Sr. Financial Crimes Investigator
The Sr. Financial Crimes Investigator tests existing enterprise compliance controls within the organization to determine their effectiveness and to identify deficiencies. Under limited supervision, this job focuses on large projects and processes to correct compliance weaknesses by developing and discussing corrective action plans with Compliance Testing Directors and by preparing documentation of enterprise compliance activities to provide a record of issues and to track open issues through to closure.

Key Responsibilities and Duties

Performs compliance risk assessments to test the effectiveness of current enterprise compliance controls and to identify issues, concerns, and deficiencies. Interprets internal and external risks identified during compliance testing and participates in meetings with line of business and enterprise compliance partners to determine best course of action to mitigate risk. Designs and implements corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected. Prepares work papers to support compliance improvement work and updates electronic tool/system with current status to ensure open issues are properly tracked through to closure. Drafts final reports based on test work performed to show that compliance issues and concerns have been resolved in a timely manner and in accordance with established standards. Identifies opportunities to revise policies and procedures to improve the general operation of enterprise compliance programs.

Minimum Qualifications

2 years of experience supporting BSA/AML investigations Experience with Suspicious Activity Reports

Preferred Qualifications

Prior experience in the Banking industry Strong written and verbal communication skills Good analytical, critical thinking and time management skills Systems knowledge: Actimize; IBS Insight; LexisNexis

 

Educational Requirements

University (Degree) Preferred

Work Experience

3+ Years Required; 5+ Years Preferred

Physical Requirements

Physical Requirements: Sedentary Work

Career Level
7IC