Legal and Compliance Manager

Dort Financial Credit Union is seeking team members who will carry out our mission of enriching the lives of our members, employees, and communities, and who will aim to achieve our vision of being a leader in the industry by providing quality financial services, fostering an empowered and diverse team, and making our communities a better place to live. At Dort Financial, we uphold a culture of excellence with opportunities of engagement and advancement for our team members. We abide by our core values of Empowerment, Accountability, Transparency, Collaboration, and Volunteerism each day, and have a strong focus in community involvement. 

We offer a competitive benefits package immediately upon hire including medical, dental, and vision insurance; Life/AD&D and Disability Insurance, Supplemental Life insurance for employee/spouse/dependent; HSA and FSA plans; and tuition reimbursement for full-time team members. LegalShield, Pet Benefits, Employee Assistance Program, Telemedicine. We also offer a matching 401 (k) including a safe harbor, a referral bonus program, and paid time off including holidays.

Come join our team. Apply today! 

Purpose of Position: The Legal and Compliance Manager will proactively develop, manage, and enhance the Credit Union’s regulatory compliance program and work closely with internal audit and management to develop, implement, and monitor compliance programs, ensuring the credit union’s activities align with regulatory standards and best practices in the financial services industry. This position plays a critical role in protecting the credit union from legal and financial risks, fostering a culture of compliance, and safeguarding member trust. This position will ensure that all Credit Union activities comply with applicable federal and state laws and regulations, NCUA rules and regulations, related financial industry laws and regulations, and policies and procedures. Responsible for overseeing the intake, review, and appropriate management of legal documentation and correspondence including but not limited to powers of attorney (POAs), deceased member documentation, trusts and estate accounts, guardian, conservatorship, subpoenas, complaints, and related litigation communications. This role ensures all legal requests and legal papers are processed accurately, in compliance with applicable laws and credit union policies. Serves as a liaison between internal teams, legal counsel, external agencies, and external counsel to support the Credit Union’s legal and regulatory obligations.

Minimum Formal Education: Bachelor’s degree in Business Administration, Legal or Compliance Studies, or Finance is required.

Experience: A minimum of five years of related experience is required. Must have regulatory reporting knowledge, the ability to interpret regulations and laws, and strong verbal and written communication skills. Working knowledge of NCUA regulations is strongly preferred. Additionally, at least three years of management experience is required.

Certification: Certified Credit Union Compliance or Regulatory Officer or similar Certification preferred.

Other Requirements:

• In-depth knowledge of the laws and regulations pertaining to credit unions and the ability to interpret related laws and regulations.
• Experience in researching and analyzing complex laws and regulations, team commentaries, legal opinions, court decisions and other documentation and the analysis of operations to determine and ensure compliance.
• Excellent professional communication skills, able to communicate effectively with all levels of team, as well as, attorneys, law enforcement and various state and local courts.
• Must be able to work independently and exercise strong leadership, problem-solving, and sound business judgment in order to make decisions in the best interests of the credit union.
• Proficient in MS Office products (Word, PowerPoint, Excel, Outlook).
• Must be willing to embrace and leverage technology toward continuous process improvement.
• Ability to lead by example, motivate team and promote teamwork.
• Familiarity with court systems, legal process serving, document authentication, and legal records management.
• Ability to build partnerships throughout the organization and maintain working relationships.
• Must be bondable.

*Sponsorship for work authorization is not available for this position. Candidates are responsible for ensuring they have the legal authorization to work in the location where they apply.*