VP Risk, Audit and Compliance

Job Type

Full-time

Description

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.

Business Hours

Monday - Friday 8:30AM to 5:30PM*

* Based upon business needs, this position will require flexibility to work a varied work schedule and outside of business hours.

This position in based in Anaheim Hills CA with the opportunity to work a hybrid-remote schedule which consist of 2 days in-office and 3 days working remote from home.

Why Work at CU SoCal?

CU SoCal is one of the fastest growing credit unions and is more than just a place to work. It's a place where people come before profit, a place where you can build a career that's more than a job, and where the work you do has meaning and purpose. We offer competitive pay, great health benefits and a culture like no other!

CU SoCal is a Gallup Exceptional Workplace Award Recipient

In 2025, Credit Union of Southern California (CU SoCal) was once again honored with the Gallup Exceptional Workplace Award, marking our second consecutive win and ranking us among the top workplaces worldwide for outstanding employee engagement.!

The CU SoCal culture fosters Building Better Lives for our Members, personal development, open communication, and genuine care for each other. We prioritize C.A.R.E. 4: professional competence, positive attitude, relationship building, and eager service to others. If you're passionate about making a difference and want to be part of a dynamic team, explore CU SoCal career opportunities today!

Requirements

Minimum Qualifications

• 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.
• Must be familiar with The Institute of Internal Auditors' standards and necessary processes to ensure compliance.
• Working knowledge of all related regulations and laws (i.e., Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Federal Banking Laws, California Banking Regulations, Uniform Commercial Code, Internal Revenue Code, Bank and Corporate Tax Law, other federal statutes or state legislation affecting financial institutions).
• Working knowledge and experience with the Committee of Sponsoring Organizations of the Treadway Commission's (COSO) frameworks and guidance, BSA/AML, and Fraud & Loss Mitigation.
• Working knowledge of business continuity frameworks and data governance concepts.

Preferred Qualifications

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

Skills and Abilities

• Proficient in all applicable Microsoft Office programs (i.e., Word, Excel, Outlook, Teams, etc.)
• Able to interpret relevant rules, regulations, and laws.
• Fluent in the risk areas affecting depository institutions.
• Able to build and maintain cross-departmental relationships with leaders.
• Skilled in communicating complex subjects in an intelligible manner.
• Ability to obtain relevant certifications (e.g., CAMS, CRISC, etc.), if needed.
• Maintains a strong work ethic and, as a leader of the organization, acts as a role model for Credit Union Southern CA leaders and staff by setting the example in managing for expected results.
• Uses Integrity when leading team.
• Creates an inclusive, supportive work environment where teammates feel valued and engaged.

Essential Duties and Responsibilities

• Works closely with the CFO and Management to assess, analyze, report, and provide appropriate risk responses to organizational risks, manage audit engagements, provide objective assurance to the CFO on the effectiveness of risk management, establish and maintain IA programs, and maintain business relationships with external auditors, risk management partners, and regulators.
• Oversees the implementation of, and organizational compliance with, the ERM program, which includes calculating risk metrics, performing risk assessments, communicating risk levels, and refining CU SoCal's risk appetite.
• Chairs the Enterprise Risk Management Committee (ERMCO) and facilitates all ERMCO meetings and materials.
• Provides leadership for the Compliance Department, which focuses on BSA/AML, depository regulations (e.g., TISA, Reg D), lending regulations (e.g., TILA, ECOA), and privacy regulations (e.g., CPRA).
• Oversees BSA/AML activities, directs the BSA officer to ensure regulatory compliance, and acts as the backup BSA officer.
• Ensures compliance with the VM Policy and oversees the VM platform.
• Provides leadership for the IA Department and oversees the creation, submission, and ongoing execution of a risk-based IA plan.
• Oversees the annual CPA opinion audit in conjunction with IA, the annual account verification, outsourced audits, Supervisory Committee meeting minutes, and all state and federal regulatory examinations.
• Leads internal team member investigations, in conjunction with IA.
• Oversees and develops the BC program, performs business impact analyses, and assists in administrative aspects of disaster recovery tests.
• Complete understanding and active application the Exceptional Experience Guide expectations.
• Must be able and available to work a "hybrid" schedule, per business operations requirement, as needed.
• Additional duties and responsibilities, as assigned.

We support Pay Transparency and are a pay-for-performance organization that benchmarks base pay to the 50th percentile of market data.

Pay Scale: Min $136,400 / Mid $175,100 / Max $213,800* per year

*Actual compensation will be based on geographical location, work experience, education and/or skill level.

CU SoCal is an equal opportunity employer. All decisions are based only on the individual's qualifications/ability to perform the work. The above statements are intended to describe the essential functions, nature and level or work to be performed as of the document preparation date; they are not intended to be an exhaustive list of all duties and responsibilities. CU SoCal reserves the right to modify this job description at any time, without notice.

We foster an environment and culture where ideas and decisions from all people help us grow, innovate, and fulfill our mission of Building Better Lives.