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Job Ref: 14792

Salary: $110000 – $130000

AVP Compliance Officer-FIU Investigations
Location: New York, NY

Works under the Financial Intelligence Unit (FIU) team as a Senior Investigator. The role includes reviewing of system generated flags and departmental referrals, conducting research, and assessing presence of illicit activity that may require reporting based on Bank Secrecy Act (BSA)/ AML requirements. The FIU investigator will conduct full life-cycle reviews, thoroughly disposition the conclusion in a detailed and organized matter, and draft Suspicious Activity Reports (SARs). The FIU Investigator will also work with the Compliance Department in assisting with the training program and various other ad-hoc/special projects.

Main Duties and Responsibilities:

  • Conduct Investigations of system-generated profile exceptions, flags and real time Fircosoft blocked items.
  • Conduct investigations of departmental and legal referrals relating to fraud, subpoenas, and other Financial Crime matters.
  • Perform independent reviews and analysis to ensure compliance with the Bank Secrecy Act and USA PATRIOT ACT.
  • Review and manage USA Patriot ACT 314(a) and 314(b) inquiries.
  • Thoroughly document the review and analysis in a detailed and structured matter, including the subsequent course of action such as reporting the activity or closing the account.
  • Prepare and draft Suspicious Activity Reports (SARs).
  • Assist in training and other Compliance related assignments.
  • Support and respond to audit and regulators examinations.

Qualifications Needed:

  • Knowledge of U.S. banking business, products and services.
  • Excellent research skills.
  • Prior SAR filings.
  • Knowledge of general Banking Compliance and Compliance Risk.
  • Knowledge of Bank Secrecy Act (BSA), Anti-Money Laundering (AML), USA Patriot Act (Anti-Terrorist Financing), and Foreign Assets Control regulations (OFAC).
  • Knowledge of Foreign Corrupt Practices Act (FCPA), and Bank Bribery Act and related programs.
  • Strong verbal, analytical, writing, and time-management skills.
  • Ability to multitask, adapt to changing priorities, deliver on due-dates, and work in a team environment.
  • Proficiency in the use of various in-house compliance monitoring systems, including data warehouse to generate ad-hoc reports.
  • Proficiency in Word, Excel (tables and data manipulation, pivot tables, charts and data presentation, etc.), and PowerPoint.

Experience Required/Preferred:

  • Min 5 years in Financial Services Compliance
  •  BA or BS. Major in related discipline, preferable in Accounting, Business,
  • Finance or Law enforcement or a Law Degree
  • CCRP, CRCM, CAMs or comparable certification

Languages Required/Preferred:

  • English
  • Hebrew – optional

Depending on expereince & skill
($110,000 – $130,000)

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