VP FIU Investigations Not right for you? We've got others

$125,000 - $150,000
Santa Ana, California
April 15th 2019
Minimum Degree:
Relocation Assistance:
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  1. Performs personnel actions including performance appraisals, disciplinary actions, and interviewing candidates for employment; supervises the daily activities of the team including, but not limited to, effective delegation of assignments, developing work schedules and providing necessary training.
  2. Responsible for ensuring overall compliance with the Bank Secrecy Act (BSA), USA PATRIOT Act, FATCA, and other AML regulations, and reviews all regulatory requirements. Ensures Bank’s Enterprise AML Program aligns with OCC and other applicable regulatory requirements.
  3. Develops, implements, oversees, and reports on Enterprise AML processes, tools, policies, standards, and procedures ensuring alignment with the Bank’s Enterprise Risk Framework program.
  4. Carries out responsibilities by promoting a risk-aware culture, ensuring efficient and effective risk and compliance management practices, identifying issues, determining root cause and taking corrective action through staff training, process or system enhancements.
  5. Ensures that resources and infrastructure are adequate to support the Enterprise AML Program; conveys the Bank’s needs and objectives, and ensures necessary controls are in place and working as designed.
  6. Works with the OCC and internal auditors providing schedules, analysis and answering questions.
  7. Leads and mentors the Financial Intelligence Unit Analysts to perform transaction monitoring, case investigations, OFAC screening, Suspicious Incident Reporting referrals and follow-up, and SAR filings as necessary.
  8. Understanding of complex transactional patterns of activity such as potential pyramid/Ponzi schemes, Trade-Based Money Laundering, Casa de Cambios, human trafficking, and elder financial abuse.
  9. Conducts quality control review on case investigations to ensure staff follows established policies and procedures, and execute deliverables within expected timeframes.
  10. Conducts site visits at customer sites to evaluate operations against procedures and provide recommendations to the Bank and customers for improvements.
  11. Responsible for planning, organizing, managing and the deployment of large complex system integrations and implementations to increase efficiencies with regard to AML operations.
  12. Establishes system implementation project teams, ensures alignment with business requirements throughout project lifecycle and assumes overall accountability for the planning and execution of deployed solutions.
  13. Proactively tracks progress for each system implementation/integration and mitigates risk; provides oversight of implementation vendor and internal resources needed to meet timelines and budget.
  14. Plans and executes effective change management programs with regard to systems implementation/enhancement to ensure business acceptance and user effectiveness with the solutions delivered.

VP, Manager FIU Investigations - Responsible for the development, implementation, oversight, and reporting on the Bank’s Enterprise Anti-Money Laundering (AML) Program and Financial Intelligence Unit.  Ensures that established Enterprise AML processes and controls are adhered to with regard to investigations, USA PATRIOT Act information requests and disclosures, Suspicious Activity Reporting (SAR), post-SAR monitoring, Office of Foreign Assets Control (OFAC) watch list screening, Foreign Account Tax Compliance Act (FATCA), and deposit and electronic fraud monitoring. Performs all duties in accordance with the company’s policies and procedures, all U.S. state and federal laws and regulations, wherein the company operates






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