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Job Details

Compliance-Senior BSA role Needs ONLY Associates degree and min 2-3 years experience in compliance Banking or f/s experience


New York City, NY

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nnJob DescriptionnUp to 75K baserr rPosition Summary: rrr r Supports the Compliance and BSA Officer with the daily functions to carry-out the branch’s compliance program. r r r Responsible to conduct account reviews and testing detailed in the branch’s annual compliance plan.  r r r Works closely with the front-line employees to gather and update customer records and customer due diligence information while reviewing account activities.r r r Conducts AML and OFAC alert reviews including compliance testing such OFAC system sensitivity testing, testing for compliance with CIP/CDD/EDD and OFAC program.r rrrrPosition Accountabilities:rrPerform daily/weekly/monthly/quarterly tasks and functions with respect to BSA/AML/OFAC compliance and other consumer compliance tasks as deemed appropriate by his or her supervisor.rrFollow compliance policies, procedures and guidelines and test to ensure that other employees also adhere to these policies.rrEnsure that regulatory and departmental timelines are achieved on an on-going basis. Ensure that accounts with active suspicious activity reports (SAR) fillings are reviewed for possible SAR re-files as set-fourth by policy and regulations. rrReview various manual and automated reports to detect suspicious activity including follow-up of unusual activity reported by other employees. rrReviews OFAC alerts and clears and/or escalates the alerts upon proper due diligence and documentation.  Screens the customer data base against the government lists including 314a on an ongoing basisrrPerform account reviews and investigations to detect possible suspicious activities related to money laundering, terrorist financing, identity theft and other financial crimes.  Conduct appropriate research and maintain adequate records for all reviews and investigations. rrrConduct testing of the systems for compliance with applicable laws and regulations and maintain adequate and reasonable records of such testing.rrReview customer information files to ensure compliance with the customer identification program (CIP), customer due diligence (CDD) and enhanced due diligence (EDD) programs.  Work closely with front-line staff to rectify any CIP/CDD/EDD and OFAC deficiencies within reasonable timelines as set-forth by policy and procedure.rrrAssist with the implementation of the Bank’s Annual Compliance Plan to schedule the activities of Compliance Department. Coordinate the compliance efforts detailed in the annual compliance plan.rrReport regularly to the Compliance Officer on the status of Bank’s compliance program including ongoing monitoring, periodic account reviews. Recommend and follow-up on any corrective actions to resolve identified compliance issues.rrCoordinate the training program and assist with the in-house and online training.rrProvide guidance regarding compliance activities; ascertain that accountability is clearly defined; and prepare periodic reports on compliance activities and issues for the Compliance Officer to report to the senior management and the Head Office.rrrrCompliance & rRisk Managementrr r Comply with all applicable regulations, rules, codes, guidelines and standards set by regulators and the Bank, and carry out duties with high integrity; andr r r Adhere to all established risk control guidelines, procedures and measures to identify, assess, report, mitigate and monitor the risks involved in the day-to-day workr rrrrrrEducation and/or Experience                   rrAssociate's degree (A. A.) or equivalent from two-year college or technical school; or Three to five years related experience and/or training; or An equivalent combination of education and experiencer*AN EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER*rrrnnJob Requirementsnsee above

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