Executive Director-AML Quality Control Leader

Full Time

Financial Services Client

Office Status: Hybrid (3 days per week in office)

Salary: $175,000 – $250,000


  • Quality Control Program Manager for the US Banks and Wealth Management AML Risk Quality Control Process, including management and process oversight for a team of Quality Control Analysts that perform Quality Control reviews for each respective business process
  • Supervise and manage a team of Quality Control Analysts for the Firm’s Wealth Management and US Banks businesses to ensure accounts are compliant with applicable internal AML Risk procedure and BSA/AML policy requirements, along with external regulations, for the BSA/AML, KYC, Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), and Negative News Screening (NNS) processes
  • Perform specific targeted testing of designated processes as instructed by management.
  • Effectively document and communicate any identified errors/discrepancies to the appropriate business line unit and/or management and ensure that corrective action is taken.
  • Maintain internal tracking log for all remedial items and collaborate and communicate with business partners to ensure that deadlines are met.
  • Partner with the Business Unit, including Financial Advisors and Branch Risk Officers, to ensure appropriate client on boarding due diligence processes are enacted while providing a positive client experience.
  • Prepare ongoing and ad hoc reporting for senior management.
  • Escalate potential risk issues associated with new account opening customer profiles with internal management and the Second Line of Defense Bank AML Compliance team
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