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The Senior AML Compliance Officer is responsible for performing various assigned AML quality assurance reviews from activity that is generated by the CoinFlip’s transaction monitoring system, case management system, and any related regulatory forms or submitted reports.
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Under general supervision, the Sr. Compliance Officer works in conjunction with the Compliance Manager in monitoring rules and regulations and as needed, amending/developing, and implementing policies and procedures that are necessary to ensure that Invesco’s subsidiaries operate in accordance with the rules and regulations set forth by federal and state agencies, self‑regulatory organizations, and internal policies.
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Assist with hotline call investigations as directed by the Regional Compliance Officer. Collaborates with the Regional Compliance Officer in hiring, evaluating, and promoting staff development within the QC department.
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Anticipate regulatory changes and proactively adapt strategies in the futureGovernance: establish and maintain governance structures that promote transparency and accountabilityRegulatory Compliance: stay ahead of the curve by monitoring global regulatory developments.
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Ensure compliance for all grants, including facilitation of program officer calls, audits, monitoring or site visits, and meeting regulatory requirements. Minimum of 6 years of experience in successful grant writing, grants management, or non-profit development with progressive management and leadership experience.
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The BSA & Compliance Analyst assists in the implementation and administration of all aspects of the Bank Secrecy Act (BSA) compliance program and assists with various assignments supporting the overall regulatory compliance of the Credit Union, under the guidance of the VP Risk Management and BSA Officer.
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This includes overseeing investment operations, monitoring compliance against policies, proxy voting by external investment managers, and regulatory and tax monitoring and compliance.
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Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes related to monitoring and fostering awareness of sanctions regulatory requirements that Citi must comply with; assessing related sanctions risk exposure, overseeing the quality of sanctions control processes and setting global standards to manage and mitigate those sanctions risks and protect the franchise.
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Assist the Regional Compliance Officer in the support, guidance, and coordination of activities of all Q/I M Staff. Serve as primary contact to all regulatory oversight agencies for incident reporting, including but not limited to the NYS Justice Center, OPWDD DOH, OASAS, and OMH.
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They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
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This may include, for instance, interpreting and applying financial privacy laws, regulations, and guidance; investigating and responding to privacy incidents; identifying emerging privacy risks and trends; monitoring and tracking legislative and regulatory changes and implementing compliance with them; maintaining and reporting metrics; creating and conducting privacy training; and fostering a culture of Privacy by Design and privacy compliance throughout CIBCs US Region.
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Ensuring that the budgets of assigned program operations are expended in a manner that achieves program goals, meets established criteria, and regulatory compliance. Two (2) years of progressive experience performing duties related to the work of the position to be filled such as formulating, justifying, monitoring, coordinating and approving budget requests; and preparing reports, analysis, and justifications related to funding matters.
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Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite and protect the franchise.
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In addition, the Compliance Analyst is responsible for KYB and KYC due diligence of new clients, continuous monitoring, operationally supporting clients BSA/AML function, and supporting client/brand policy and procedure needs.
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Completes all responsibilities according to established protocols, policies and standard practices in the areas of customer service, quality assurance and regulatory compliance programs such as HIPAA (Health Information Portability & Accountability Act), OSHA (Occupational Safety & Health Act) and CLIA (Clinical Laboratory Improvement Administration) and Title X.
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