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BSA Compliance Analyst

2 months ago

Santa Rosa, California, United States Kavaliro Full time
Job Title: BSA Compliance Analyst

At Kavaliro, we are seeking a highly skilled BSA Compliance Analyst to join our team. As a key member of our compliance department, you will play a critical role in ensuring our bank's adherence to regulatory requirements and maintaining a strong compliance culture.

Key Responsibilities:
  • Conduct in-depth due diligence reviews and prepare comprehensive reports on high-risk customers to assess and mitigate BSA/AML risk.
  • Analyze complex ownership structures, evaluating variables such as source of funds, anticipated activity volumes, and purpose of business relationships.
  • Validate and document customer risk designations or mitigating factors to establish periodic EDD review schedules.
  • Independently review various reports and transaction data, analyzing complex activity to determine if transactions are suspicious in nature.
  • Perform quality control reviews of AML/BSA/Fraud functions, including case investigations, Suspicious Activity Reports (SARs), BSA/Fraud alerts, customer risk reviews, Currency Transactions Reporting (CTR), to ensure compliance with established procedures, policies, and regulatory requirements.
  • Evaluate and adjust AML software scoring to provide the most value to the BSA/Fraud program, in accordance with established risk tolerance.
  • Assist in transaction testing, data validation, and ongoing customization of AML software.
  • Proactively monitor, measure, analyze, execute, track, and report on data quality issues.
  • Perform root cause analysis of identified data quality issues, tracing data upstream and providing solutions.
  • Suspicious Activity Response: Investigate escalated alerts of potential suspicious activity produced or referred by other areas of the bank, and determine the appropriate course of action.
  • Watch List Response: Ensure Watch List information is properly maintained and updated, review and respond to concerns about OFAC, SDN, or other Watch List alerts, and take mandated action as necessary.
  • Disseminate information, answer questions, and serve as a subject matter expert on BSA/AML/OFAC/Fraud-related issues.
  • Fraud Program Response: This role may directly support the Bank's Fraud Program, including day-to-day responsibilities, alert/case investigations, and Financial Elder Abuse reporting.
  • Contribute to the development and implementation of Fraud Risk processes, tools, policies, standards, and procedures in alignment with the BSA/AML Program.
  • Stay up-to-date on Fraud, BSA, and AML-related regulations, and recommend business process improvements.
  • Mentor and work with less-experienced staff in developing additional assets within the team.
  • Review and analyze new and pending laws and regulations, and develop or revise appropriate policies, procedures, and disclosure agreements to ensure compliance.
  • Assist with regulatory examinations and audits, including gathering requested information, developing, and coordinating responses to such reviews as necessary.
  • Support ad-hoc special projects as needed.
  • Attend various seminars, webinars, and other outside compliance training.
  • Minimum of 10 hours CRA volunteer hours per year, typically scheduled within business hours.
Requirements:
  • Advanced understanding of banking and fraud threats posed by money laundering activities.
  • Combination of training and experience that would provide the knowledge and abilities listed above, including specific knowledge of State and Federal laws and regulations pertaining to financial institutions (i.e., BSA, AML, OFAC, USA Patriot Act).
  • Minimum of 5 years BSA and Fraud experience, with experience in depository financial institution processes and procedures or similar experience preferred.
  • Solid understanding of banking and fraud threats posed by Money Laundering activities.
  • Strategic and entrepreneurial mindset with the ability to identify emerging compliance trends and risks, ensuring we stay ahead of the curve.
  • Excellent verbal and written communication skills, with the ability to break down complex requirements into easy-to-understand and practical systems.
  • Proficiency with computer programs, including fraud identification and AML software.
  • Organize workflow efficiently, self-direct personal training needs, and utilize available resources.
  • Perform financial analysis, draw logical conclusions, and make recommendations when needed.
  • Sound analytical, evaluation, communication, and interpersonal skills.
  • Ability to distinguish and manage confidential information, materials, and conversations.
  • Establish and maintain effective working relationships with employees from other departments.
  • Ability to work scheduled full-time hours and maintain regular attendance.
  • Ability to multi-task in a fast-paced environment.
BSA and Compliance Responsibilities:
  • Comply with all requirements, policies, and procedures of the Bank Secrecy Act (BSA) and complete all mandatory BSA training as needed for this position.
  • Report to the BSA Officer any money laundering, fraud, and other suspicious activity.
  • Comply with all requirements, policies, and procedures outlined in the Bank's BSA/CIP/OFAC Policy.
  • Complete all required compliance and regulatory training, not limited to BSA, as needed for this position.