Compliance/Legal Analyst

Our client from Middletown, NY is looking for Compliance/Legal Analyst Candidate

The Compliance/Legal Analyst position assists in all aspects of Company’s Compliance Management Program, AML/BSA Program, Vendor Management Program, and regulatory compliance activities of each department within the credit union. Responsibilities include assisting with management of overall credit union compliance/legal risks, processing legal documents received by the Credit Union according to State, Federal and NCUA guidelines, and ensures legal validity of negotiated contracts to minimize risk and protect the confidentiality and integrity of the Credit Union.
The role will also be instrumental in ensuring that proper policy and procedures are followed when engaging with vendors, in particular that contracts and related documentation meet quality standards, the procurement process is efficient, and vendor risk assessments are robust.


  • Researches, analyzes, and interprets banking regulations and compliance trends to determine impact on credit union operations.
  • Monitor federal and state laws impacting Company, analyze the information, and prepares written communications to affected business areas regarding such laws.
  • Provides support and guidance to credit union management and staff on regulatory, legal, and other compliance-related matters.
  • Addresses compliance and legal matters as they arise in daily operational activities to ensure regulatory requirements are met.
  • Helps to implement new regulatory requirements across the credit union as needed.
  • Participates in internal projects and offers compliance/legal advice as necessary.
  • Reviews/manage contracts, when necessary, and files to ensure accurate record retention as part of the Vendor Management Program.
  • Liaise with the various lines of businesses to resolve issues related to contracts.
  • Reviews and approves marketing and advertising materials for compliance and makes recommendations of necessary revisions
  • Maintains, monitors, and documents adherence to the Record Retention Policy
  • Maintains awareness, understanding and compliance with the credit union’s internal policies and procedures, laws and regulations.
  • Ensures adherence to company policies and procedures and Banking/Credit Union Regulations.
  • Performs daily tasks related to the BSA/AML, OFAC and CIP compliance programs.
  • Maintains high level of confidentiality
  • Performs additional duties as required.


  • Performance is measured against the core competencies as outlined by the position and against goals established by the supervisor.



  • Bachelor’s degree or equivalent experience in a related industry
  • 1-3 years relevant experience in contract negotiations, legal research and writing or legal document review
  • Paralegal Certification or J.D. a plus


  • Familiarity with credit union laws and regulations
  • Understanding of the financial services industry and familiarity with of the Bank Secrecy Act, USA PATRIOT Act, and related regulations and internal policies and practices.
  • Ability to read and interpret contractual documents
  • Effective interpersonal skills
  • Ability to work effectively in a team environment as well as accomplish work assignments under minimal supervision and sometimes tight deadlines.
  • Strong ability to analyze and report relevant data.
  • Ability to handle highly confidential information.
  • Excellent written and verbal communication skills.
  • Must maintain current industry knowledge and keep pace with regulatory changes.
  • Commitment to continuing education, attends related conferences and obtains related certifications.
  • Active participation in ongoing training to stay current with compliance regulations


  • Ability to project a professional appearance and positive attitude at all times.
  • Strong project management skills
  • Strong written/verbal communication, collaboration, analytical and project management skills.
  • Flexible, adaptable, and solid problem-solving skills.
  • Detail-oriented with excellent organizational skills to perform multiple tasks simultaneously within strict timeframes.
  • Ability to work effectively with others at all levels across the organization and provide authoritative guidance to credit union management and staff.
  • Ablility to work independently with limited supervision.
  • Proficiency in the use of MS Word, Excel, Power Point, and Outlook

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