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The Quality Control Senior Analyst is responsible for performing a quality control review of the KYC file submitted by the Onboarding Unit to ensure compliance with the BSA/AML policy. The position reports into the QC team lead within the First Line of Defense Control Office.
You perform Quality Control reviews of KYC including CIP, CDD, EDD and SDD.
You ensure that KYC has been accurately completed in accordance with the quality standards and time frames set within established Policy, Standards, Procedures and Operating manual. Ensure alert and case determination are appropriate, fully supported and clearly documented
You handle QC desktop manuals and procedures
You show that referrals (from SLoD)/escalation/information requests are properly dispositioned and appropriately documented
You handle a very large number of reviews with little oversight and serve as a subject matter authority for KYC process.
You perform quality control reviews of KYC files created by Onboarding team to determine if the review and research were conducted in accordance with the quality standards and timeframes set for within established procedures, bank policy and regulatory requirements. Ensures client data, business activity & narrative, products, alerts, documents, extension/exemption and other case determinations are appropriate, fully supported, and clearly documented.
You document each review by thoroughly completing a QC Checklist. Demonstrate a detailed understanding of the various computer systems used for performing and documenting the investigations. Communicate concerns with the Onboarding unit and the Team Lead.
You maintain effective working relationships with key business partners and provide good customer service. Requires close partnerships with Financial Crime Risk Management business partners.
You assist the Manager/Team Leader with basic duties including case assignments, case reviews and staff training.
You stay abreast of developments concerning BSA/AML/ Sanctions including internal policy, standards, onboarding process and system changes and work with management to ensure the bank remains in compliance.
Other duties as assigned.
Union Bank, N.A.