Operations Control Specialist

Audit Support And Compliance Review Specialist

This position is responsible for a wide range of duties related to audit support and compliance review as assigned by management. The Specialist is responsible for audits in all areas of Credit Operations to ensure compliance with operational SOPs and applicable federal, state and banking regulations. This individual is responsible for identifying trends and reporting non-compliant concerns to the Operations Leadership team. Additional responsibilities include identifying trends, analyzing data, and providing compliance and operational support for regulatory complaint management, plastic reissues, ACH payment processing, reporting for Cashiering, responding to regulatory and direct consumer disputes, chargeback processing, and other duties as assigned.

Responsibilities include:

• Audit work processed by Credit Operations representatives for compliance associated with federal, state, and banking regulations.
• Establish proficiency to a level of becoming the subject matter expert for plastic reissues, including development of SOPs and audit processes.
• Research and respond to attorney letters and consumer disputes.
• Establish operational and audit processes for Cashiering.
• Review exception reports for adherence to applicable regulations and internal CFNA policies.
• Maintain and provide documentation of compliance and regulatory work product as requested.
• Perform OFAC and FinCEN reviews, report findings to CFNA leadership and the appropriate Regulatory agency as required.
• Oversee regulatory complaints and Unfair Deceptive Abusive Acts & Practices (UDAAP) log for accuracy and emerging trends.

Minimum qualifications include a high school diploma with two years of experience in financial services, audit, and/or compliance.