AVP, Quality Assurance Analyst

Full Time

Job Function:

This position is full time position within the Bank’s New York branch. This position is responsible for end to end Quality Assurance reviews for the AML, Sanctions and KYC functions. Additional responsibilities include the pre-validation & validation of remediated issues deriving from regulatory, internal audit and self-assessment exams/reviews and the monitoring, tracking and (internal) reporting of compliance related issues.


  • Perform targeted, continuous & end to end Compliance reviews for AML, Sanctions, Training and KYC functions
  • Develop comprehensive QA workpapers describing testing performed and results identified.
  • Develop well written QA reports providing root cause of compliance-related observations/findings and industry best practice
  • Support compliance activities and remediation efforts across the organization
  • Provide subject matter expertise in compliance QA related activates
  • Ensure that Branch’s QA program dynamically adapts to U.S. regulatory and policy changes
  • Review and validate the effectiveness of internal controls managed by the Branch’s compliance departments
    • Utilize a risk-based sampling methodology for testing and validating the effectiveness of Compliance processes and internal controls
    • Monitoring and testing should span the Compliance Program including BSA/AML, Sanctions, training and KYC
  • Assess compliance staff’s adherence to established procedures and processes, including reviews of:
    • Completeness and accuracy of KYC customer profiles
    • Quality of customer due diligence activities performed
    • Completeness of alert/case investigation processes, timeliness and quality completeness of SAR filings
    • Completeness and timeliness of initial/periodic Sanctions customer name & transaction screening
  • Liaise with external parties e.g. 3rd party vendors supporting Compliance activities
  • Communicate with other internal departments to ensure timely reporting and resolution of identified compliance-related risk and control issues
  • Participate (when applicable) in weekly, monthly and quarterly compliance meetings with Branch Senior Management


  • Bachelor’s degree required, preferred majors in Business, Accounting, Finance
  • Certified Anti Money-laundering Specialist (CAMS) preferred
  • At least 3 years in the areas of: Compliance Quality Assurance, Monitoring and Testing, Financial Crime and/or Internal Audit experience within a financial organization and/or a regulatory agency

Skills and Knowledge

  • Highly organized and able to operate in a team or individual environment, especially in cross-functional teams
  • Experience reviewing and assessing Compliance related policies and standards
  • Ability to operate in an independent manner without close supervision is essential as is ability to call out challenges and solutions
  • Knowledge in Compliance rules and regulations administered by government agencies such as the Federal Reserve Board (FRB), Federal Financial Institutions Examination Council (FFIEC), New York State Department of Financial Services (DFS) and the Office of Foreign Assets Control (OFAC)
  • Strong communication, writing and presentation skills
  • Strong computer skills including Word, Excel and PowerPoint
  • Strong analytical, investigative, and reporting skills
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