Financial Crimes Investigator I

Enterprise Compliance Associate
The Enterprise Compliance Associate participates in planning of enterprise compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job works with team members to identify, investigate and report compliance risks.

Key Responsibilities and Duties

• Participates in compliance risk assessments to identify compliance issues, concerns, and deficiencies.
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  Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
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  Supports organization and implementation of compliance audits.
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  Participates in the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
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  Drafts reports on the results of compliance and ethics initiatives of the enterprise.
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  Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
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  Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of enterprise compliance programs as needed.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 2+ Years Required; 3+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
6IC

• Role is a junior AML Investigator supporting the Bank's Financial Crimes Compliance organization
• Role requires the ability to research using bank systems and involves analytical, critical thinking skills, and effective time management skills
• A strong candidate has solid written communication skills and can summarize facts in a detailed but concise manner, following internal operating procedures
• Position will report directly to the Financial Crimes Investigations Manager

• 2 years of compliance, legal, and/or risk experience

• Prior Anti-money laundering (AML) experience
• Prior experience in the Banking industry
• Experience with Suspicious activity reports (SARs)
• Strong written communication skills
• Good analytical, critical thinking and time management skills
• Systems knowledge: Actimize; IBS Insight; LexisNexis

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking Base Pay Range: $57,000/yr. - $81,000/yr.