Compliance Testing Manager
Provide expert, high level technical knowledge for Bank Secrecy Act (BSA) and antimoney
laundering/terrorist financing (AML/TF) laws, regulations, inter-governmental
body guidance and federal functional regulator examination knowledge for the BSA/
AML Group from an enterprise-wide perspective. Provide BSA/AML management with
internal evaluations of the BSA/AML Group’s internal control process for compliance
with BSA/AML/TF laws, regulations, and regulatory guidance.
Desired Skills:
1. Day-to-day high level knowledge and experience with the Bank Secrecy Act, AML/
TF, OFAC and other related laws, regulations, guidance and international directives
preferred
2. Five years of BSA/AML experience
3. In-depth operational and regulatory knowledge of financial institutions (banks, loan
companies, broker/dealers, registered investment advisors)
Essential Duties and Responsibilities:
The following is a summary of the essential functions for this job. Other Duties may be
performed, both major and minor, which are not mentioned below. Specific activities
may change from time to time.
1. Research and provide technical guidance to BSA/AML Group managers regarding
new initiatives (laws, regulations, and guidance), current laws, and other related issues
for all entities enterprise-wide. Assist other management teams, enterprise-wide, as
requested.
2. Develop and manage an internal control evaluation process for BSA/AML/TF internal
controls administered by the BSA/AML group and other entities enterprise wide.
3. Coordinate annual FDIC and Federal Reserve BSA/AML/TF examinations, and
internal audits. To include preparation, on-site activities, findings, recommendations,
responses and status-updates for interim and final reports.
4. Coordinate with Corporate Compliance and/or Bank Secrecy Act Officer regarding
interpretations and control designs.
5. Maintain/expand BSA/AML/TF knowledge for pending issues. This will include
interaction with industry contacts, including federal regulators.
6. Assist departmental managers in development of control techniques, processes,
documentation, and training for BSAAML/TF compliance.
7. Make recommendations for assigned personnel regarding employment, career
development, performance evaluations, salary changes, promotions, transfers and
terminations within establish policies and guidelines.
8. Plan and develop budgets (departmental and selected centrally planned operating
loss accounts) in accordance with established guidelines; administers compliance to
meet budgetary goals and negotiates changes as required.
Required Skills and Competencies:
The requirements listed below are representative of the knowledge, skill and/or ability required.
Reasonable accommodations may be made to enable individuals with disabilities to perform the essential
functions.
1. Bachelor’s degree in business related field, or equivalent education and related
training
2. Ten years of relevant experience
3. Strong verbal and written communication/interpersonal skills; ability to communicate
and interact with all levels of management; demonstrate and be recognized as having
strong knowledge and leadership skills
4. Ability to travel, occasionally overnight
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