JOB OVERVIEW

We have a Part-Time position For a Compliance Support Clerk available at our Amherst, Nova Scotia branch. Reporting to the Manager, Risk and Compliance, the Compliance Support Clerk is primarily responsible for administrative and reporting procedures supporting the compliance function within established Credit Union policies, procedures and legislation. The Compliance Support Clerk is primarily responsible to be the first point of contact for general inquiry member requests from incoming phone calls. In processing member requests, the Compliance Support Clerk will ensure transactions, are completed in an accurate and timely manner; presenting and explaining the majority of credit union products and services to members; cross-selling credit union products and services; and assisting members in utilizing these products and services. The Compliance Support Clerk will be responsible for including the consistent practice of the Credit Union’s established service level standards. They will represent the Credit Union in a positive, values-based and professional manner in providing extraordinary service to current and prospective members.

SKILLS AND KNOWLEDGE REQUIREMENTS

• Member Service
• Sales & Service
• Decision making
• Knowledge of policies, procedures and regulatory environment
• Software proficiency in Microsoft Word, Excel, Outlook, Horizon Banking, Know Your Member Knowledge of financial principles
• Knowledge of products and services
• Work planning and management (organizational skills)
• Written and oral communication skills
• Attention to detail
• Prevention & Detection of Money Laundering
• Knowledge of Privacy Act
• In-depth knowledge of FINTRAC Guidelines
• Expert technical knowledge of VERAFIN System
• Adaptability to Change – Applies guidelines or procedures flexibly
• Customer Service Orientation – Takes personal responsibility
• Listening, Understanding and Responding – Listens responsively
• Results Orientation - Acts to achieve defined performance standards
• Teamwork and Cooperation – Expresses positive expectations of team
• Strategic Orientation – Aligns current action with strategic goals of the organization

• Verifies and checks deposit documents and reports to source documents as per the attached list.
• Maintains a solid understanding of account opening procedures and required documentation for new accounts – personal and business.
• Checks all new account information and documents for accuracy and compliance and follows for missing information and documentation as required.
• Ensures all new account client identification is properly recorded on documentation and in Horizon Banking.
• Ensures inactive and dormant account source documents are properly completed.
• Ensures inactive and dormant account procedures are followed.
• Provides administrative support including preparing correspondence and reports; maintenance of the filing system for all related documents; answering telephone; photocopying; faxing and other general office administration.
• Maintains a thorough understanding of FINTRAC guidelines concerning suspicious and prescribed transactions, large cash transactions, terrorist property, and electronic fund transfers. Maintains knowledge of VERAFIN reporting system and required reports and documents. Reviews foreign exchange cash tickets to ensure FINTRAC procedures and requirements are maintained.
• Assists supervisor with any employee training sessions or programs.
• Assists supervisor with the planning, development and execution of branch compliance reviews. Assists supervisor with compliance audits as required.
• Communicates to appropriate level of management any comments or recommendations relating to sound business practice, non-compliance issues, risks or other issues concerning effectiveness or efficiency.
• Works within the Credit Union’s service delivery model and standards; provides extraordinary service standards to all general inquiry incoming member requests, whether by phone, email, live chat or video chat, which involves:
• Addresses all general inquiry incoming member phone inquiries in a professional, courteous and expedient manner (within same day), including inquiries on all branch products and services and identifies opportunities to cross sell or refer sales opportunities to other staff using the Know Your Member system.
• Resolves member problems in an expedient manner, within defined standards established by the Credit Union by either handling directly or referring to appropriate individual or department, ensuring follow through to a satisfactory conclusion.
• Advises management of all member complaints, by way of completing and submitting a Service Recovery Incident Report, and concerns and referring complex issues to management for prompt resolution.
• Takes immediate and proactive action to reconcile discrepancies in records and accounts of members, or by referring the member to management.
• Maintains the confidentiality of the member at all times including strict adherence to the Credit Union’s privacy policy and procedures.
• Answers member questions regarding the operation of accounts, access to services, account discrepancies, adding or reducing service features on various accounts, and assists members to make the most effective usage of service offerings.
• Schedules appointments for members to discuss the Credit Union’s products and services. Participates fully in the Credit Union’s brand awareness programs including programs on events and campaigns on products / services by promoting the Credit Union, its community involvement and its products and services.