14 May
QA Manager, Financial Crimes Risk Management
Texas, Westlake 00000 Westlake USA

Vacancy expired!

Your OpportunityThe Quality Assurance (QA) Manager position is within the QA department of the Financial Crimes Risk Management (FCRM) Organization. The QA Manager is responsible for reviewing investigation documentation and Suspicious Activity Reports (SARs) to ensure compliance with Bank Secrecy Act (BSA) and Financial Crimes Enforcement Network (FinCEN) requirements, regulatory expectations and internal policies and procedures. The QA department also has responsibilities related to AML Investigations, AML Surveillance, OFAC & Global Sanctions, Fraud Surveillance and Investigations, including Senior Vulnerable Investors Investigations, and High Risk Accounts; cross-training within these areas will likely occur.A critical component of the job is reviewing and providing feedback to the teams related to improving their reviews, investigations, documentation and subsequent SAR filings when applicable as well as conducting trend analysis and reporting of the feedback provided to identify gaps and recommend operational improvements.The successful candidate must be capable of working both independently and within a team environment. The QA Manager must be capable of making balanced decisions and be willing to explain positions using sound logic and reason based on the foundation of corporate and departmental policies and procedures, therefore, relationship building skills are advantageous in this role. Flexibility and willingness to learn is crucial.This position is for an individual contributor and will report to either the QA Senior Team Manager or the QA Managing Director.What you’re good at

Review AML Surveillance transaction monitoring alerts, and investigation documentation to ensure they consistently meet BSA requirements, regulatory expectations and internal policies and procedures (timeliness, accuracy, completeness).

Assist with trend analysis and reporting of feedback provided to the teams reviewed by QA.

Build and prepare quarterly reports for QA management and FCRM leadership.

Participate in periodic QA calibration sessions to improve internal quality and consistency.

Actively ensure compliance with all FinCEN, BSA/AML, information security, and suspicious activity reporting requirements, policies, and procedures.

Support any special projects or critical issues.

Actively participate in any required corporate and business line training.

What you have

Bachelor's degree, or equivalent work experience

Three to five years of experience in an applicable risk management environment

Applicable professional certifications (i.e. CAMS, CFE, CFCS)

Preferred Skills/Experience:

Bachelor’s Degree in Accounting, Finance, Business, Criminology, or related field or equivalent work experience.

Three to five years of experience in investigations or monitoring review functions, including filing SARs related to Fraud and/or OFAC, AML, Terrorist Financing matters or related audit/regulatory experience.

Prior broker-dealer/bank experience in the above fields.

Knowledge of BSA/AML, FinCEN laws and regulations.

Intermediate or advanced knowledge of fraud schemes and money laundering typologies.

Strong verbal and written communication skills.

Demonstrated proficiency of editing written documentation.

Keen attention to detail.

Willingness to learn and be flexible to change.

Critical thinking skills.

ACAMs, CFCS or ACFE certification preferred.

FINRA Series 7/63 licensing.

Proficiency in Microsoft Excel, Access, Word and/or experience in using other database applications.

Ability to administrate and handle data collected from multiple sources.

Apply for this jobRefer a friendWhy Schwab?At Schwab, “Own Your Tomorrow” embodies everything we do! We are committed to helping our employees unleash their potential and achieve their dreams. Our employees get to play a central role in disrupting a multi-trillion-dollar industry, creating a better, more modern way to build and manage wealth. We’re a modern financial services firm that stands apart from the industry, where you can go as far as your ambition takes you.Hear from employees:: a package designed to empower your health, wealth, career and life.Schwab is committed to building a diverse and inclusive workplace where everyone feels valued.As an equal employment opportunity employer, our policy is to provide equal employment opportunities to all employees and applicants without regard to any status that is protected by law.Schwab is also an affirmative action employer, focused on advancing women, minorities, veterans, and individuals with disabilities in the workplace.We believe diversity and inclusion are part of our success as a company and our purpose of serving every client with passion and integrity.Job Locations US-TX-WestlakeRequisition ID 2020-63165Posted Date 11 hours ago (5/14/2020 12:36 PM)Category Risk & RegulatoryPosition Type Full time

Vacancy expired!


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