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| Title: |
Compliance Analyst |
| Job Number: |
AMLCA001 |
| Location: |
Cleveland, OH |
| Description: |
- Assists the Sr. Compliance Officer with examinations by state regulatory agencies. This includes gathering and providing requested documentation, organizing the logistics of the examination, addressing examiner's questions and concerns, and working with the Legal Department in preparing the official response to the formal examination report.
- Assists the Sr. Compliance Officer in gathering required financial and statistical data to prepare and submit annual state reports and licenses. Work with the compliance officer to ensure all submissions are made by deadlines and that the information is complete and accurate.
- As assigned, performs research, analysis, interpretations, implementation and communication of changes in federal and state laws, as well as the implementation of newly created and/or enhanced inter-company programs and procedures.
- Responsible for working with other business units, corporate departments, and corporate investigations to create, acquire and implement risk management, IT control and analysis technology. This includes involvement with corporate and business unit task forces to develop and implement best practices in operation and technology to mitigate compliance risk.
- As assigned by the Sr. Compliance Officer or other corporate managers, execute compliance departmental review projects to ensure compliance with policies, procedures, laws and regulations. Review and evaluate effectiveness and efficiency in system transaction processing and facilities, including the review of the accuracy, completeness and reliability of operating procedures, data processing procedures, user and system, documentation, system test and conversion plans. Identifies, defines and communicates to the Compliance Officer or Manager recommendations to address or improve processes to ensure compliance. Make specific recommendations regarding actions to be taken to correct compliance deficiencies.
- Performs other projects or special assignments as assigned.
- Travel of up to 10% and overtime as required to accomplish tasks and meet deadlines.
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| Necessary Qualifications: |
- Bachelor's degree in business or similar field required.
- Minimum 1 year work experience required.
- Compliance, CPA, CISA, CAMS or similar certification preferred.
- Proficient in exception reporting programming language (i.e. SAS, ACL, SQL or similar) including the ability to program, generate, and analyze reports to meet audit objectives.
- General knowledge of the banking industry and related laws and regulations.
- Strong PC skills
- Strong analytical, mathematical and statistical skills and ability to research and make relevant recommendations to improve existing processes, system and operations to mitigate risks.
- Exceptional organizational and communication skills.
- Strong initiative, positive attitude, attention to detail and ability to work independently.
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| Title: |
Compliance Officer |
| Job Number: |
AMLCO001 |
| Location: |
Cleveland, OH |
| Description: |
- Monitor activities to ensure compliance with applicable regulations and operating policies.
Provide support to assigned areas of compliance-related issues, including documentation and form review for compliance with applicable regulation. Maintain awareness of regulatory changes and ensure distribution to appropriate compliance and business managers.
- Participate in special compliance reviews, projects and training efforts. Provide guidance to less experienced compliance personnel on regulatory matters.
- May review and analyze compliance monitoring reports and follow-up with responsible area for explanations or discussions for appropriate action. May provide support to Corporate Training in development and delivery of compliance training programs.
- May assist management in identifying and containing compliance risk. Work with management to coordinate development and maintenance of supporting policies, procedures, agreement and contracts. Serve as liaison and maintain good working relationship with internal audit and regulatory authorities; ensure proper space for examiners and facilitate examiner information request and meetings.
- Support the Company's Diversity programs. Adhere strictly to compliance and operational risk controls in accordance with regulatory standards, policies and practices; report control weaknesses, and compliance breaches.
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| Necessary Qualifications: |
- Bachelor's degree in business, finance, accounting, related field or equivalent experience.
Minimum of five years proven audit, compliance, financial services operations or regulatory experience.
- Strong analytical, mathematical and statistical skills and ability to research and make relevant recommendations to improve existing processes, system and operations to mitigate risks.
- Exceptional organizational and communication skills.
- Strong initiative, positive attitude, attention to detail and ability to work independently.
- Thorough knowledge of products, services, operations and systems (e.g. CIF, COP, DDA, FDR, TDA, MTC) for assigned areas.
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| Title: |
Compliance Research Analyst |
| Job Number: |
AMLRA001 |
| Location: |
Cleveland, OH |
| Description: |
- Works with the Sr. Compliance Officer and Compliance Analyst to coordinate research, analysis, interpretation, implementation and communication of changes in federal and state laws, regulations, and policies.
- Works with Compliance Analyst to perform any and all necessary research regarding anti-money laundering issues as part of compliance analysis and review process.
- Communicates with Account Managers, management, staff, legal and Government Affairs as necessary.
- Works with Sr. Compliance Officer to research and draft revisions and maintain assigned sections of the compliance department policy manual.
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| Necessary Qualifications: |
- Bachelor's degree.
- 1-3 years related experience with demonstrated ability to assume responsibility for administration of policy and regulations.
- Must have demonstrated project management experience.
- Strong analytical, and mathematical skills and ability to research and make relevant recommendations.
- Exceptional organizational and communication skills.
- Strong initiative, positive attitude, attention to detail and ability to work independently.
- Strong PC skills.
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