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Corporate Compliance

4 months ago

Sacramento, United States Knewin Full time

Corporate Compliance - BSA SAR Investigator II

Sacramento, CA, USA Req #5279

Wednesday, May 15, 2024

JOB TITLE:

BSA SAR Investigator II DEPARTMENT:

Corporate Compliance STATUS:

Non-Exempt JOB CODE:

10132 PAY SCALE:

$32.29 - $33.00 Hourly

GENERAL DESCRIPTION: The BSA SAR Investigator II is an experienced level position within the BSA Department. Responsible to detect, review and report on potential suspicious activities filtered by various AML systems. As a SAR Investigator II, you will investigate external inquiries via Legal (subpoenas), internal investigations other groups (fraudulent instruments and inquiries), and other related transactional activity. Must be aware of high-risk activities to ensure regulatory compliance with Suspicious Activity Reporting (SAR) filings, Customer Identification Program (CIP), Customer Due Diligence/Enhanced Due Diligence. 314(b) Information Sharing requests, OFAC, and all investigations pertaining to potential money laundering, terrorist financing or cybercrime. Support the BSA Supervisor and the SAR Investigations team in maintaining Compliance with Golden1 Credit Union’s BSA Program. Assist with training and coaching of new and existing employees across various business lines and execute special investigations.

TASKS, DUTIES, FUNCTIONS:

Utilizes knowledge of credit union systems, processes, and contacts as resources for conducting investigations. Develops a plan of action and gathers, analyzes, and compiles evidence for multiple case assignments. Prepares case documentation and writes a complete final summary report of investigation. Investigate suspicious activity cases generated by the internal automated AML/BSA monitoring system or Unusual Activity Referrals reported by Branch personnel and other lines of business. Compiles supporting documents; prepares SAR narrative, based upon independent investigation and analysis, then files it through FinCEN E-filing system within 30 days of determining that the activity is suspicious to comply with Federal regulations. When necessary, determine and recommend for restrictions or closure of account(s). Prepares detailed investigative reports for senior management which provide a recommendation as to whether a member’s transactional activity is suspicious and thereby requiring a SAR filing or if a “No-SAR” determination is more appropriate. The recommendation will be based on an assessment of internal and external data sources, internet, and other sources. The recommendation will involve an analytical assessment of all available information and the exercise of judgment that includes a description of their reason(s) or rationale for recommended courses of action. Reviews individuals’ and entities’ accounts reported in a Subpoena utilizing different management systems to determine if money laundering or other suspicious activity noted in the accounts should be reported. Prepares SARs if necessary. Performs 90-day reviews on account activity for submitted SARs, determines if the previously reported suspicious activity has continued or ceased. Files supplemental SAR if additional suspicious activity is identified. Assesses internal controls and procedures associated with assigned cases, identifying control breakdowns and makes recommendations to prevent future losses. Assists with determining new procedures to prevent, detect and investigate money laundering. Reviews fraud data to ensure accuracy for reporting and audit purposes. Assists with computer crime investigations and investigates breaches for information security policies as requested. Maintains current information on various systems as well as required files and documentation. Ensures records are complete and available for review and audit as needed. Complies with regulatory requirements, security and applicable policies and identifies control and procedural issues. Serves as resource to branches/departments inquires related to AML/BSA questions to provide best information possible regarding AML/BSA regulation to better serve the members and the Credit Union’s interest. Assists with the timely completion and investigation of assigned 314(b) requests. Completes annual BSA/AML/OFAC training requirements and keeps current with Money Laundering and Terrorist Financing trends. Provides support, guidance and training of new staff and serves as the quality control reviewer for alerts, cases, and SARs. Assists in collecting documentation for examiners, auditors, law enforcement and governmental agencies regarding SARs, and BSA/AML monitoring records. Participates in moderate to complex project initiatives as the primary subject matter expert. Maintain a thorough understanding of state and federal laws and regulations related to credit union compliance including bank secrecy and anti-money laundering laws appropriate to the position. PHYSICAL SKILLS, ABILITIES, AND EXERTION UTILIZED IN THE PERFORMANCE OF THESE TASKS:

Effective oral and written communication skills required to assist other staff, constructively follow-up on member inquiries, communicate clearly with management, and perform other related tasks. Must possess sufficient manual dexterity to skillfully operate an on-line computer terminal and other standard office equipment, such as financial calculators, personal computer, facsimile machine, and telephone. ORGANIZATIONAL CONTACTS & RELATIONSHIPS:

INTERNAL:

All business units and departments as needed. EXTERNAL:

Federal, state, and local law enforcement, vendors and business partners, and industry peers as needed. QUALIFICATIONS:

EDUCATION:

Associates or Bachelor’s degree in Criminal Justice, Business, or a related field preferred; or a combination of professional experience and education. EXPERIENCE:

At a minimum 5 years’ experience in a financial institution with job specific work experience in AML Knowledgeable of the laws applicable to money laundering, including the Bank Secrecy Act, The USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements. Experience investigating customer transactions and reviewing customer information. Experience writing and reviewing SARs and SAR related reports. KNOWLEDGE/SKILLS: Strong writing, analytical, and communication skills, and must be able to complete projects on time. Should be a self-starter and organized and must have the ability to work independently. Excellent attention to detail and follow-up skills. Strong research skills, advanced skills in the use of Microsoft Office suite and Windows; and experience with the Internet and on-line research systems. Knowledge of Credit Union products, services, policies & procedures. Intermediate knowledge of AML/BSA, OFAC and Federal/State Regulations. Knowledge to operate electronic banking equipment. Must be self-motivated and capable of exercising sound judgement, working both independently as well as in a team environment. PHYSICAL REQUIREMENTS:

Must reside within 50 miles of the headquarters location. Prolonged sitting throughout the workday with occasional mobility required. Corrected vision within the normal range. Hearing within normal range. A device to enhance hearing will be provided if needed. Occasional movements throughout the department daily to interact with staff, accomplish tasks, etc. LICENSES/CERTIFICATIONS:

Preferred – At least one of the following certifications: Certified Anti-Money Laundering Specialist (CAMS), Professional Certified Investigator (PCI), Certified Fraud Investigator (CFI), Certified Financial Crimes Investigator (CFCI), or Certified Fraud Examiner (CFE). Otherwise, must be obtained within the first year of hire.

REV. 5/15/2024

Other details

Job Family Non-Manager Job Function Non-Manager Pay Type Hourly Employment Indicator Flex/Hybrid Min Hiring Rate $32.39 Max Hiring Rate $33.00 Apply Now #J-18808-Ljbffr