aml/kyc qa - Montreal, Quebec
1 month ago
Job summary
The position at a glance Demonstrate the firm's commitment to compliance by maintaining a Quality Assurance review program that evaluates the firm's compliance with applicable laws and regulations and discloses violations and control weaknesses Conduct Quality Assurance reviews of the various front office business areas branches and functions relating to The Firm's compliance with BSA/AML and Sanctions requirements Provide senior management including the Head of Americas Financial Security with detailed reports regarding the extent of The Firm's compliance with applicable laws and regulations as well as internal policies and procedures by providing value-added comments and recommendations on remedial actions where appropriate Also assist in the coordination of metric reporting to management and Head Office Participate in FS related special projects investigations as needed In detail Responsibilities Assess metrics to identify pull relevant samples for Quality Assurance reviews Conduct monthly targeted AML Sanctions Quality Assurance reviews under direction of Head of QA team in order to assess review compliance legal regulatory internal firm policy requirements attempt identify report prevent money-laundering terrorist financing market abuse activity within operations Escalate potential issues exception items noted during review process to Head FIU U S Financial Security Department Management discussion further investigation if deemed necessary Prepare distribute monthly QA reports Management detailing QA review findings recommendations Periodically report significant activities conducted planned upcoming period Ensure all findings recommendations entered into Quality Assurance Reporting Issue Tracker tracking purposes perform periodic follow-up open issues ensure proper resolution Assist development regional compliance QA review programs specific business units products based upon applicable laws regulation internal policies Contribute special investigations projects deemed necessary Americas Financial Security Management Assist Compliance related matters examinations regulators internal auditors Responsibilities also include being cross-trained all regional QA program streams inclusive United States Canada LATAM programs spanning AML sanctions investigations help spikes volume within QA reviews provide additional coverage needed Minimum Required Qualifications Successful candidates will have minimum years experience financial services firm self-regulatory organization Financial Security position audit testing function or self-regulatory organization Strong knowledge AML KYC Sanctions Additional knowledge USA PATRIOT Act OFAC UN French SANCTIONS EU plus Strong written oral presentation skills Self-motivated willingness learn desire work challenging environment advise decisions may be challenged levels investigators Excellent interpersonal communication skills ability interact effectively front back office staff senior management Fundamental analytical investigative skills Strong organizational attention detail must Ability manage multiple Compliance Reviews Projects meet timely deadlines Ability apply knowledge regulations numerous trading activities operational arrangements interpreting effect new regulations procedural standards these activities Strong computer skills MS Office Suite Excel Sharepoint Knowledge Actimize plus Bachelor degree required ACAMS financial crime certification equivalent plus Proficient identifying analyzing escalating potential regulatory issues emerging risks License Registrations Not required Given vast majority clients both internal external located outside Quebec Canada specific language requirements may apply Knowledge English required / Knowledge French English.
Job description
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