BSA AML LE & Alerts Investigations Manager

Description:

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GENERAL DESCRIPTION OF POSITION


This position is responsible for directly supervising BSA/AML Alert Analyst and Law Enforcement (LE) Support Analyst within the Investigations team in the BSA Department. In addition, assist the Director of BSA/AML Operations with the development, documentation, and maintenance of a formal BSA/AML written program, procedures, and to ensure that all departments, branches, and their respective associates are aware of anti-money laundering laws and regulations.



 



ESSENTIAL DUTIES AND RESPONSIBILITIES



1. Direct supervision of BSA/AML Analysts/Investigators. This duty is performed daily, about 15% of the time.



 



2. Provide assistance to the Director BSA/AML Operations in maintaining the Bank's BSA Compliance program. This duty is performed daily, about 5% of the time.



 



3. Supervisor and provide assistance to other BSA/AML associates in the interpretation of the BSA laws and regulations, as well as the Bank's BSA/AML compliance program. This duty is performed daily, about 5% of the time.



 



4. Assist in the development of procedures for the monitoring of suspicious activity and assists with identifying technology solution enhancements as needed for compliance with the BSA/AML regulations. This duty is performed as needed.



 



5. Attend formal BSA training annually and ensure the BSA associates are trained annually and as needed based on revisions to the BSA requirements. This duty is performed annually, about 5% of the time.



 



6. Help identify and analyze on an on-going basis high-risk customers for suspicious activity. This duty is performed as needed, about 5% of the time.



 



7. Oversee transaction monitoring and investigation of all suspicious activity and respond to LE request. This duty is performed daily, about 15% of the time.



 



8. Assist in the creation and maintenance of investigative procedures and assessments. This duty is performed quarterly, about 5% of the time.



 



9. Provide a second level of approval for all SARs, prior to filing if needed. This duty is performed as needed, about 5% of the time.



 



10. Assist the Director BSA/AML Operations in assessing the adequacy of the Bank's overall compliance with the federal Bank Secrecy and anti-money laundering laws and regulations on a continuing basis. This duty is performed as needed, about 5% of the time.



 



11. Assist the Director BSA/AML Operations in analyzing various BSA/AML monitoring reports for patterns of unusual and/or suspicious account activity. This duty is performed as needed, about 5% of the time.



 



12. Assist the Director BSA/AML Operations in assessing the need for suspicious activity reporting (SAR) based on established anti-money laundering procedures. This duty is performed as needed, about 5% of the time.



 



13. Assist in the identification and implementation of technology solutions that assist or enhance in BSA/AML monitoring. This duty is performed as needed, about 5% of the time.



 



14. Completes required BSA/AML training and other compliance training as assigned. This duty is performed as needed, about 5% of the time.



 



15. The ability to work in a constant state of alertness and in a safe manner. This duty is performed daily, about 15% of the time.



 



16. Perform any other related duties as required or assigned.



 



QUALIFICATIONS



To perform this job successfully, an individual must be able to perform each essential duty mentioned satisfactorily.  The requirements listed below are representative of the knowledge, skill, and/or ability required.



 



EDUCATION AND EXPERIENCE



Broad knowledge of such fields as accounting, marketing, business administration, finance, etc. Equivalent to a four year college degree, plus 11 to 15 years related experience and/or training, and 4 years related management experience, or equivalent combination of education and experience.



 



COMMUNICATION SKILLS



Ability to read and understand simple instructions, short correspondence, notes, letters and memos; Ability to write simple correspondence. Ability to read and understand documents such as policy manuals, safety rules, operating and maintenance instructions, and procedure manuals; Ability to write routine reports and correspondence. Ability to effectively communicate information and respond to questions in person-to-person and small group situations with customers, clients, general public and other employees of the organization. Ability to read, analyze, and understand general business/company related articles and professional journals; Ability to speak effectively before groups of customers or employees. Ability to write reports, business correspondence, and policy/procedure manuals;  Ability to effectively present information and respond to questions from groups of managers, clients, customers, and the general public. Ability to read, analyze, and understand common scientific and technical journals, financial reports, and legal documents; Ability to respond to complex or difficult inquiries or complaints from customers, regulatory agencies, or members of the business community. Ability to write speeches and articles for publication that conform to prescribed style and format; Ability to effectively present information to top management, public groups, and/or boards of directors.



 



MATHEMATICAL SKILLS



Ability to add, subtract, multiply, and divide in all units of measure, using whole numbers, common fractions, and decimals. Ability to compute rate, ratio, and percent and to prepare and interpret bar graphs.



 



CRITICAL THINKING SKILLS



Ability to utilize common sense understanding in order to carry out written, oral or diagrammed instructions. Ability to deal with problems involving several known variables in situations of a routine nature.



 



REQUIRED CERTIFICATES, LICENSES, REGISTRATIONS



Certified Anti-money Laundering Specialist (CAMS)



 



PREFERRED CERTIFICATES, LICENSES, REGISTRATIONS



Certified Fraud Examiner (CFE)



 



SOFTWARE SKILLS REQUIRED



Advanced: Word Processing/Typing



Intermediate: Database, Spreadsheet



Basic: 10-Key, Contact Management, Presentation/PowerPoint





RESPONSIBILITY FOR WORK OF OTHERS



Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws.  Responsibilities may include but not limited to interviewing, hiring and training employees; planning, assigning and directing work; appraising performance, rewarding and disciplining employees; addressing complaints and resolving problems.



 



Supervises a moderate size group (8-15) of employees engaged in important, complex operations, consisting of employees in different classifications who perform a wide variety of duties.



 



Supervises the following departments: BSA



WORKING CONDITIONS



Normal working conditions as found within an office setting, wherein there is controlled temperature and a low noise level, plus a minimum of distractions.



 



ENVIRONMENTAL CONDITIONS



The following work environment characteristics described here are representative of those an employee encounters while performing essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.



 



 The noise level in the work environment is usually moderate.



 



PHYSICAL ACTIVITIES



The following physical activities described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.  Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions and expectations.



 



High diversity, low physical. Work activities which allow for considerable amount of diversity as an incumbent performs a variety of tasks. Such tasks might be performed from a given work area, or the individual may move about physically in performing a variety of duties.



 



While performing the functions of this job, the employee is continuously required to sit, talk or hear; frequently required to use hands to finger, handle, or feel, reach with hands and arms; and occasionally required to stand, walk. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision.



 



ADDITIONAL INFORMATION



Required Education and Experience:



-Bachelor's degree in a business-related field or equivalent work experience.



-Twelve(12+) years of experience in banking with focus on Compliance, Audit, or BSA/AML and/or Law Enforcement experience with focus on financial crimes.



-Four (4) or more years of anti-money laundering investigative experience either public or private sector.



-Five (5) or more years experience in leading and/or managing a team in either public or private sector.



-Five (5) or more years experience in training individuals on laws, regulations and financial crimes in either public or private sector.



 



Required Knowledge, Skills, and Abilities:



-Working knowledge of federal BSA/AML regulations



-Strong Microsoft skills in Word and Excel



-Strong oral and written communication skills



-Detail oriented, accurate, and organized



-Self-motivated



-Multi-task oriented



-Leadership skills



-CAMS Certified



 



 



Preferred: Knowledge, Skills, and Abilities:



-Working knowledge of BSA/AML compliance software system



-Additional professional certifications

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