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VP Compliance Officer
2 months ago
Broadgate are partnered with a $1bn Commercial Bank in New York who are looking for a Compliance Officer during a period of growth.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
- Assist in developing, maintaining and conducting annual review of compliance related procedures for the BSA Program (KYC/CIP), OFAC, Training, Fraud, Currency Transaction Reports (CTR), Suspicious Activity Reporting (SAR), Proactive Monitoring, as well as Consumer Compliance areas. Monitor and report on compliance with OFAC guidelines, USA PATRIOT Act, Bank Secrecy Act (BSA) and related regulations,
- Perform BSA related investigations, drafting and filing Suspicious Activity Reports (SAR’s) and Currency Transaction Reports (CTRs).
- Assist in the collection of data for the Bank’s BSA AML OFAC Risk Assessment on an annual basis
- Assign a workload of Suspicious Activity Monitoring Alerts and High Risk Reviews, as well as reviewing disposition to provide feedback to the BSA Analysts; in addition to reviewing and disposition own workload
- Review and Approve account requests for consumer and Businesses accounts prior to opening to ensure all the KYC CIP documentation meets the Bank KYC CIP program and OFAC Policy.-
- Review and Approve requests for Commercial Real Estate, Commercial and Industrialized, Energy and SAAs loans prior to funding to ensure all the documentation provided is according to KYC CIP program, OFAC Compliant and no KYC CIP exceptions are required.
- Responsible to conduct a monthly audit of all KYC CIP packages that were approved to ensure required supporting documentation is within the file, accounts/loans are properly logged, and properly risk rated (if applicable).
- Provide support in the collection and preparation of the data for the Bank’s annual Money Laundering Risk Report (MLR) required by the Office Of The Comptroller Of the Currency (OCC).-
EDUCATION AND EXPERIENCE:
College degree or equivalent years of experience in Compliance field.
Minimum 10 years experience.
Certified Anti-money Laundering Specialist (CAMS)
Knowledge of USA Patriot ACT, Bank Secrecy Act, OFAC, Compliance Regulations (including but not limited to Reg B, Reg C, Reg CC, Reg DD, Reg E, Reg O, Reg P, Reg Z, UDAAP)
FIS Systems (IBS, BIC, Prime, Actimize)
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