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Compliance and BSA Officer

2 months ago

Plano, United States BEAL NEVADA SERVICE CORPORATION Full time
Job DescriptionJob Description

Summary:

Come fill a vital position with a leading financial institution based in the DFW Metroplex. Reporting to the Chief Compliance Officer, the Compliance & BSA Officer is a subject matter expert in a broad array of federal and state regulations which relate to bank safety and soundness and conduct of business, including consumer protection. This position is responsible for compliance oversight at both Beal Bank and Beal Bank USA and with the Banks’ parent, Beal Financial Corporation. The Compliance & BSA Officer provides input and advice to ensure compliance with laws, regulations and internal policies and will collaborate and assist with administering the Banks' internal audit program. The Compliance & BSA Officer also has a role in preparations for regulatory examinations and inspections, including responding to informational requests during on-site regulatory reviews. The Officer will also assist with coordinating licensing requirements with appropriate in-house and other counsel.

The Compliance & BSA Officer coordinates and monitors day-to-day Bank Secrecy Act/Anti-Money Laundering compliance, managing all aspects of the BSA/AML compliance program, including the bank's compliance with BSA regulatory requirements. The Compliance & BSA Officer will implement policies, procedures and systems to ensure comprehensive know your customer (KYC) standards, customer identification programs (CIP), customer due diligence (CDD) processes and suspicious activity monitoring and reporting (SARs) as well as being responsible for managing and gathering materials for BSA/AML audits and examinations.

This is an on-site (non-remote) position based at our Plano, TX headquarters location.

Essential Duties and Responsibilities (including but not limited to):

  • Daily review of BSA reports and large cash transaction reports, kiting suspects, etc., for the purpose of detecting suspicious activity
  • Daily review and submission of CTRs and perform annual review of CTR exempt customers
  • Create, review and submit SARs and document SARs considered but not filed
  • Daily track, review and archive CIPs and Beneficial Ownership documentation
  • Daily designate risk-rating on new accounts and perform quarterly reviews of high-risk account statements
  • Assist with annual policy review for Board Approval
  • Perform annual risk assessment reviews for Board Approval – BSA/OFAC/MRB
  • Participate in BSA training on an ongoing basis
  • Annually develop and implement BSA/AML staff training/new hire training
  • Advise Senior Management and bank personnel of emerging BSA/AML/KYC/CIP trends and BSA Compliance issues
  • Supervise 314(a) list reviews and responses; maintain and audit the review tracking log
  • Gather information for audits and exams and assist throughout the process; respond to findings
  • Organize and maintain computer documentation of the above and retain according to retention schedules
  • Make recommendations to supervisor about methods to improve BSA processes
  • Will have contact with customers, auditors, examiners and senior officers/directors and is to conduct relationships in a manner that will enhance the overall compliance function and create a positive image of the bank
  • Identify potential areas of compliance vulnerability and risk and devise appropriate controls and other mitigation
  • Provide reports regarding their activities to the Bank's senior management and Board of Directors
  • Undertake continuous learning and self-study to stay abreast of changing regulations and emerging issues
  • Work with other internal units, as appropriate, to design and deliver compliance education for new and existing employees
  • Work collaboratively with the Legal Department and outside counsel, as necessary
  • Respond to customer complaints forwarded by regulatory authorities and legislators
  • All other duties assigned by Manager.

Qualifications (Education, Computer Skills, Certifications, Etc.):

  • Minimum of six to eight years of financial institution compliance experience
  • A minimum of two to three years of recent experience as a Compliance & BSA Officer or BSA Assistant
  • Bachelor's degree required
  • Juris Doctor or graduate degrees preferred; industry certifications (CRCM, ACAMS) preferred or relevant work experience to sit for certification exams
  • Knowledge of banking processes, products and regulations
  • Organizational and strong multi-tasking skills
  • Strong, distinct and professional communication, both verbal and written
  • Present a professional image in speech and conduct
  • Ability to maintain a high degree of confidentiality


Benefits options include:

  • Medical, dental and vision coverage
  • 401K with company match
  • 10 paid holidays
  • Accrue up to 17 vacation/sick days per year in your first year on a pro rata basis
  • Applicant may be eligible for annual discretionary bonus

No relocation assistance provided.

If you are looking to be a part of a winning team and meet the above requirements, we look forward to hearing from you.

Beal Bank, Beal Bank USA, and their affiliates are Equal Opportunity Employers. Beal Bank, Beal Bank USA, and their affiliates do not discriminate against any candidate or employee on the basis of race, national origin, color, genetics, sex, marital status, sexual orientation, gender identity, age, disability, pregnancy, religion or religious affiliation, veteran or service member status, or any other characteristic protected by federal, state or local laws.

All applicants have rights under federal employment laws. To view your rights and government notices on the Family Medical Leave Act (FMLA), the Equal Employment Opportunity (EEO) and the Employee Polygraph Projection Act (EPPA), please see the following Department of Labor links: FMLA EEO EPPA

Notice to California Residents: Beal Bank, Beal Bank USA, Beal Service Corporation, Beal Nevada Service Corporation, CLMG Corp., and CSG Investments, Inc. may collect personal information about you as part of the job application or employment process. Please see the California Privacy Rights Act Policies at CPRA Policy, CPRA Policy | CLMG Corp, CPRA | CSG Investments CPRA Policy | BRE Capital for details.