access to and security of technology systems.  4. Takes full responsibility for results, keeping stakeholders properly informed of status, issues and potential problems.  5. Understands the organizations influence dynamics and uses that information to establish alliances to achieve organizational goals and objectives.

Resiliency

Adapts positively to changing environments in order to achieve business results.

Level 2

1. Anticipates the impact of change in markets, politics, and culture on the organization and its clients.  2. Deals effectively with pressure; remains optimistic and persistent, even under adversity.  3. Develops new insights into situations; questions conventional approaches.  4. Implement change initiatives so as to minimize adverse impacts on people.  5. Understanding of the necessity of continuous personal growth; ability to gauge one's strengths, limitations and interests, and use of this knowledge for purposes of performance effectiveness and self-development.

Service Excellence

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

Level 3

1. Creates a sense of accountability and personal ownership for employees and self.  2. Designs strategies to inspire peers and business unit to raise the bar of customer service delivery.  3. Monitors industry for trends in enhancing member service with special attention to financial services.  4. Establishes best practices for internal and external service excellence.  5. Systematically identifies potential problems when designing systems/processes using techniques including brainstorming and cost/benefit analyses to reduce the chances of unnecessary problems.

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 Federal 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 Federal 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.