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Senior BSA Compliance Analyst

2 months ago

Santa Rosa, California, United States Poppy Bank Full time
Position Overview

The Senior BSA Compliance Analyst operates with minimal oversight, tasked with the identification of accounts and the analysis of transactions that may indicate unusual or suspicious activities, including potential fraud, structuring, money laundering, or terrorist financing. This role is critical in ensuring adherence to the Bank Secrecy Act and the USA Patriot Act.

Key Responsibilities:

  • Conduct thorough due diligence assessments and generate detailed reports on customers categorized as High and Moderate risk to effectively evaluate and mitigate BSA/AML risks.
  • Collect and scrutinize documentation related to complex ownership structures, assessing factors such as source of funds, expected activity levels, and the rationale behind business relationships.
  • Document and validate customer risk designations or mitigating factors to establish a schedule for periodic Enhanced Due Diligence (EDD) reviews.
  • Independently review various reports and transaction data, analyzing complex activities to identify potentially suspicious transactions.
  • Perform quality control assessments of AML/BSA/Fraud functions, ensuring compliance with established standards and regulatory requirements.
  • Adjust and evaluate AML software scoring to enhance the effectiveness of the BSA/Fraud program in line with established risk tolerances.
  • Assist in transaction testing, data validation, and the ongoing customization of AML software.
  • Monitor, analyze, and report on data quality issues proactively.
  • Conduct root cause analyses of identified data quality issues, tracing data upstream and proposing solutions.
  • Investigate escalated alerts regarding potential suspicious activities and determine appropriate actions.
  • Maintain and update Watch List information, addressing concerns related to OFAC and other alerts as necessary.
  • Serve as a subject matter expert on BSA/AML/OFAC/Fraud-related inquiries.
  • Support the Bank's Fraud Program, including daily responsibilities and investigations.
  • Contribute to the development and implementation of Fraud Risk processes and policies aligned with the BSA/AML Program.
  • Stay informed on regulatory changes related to Fraud, BSA, and AML, recommending improvements to business processes.
  • Mentor less experienced staff, fostering skill development within the team.
  • Review and analyze new and pending regulations, revising policies and procedures to ensure compliance.
  • Assist with regulatory examinations and audits, compiling necessary information and coordinating responses.
  • Participate in special projects as required.
  • Engage in various training opportunities to enhance compliance knowledge.
  • Complete a minimum of 10 hours of community service annually, typically during business hours.
  • Perform additional duties as assigned.

Qualifications:

  • Advanced knowledge of banking operations and the risks associated with money laundering.
  • Relevant training and experience that equip the candidate with the necessary knowledge of State and Federal regulations affecting financial institutions.
  • A minimum of 5 years of experience in BSA and Fraud, preferably within a depository financial institution.
  • Strong analytical skills and the ability to communicate complex information clearly.
  • Proficiency in using fraud detection and AML software.
  • Ability to manage confidential information and maintain effective relationships across departments.
  • Capability to work efficiently in a fast-paced environment while managing multiple tasks.

Work Environment:

The role is performed in a standard office setting, allowing for mobility and interaction with colleagues. Reasonable accommodations may be made for individuals with disabilities to perform essential functions.

Poppy Bank is committed to providing equal employment opportunities and prohibits discrimination of any kind.