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Career Opportunity

Compliance Officer - VP Global FIU Post Investigations

  • Primary Location: United States,Texas,Irving
  • Education: Bachelor's Degree
  • Job Function: Compliance and Control
  • Schedule: Full-time
  • Shift: Day Job
  • Employee Status: Regular
  • Travel Time: No
  • Job ID: 18077939


The Compliance Officer- Team Lead is responsible for reviewing AML Investigations and Suspicious Activity Reports (“SAR”) to determine if the client relationship at Citi should be maintained or terminated.  Cases are worked from beginning to completion in accordance with relevant Citi AML policies and procedures. Post Investigation cases stem from sources which include:
1.            Escalations from the Financial Intelligence Unit (“FIU”) Investigations team
2.            Client-On boarding and Maintenance and Transaction monitoring referrals based on positive name matches on the Name Screening Tool (“Red Flags List”)
3.            Referrals from business partners and other control areas
4.            Referrals from AML Legal and AML Compliance Risk Management (“ACRM”)
Responsibilities include:
  • Manage and lead a team of AML Analysts, and coordinate the workflow for the post investigation cases.
  • Monitor the workload of each Analyst and ensure that relevant policies and procedures are followed.
  • Assist with providing metrics to Senior Management.
  • Review and action Analyst work product, including monitoring and reviewing case assignments.
  • Provide direct oversight on AML case quality and address deficiencies. Work closely with Management and Quality Assurance Team to ensure that the team’s work product is consistent with Global FIU standards and best practices.
  • Mentor and coach more junior team members.
  • Escalate issues to Senior Management and/or other stakeholders, as appropriate.
  • Interact with Senior Management in Compliance, Legal and the business concerning the AML issues which led to the account closure recommendation/decision.
  • Lead and develop the team through effective communication, performance management, and reward/recognition practices.

  • Qualifications

      • 4 Year College Degree or equivalent experience.
      • 5+ years of experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or fraud investigations.
      • 5+ years of experience in writing or reviewing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements and/or performing AML or financial investigations.
      • 2+ years of managerial experience required.
      • Work experience in a financial institution with job specific work experience in AML.
      • Knowledgeable of the laws applicable to money laundering, including the Bank Secrecy Act, The USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements.
      • General understanding of Senior Public Figures, Money Service Businesses. Wealth Management and retail Banking preferred as well as compliance with those business segments.
      • Ability to understand and comprehend financial products and complex AML typologies and patterns.
      • Established business knowledge and comprehension of financial products.
      • Excellent organizational, time management and project management skills.
      • Excellent research skills including experience with online search tools.
      • Advanced skills in the use of Microsoft Word, Excel, Power Point, Outlook, and experience with the Internet and on-line research systems.     
      • Strong attention to detail and follow-up skills.
      • Strong writing, analytical and communications skills. Must be able to multitask and complete projects on time.
      • Should be a self-starter and organized, and must have the ability to work independently, without supervision.
      • Ability to understand and draw conclusions from research conducted.
      • Should be a self-starter, and organized, must have the ability to work independently, without supervision.
      • Proficiency in a foreign language is a plus.
      • CAMS certification preferred.