Compliance Record/Subpoena Analyst

Ria Financial Buena Park , CA 90620

Posted 2 months ago

Ria's mission is to be the most progressive money transfer company in the world, offering service excellence and the most competitive and reliable remittance payment services to its customers. Our vision is a service that is "always on" and available whenever, wherever and however people need it, serving customers, anywhere around the globe. Ria has store and agent locations conveniently located around the world, in addition to online money transfer, both of which offer competitive rates and fast, friendly and reliable service.

Duties:

The Subpoena Analyst is responsible for managing all requests for information received by CES pursuant to subpoenas, summons, and other forms of legal process issued by governmental/regulatory agencies and third parties in private litigation. Specifically, the Analyst will be responsible for reviewing each request, identifying the records required to respond to the request, and preparing the response to the request. An analysis will be performed on each document request to identify potential money laundering concerns. Any identified issues will then be escalated to the appropriate unit within CES to further investigate and report. The Analyst must have the proper investigative/technological skills required to search various internal systems for the relevant responsive information, and the organizational skills required to document and record the steps taken in responding to each request. The ability to succinctly communicate with law enforcement, governmental agencies, attorneys, and colleagues is also required. The position operates fairly independently as a trusted member of the Consumer Compliance Program within CES and is involved in complex/sensitive legal matters affecting CES.

Detail duties include:

  • Investigating/Responding to Legal Process and Document Requests

  • Review all document requests served on CES by law enforcement, regulators and third parties;

  • Collect responsive internal information and documentation by searching through CESs internal systems and working with colleagues in various departments;

  • Analyze whether certain internal information should be precluded from any production;

  • Prepare responsive document production for each request;

  • Ensure a response is provided on time or, in the alternative, obtain an extension from the issuer;

  • Maintain an internal tracking and record keeping system and supply metrics upon request.

  • Escalation of Legal Process Requests

  • Conduct an analysis on each document request received to identify potential AML concerns or other issues;

  • Refer matters that may warrant an investigation/SAR filing to AML Compliance;

  • Document analysis and conclusion and maintain clear records on matters that were reviewed and escalated;

  • Assist in maintaining procedures for escalation process

  • Provide Support to the Legal and Compliance Departments

  • Assist CES Compliance and Legal Department in conducting research and reviewing a variety of issues related to money laundering, terrorist financing, and sanctions obligations; and

  • Continue to increase knowledge of relevant regulations and procedures.

  • Ensure quality and accuracy of data.

  • Provide clear written correspondence at all times.

  • Responsible for accurate and on time reporting on monthly and quarterly basis.

  • Assist in the formal training of all new and existing team members.

  • Responsible for attending meetings, as needed.

  • Adhere to CES business practices.

  • Other duties as assigned.

Job Requirements

Skills/Qualifications:

  • Bi-lingual: English/Spanish;

  • Bachelor's Degree (or minimum two years' experience in Financial Compliance).

  • 2 to 4 years as an investigative analyst or paralegal preferred.

  • 2 to 4 years experience in either drafting or responding to subpoenas or other Legal Process preferred.

  • Previous experience working with regulatory requirements and direct contact with law enforcement required.

  • Excellent analytical skills.

  • Excellent verbal communication skills.

  • Excellent writing skills.

  • Excellent interpersonal skills.

  • Ability to prioritize and organize multiple tasks.

  • Ability to remain organized with multiple interruptions.

  • Demonstrate excellent organization, time management skills, attention to detail, and excellent at meeting deadlines/commitments;

  • Proficient in MS Word, Excel, Access, and Outlook.

To the Compliance Record /Subpoena Analyst we offer

  • Competitive hourly compensation plus overtime opportunities

  • Employee benefits package including 401(k) with employer match and an employee stock purchase plan

  • Benefits for employees including medical, dental, vision and life insurance

  • Growth opportunities within the company

Working Conditions and physical demands

  • Flexibility to stand or walk as needed

  • Ability to sit for extended periods

  • Primarily sedentary work in a general office environment

  • Overtime required as needed

About Ria Financial

Ria Financial Services ("Ria") is the money transfer division of Euronet Worldwide, Inc. ("Euronet") (NASDAQ: EEFT). Ria is one of the largest global money transfer companies in the world. Our mission is to be the most progressive money transfer company by offering service excellence and the most competitive and reliable remittance payment services to our customers. Since we began in New York in 1987, we have been successfully providing a cost effective, secure and fast alternative to send money to the families and loved ones of customers worldwide. Now serving 150 countries we are a recognized brand in both quality and service.

Euronet Worldwide, Inc. (NASDAQ: EEFT) facilitates the movement of payments around the world and serves as a critical link between our partners Financial Institutions, Retailers, Service Providers and their end Consumers, both locally and globally. Founded in 1994, Euronet has established itself as a leading electronic payments provider. Euronet's customers are served from three core business segments: Electronic Financial Transactions (EFT including Payments Software), Prepaid (epay) and Money Transfer (Ria).

Do you want to work with one of the industry leaders in the Money Transfer business? Then Ria Financial is the right place for you!

Apply on-line today!


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Compliance Record/Subpoena Analyst

Ria Financial