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AVP, Senior Compliance Officer, Reg Compliance and Financial Crimes

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 20-04771
  • Date: November 20, 2020
  • Job title:

Job Description - AVP, Senior Compliance Officer, Reg Compliance and Financial Crimes

AVP, Senior Compliance Officer


This position will assist in the implementation and monitoring of the Bank’s Regulatory and Financial Crimes Compliance Programs. The candidate will work on profile exceptions and flags in ECS, eGIFTS and OFAC Verifier as part of the monitoring and filtering program. The Compliance Officer will perform testing and be responsible for assisting with the training program. The Compliance Officer will also (as needed) work with on-boarding new customers, Periodic Account Reviews and provide administrative support to the Compliance Department.


” Investigate and clear Profile Exceptions, Flags and eGIFT blocked items.

” Prepare and coordinate Compliance Committee meetings and packages.

” Prepare and maintain reporting to the Head Office and other stakeholders.

” Maintain monthly, quarterly, annual and on-going statistics.

” Coordinate and administer the Compliance Training Program.

” Assist in preparing and coordinating Examination and Audit packages.

” Provide administrative and research support to the Compliance Department.

” Perform monitoring, testing and assist with special projects as needed.

” Perform as a backup when other staff are absent. This includes on-boarding customers and PARs

” Perform additional tasks related to the department duties as requested by the CCO.



” A strong knowledge of banking with an emphasis on middle market commercial, asset based lending and syndicated lending.

” Understanding of the Bank Secrecy Act (AML/KYC), USA Patriot Act (Anti-Terrorist Financing, correspondent banking and Customer Identification Program) and Office of Foreign Assets Control (OFAC).

” Understanding of general banking regulations.

Technical Skills:

” Excel, Word, PowerPoint and general software skills.

” Ability to use various in-house software.

” Strong learning ability/curve.


” Strong analytical skills.

” Excellent interpersonal, oral and written communication skills.

” Ability to organize and prioritize work and handle multiple assignments.

” Professional demeanor, strong organizational skills and team player attitude.

” Able to work under pressure and meet deadlines.


Experience Needed: Minimum 5 years’ experience in bank compliance

Education Required: BS Degree

License/Certification(s): Certified Anti-Money Laundering Specialists (ACAMS) preferred.

Languages: English


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