Analyze financial crime cases, ensuring compliance with regulations and quality assurance procedures. Engage with teams on discrepancies and prepare reports for management.
Job Summary & ResponsibilitiesResponsibilities include, but are not limited to:
- Analyze completed cases and EDD reviews in accordance with QA procedures to ensure appropriate decisions have been made by Investigators (Levels I, II, and Senior) are appropriate and procedures have been followed. Engage with investigators and/or management to discuss discrepancies and assess sufficiency of remediation plans to address issues.
- Review Suspicious Activity Reports (SAR) to ensure the form is completed appropriately, the narrative is thorough, and the appropriate levels of supporting documentation were obtained and maintained.
- Analyze Actimize and Bridger closed alerts relative to policies, procedures and best practices to test for accuracy and quality. Engage with investigators and/or management to discuss discrepancies and assess sufficiency of remediation plans to address issues.
- Review account opening documentation to ensure beneficial ownership information as properly obtained and recorded by branch and commercial lending personnel. Engage with investigators and/or management to discuss discrepancies and assess sufficiency of remediation plans to address issues.
- Review fraud investigations relative to policies, procedures and best practices to test for accuracy and quality. Engage with investigators and management to discuss discrepancies and assess sufficiency of remediation plans.
- Assist QA Manager with preparing periodic reports to FCC management summarizing findings of the quality assurance reviews.
- Document and communicate exceptions to policies and procedures to QA and FCC management. Identity and make recommendations for process improvements to achieve efficiencies and comply with industry best practices.
- Remain current on industry rules, regulations and best practices to ensure the testing program meets regulatory expectations.
- Escalate concerns of systemic violations to QA and FCC management in a timely manner.
Required Skills:
- Working understanding of reporting requirements of the Bank Secrecy Act (BSA), and USA PATRIOT Act.
- Strong attention to detail, excellent analytical and problem-solving skills.
- Excellent oral and written communications skills.
- Strong knowledge of Excel, including pivot tables.
- Ability to conduct research using various sources.
- Team oriented and able to work independently.
- Working knowledge of MS Office products, including Outlook, PowerPoint, Word.
Required Experience:
- High School Diploma or GED and a minimum of 5 years of experience in a financial crimes' compliance or related role.
- Bachelor's Degree and/or ACAMS certification preferred.
Top Skills
Excel
MS Office
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