Wealth Compliance Officer

Overview

Hudson Valley Credit Union is currently recruiting for the position of Wealth Compliance Officer. Primary Function : Ensure Wealth Management at Hudson Valley Credit Union's activities comply with all relevant securities and insurance industry regulatory requirements, maintaining a strong knowledge of regulation and industry best practices. Oversee compliance activities for all registered representatives of the Broker-Dealer and dually registered representatives of LPL Financial (the Referred Broker-Dealer) by developing and implementing firm-wide compliance policies and working with relevant business units in the development of internal controls and procedures to protect clients, associated persons, registered representatives, the Broker-Dealer and Hudson Valley Credit Union. Mitigate compliance risk exposure through the development, planning and execution of process and procedures, providing day-to-day leadership, direction and support.

Responsibilities

• Assume OSJ responsibilities in an acting capacity if VP of Wealth Management is out of the office for more than 2 conservative days.
• Assist the VP of Wealth Management with executing departmental and organizational objectives as assigned.
• Audit & Monitoring : Conduct regular assessments, and reviews to ensure compliance with regulatory guidelines and internal policies. Coordinate Broker-Dealer audits, prepare responses, and implement necessary corrective actions to address findings.
• Attend credit union direct report meeting to represent Wealth Management when assigned.
• Be a compliance liaison with HVCU Risk
• Owner of Wealth vendor management (Wolfpack)
• LPL licensing and registration coordinator
• Review LPL Books and Records
• Review HVCU Compliance with regards to Wealth Management
• Serve on various internal / external committees, teams and projects as determined by Head of Wealth Management. Serve as primary Wealth risk management / compliance resource providing guidance / support to Wealth employees, associated persons and Hudson Valley Credit Union departments.
• Ensures compliance with all Credit Union policies and procedures as well as Federal and State regulatory requirements
• Conduct training within credit union to educate employees on the compliance of Wealth Management.
• Participate in continuing education classes as required to maintain licenses / professional designations within the securities industry on an annual basis.
• Remain current on industry trends.
• Attends training programs, conferences and meetings as required to gain industry knowledge and establish relationships with other professionals in the field of Wealth Management
• Supports the Credit Union's quality initiative through teamwork and provides quality services to members / employees.
• Presents a neat and professional appearance and work area.
• 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.
• 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.
• Responsible for regular and predictable attendance including punctuality.

Qualifications

Series 24 required or ability to obtain within 180 days required.

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Why Choose HVCU?

Join a team where your growth matters. At Hudson Valley Credit Union, we offer a supportive, community-focused culture, competitive benefits, and opportunities to grow your career while making a meaningful impact. Come b e part of a Great Place to Work!

Employee Perks :

Hudson Valley Credit Union is an AA / EEO employer committed to equal opportunity and employee diversity. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, sexual orientation, gender identity, national origin, disability, military or veteran status, genetic information, marital or familial status, domestic violence victim status, or any other characteristic protected by law.