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VP of Policy or Risk & Strategy

Company: Consumer Retail Banking, San Francisco, CA Newport
Location: San Francisco
Posted on: May 19, 2019

Job Description:

Reporting to the SVP, Deputy BSA Officer, the incumbent assists the Deputy BSA Officer in directing and managing the AML Program to ensure Bank’s compliance with all applicable regulatory requirements. This position is responsible for developing, implementing, managing, maintaining, and enhancing effective BSA/AML Program and risk assessments for the Bank. This role will provide strategic direction and recommendations for policy enhancements based on the internal and external events such as changes in business strategy, emerging market, emerging risks, enforcement actions, and changes in laws and regulations. The individual will assist with various initiatives, including but not limited to the responsibilities listed below. Contribute to ongoing development and implementation of the Program Define and manage the Program, including risk assessment methodology, policy analysis, and customer risk rating methodology, etc. Supervise periodic and quarterly reporting process for Board and regulatory agency reporting as well as other reports (KRIs. KRIs, etc.) Proactively identify regulatory compliance issues or concerns and make suggestions to take corrective action, including implementing solutions to improve controls or operations (e.g., enforcement action gap analysis) Ensure policies and procedures are current and adhere to applicable compliance laws, rules and regulations Develop and maintain enterprise wide training program and provide BSA related trainings for the lines of business and support teams Conduct enterprise BSA/AML and targeted risk assessments, which includes the following: Conducting interviews with line of business representatives to understand risks and controls associated with various products and services Defining parameters and risk attributes for data collection Conducting analysis with collected data to quantify inherent risks and risk exposures Assessing control effectiveness and identify any control gaps / enhancement opportunities Socializing and presenting findings/results to LOBs producing comprehensive, executive-level reporting to be consumed by BSA/AML, the lines of business, and external constituents. Provide risk-focused analytic support for department initiatives including transaction monitoring strategies, customer risk ranking model, country risk ranking list, NAICS code list and etc. Provide support to Anti-money Laundering Business Rule Standards Committee (AMBRS) and other assigned committees by preparing/reviewing meeting materials, packages and perform other duties. Support current and new business initiatives by providing guidance as subject matter expert (e.g., review and approve business requirements, assist in developing related policies and procedures, developing control structures, and identify regulatory issues) Stay abreast of current and emerging anti-money laundering and counter-terrorism financing typologies as well as regulatory updates Perform duties and responsibilities specific to department functions & activities as required or assigned by supervisor. Critical features of this job are described under the items above. They may be subject to change at any time due to reasonable accommodation or other reasons. This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. KEY SKILLS, KNOWLEDGE AND ABILITIES: At least 15 years of direct experience in BSA/AML compliance with strong knowledge of the money laundering laws including the BSA, AML, USA PATRIOT Act, and OFAC requirements Experience with private wealth management products and services such as broker-dealers, investment management, trust and foreign exchange is highly preferred. Outstanding written and verbal communication skills Strong analytical and problem solving skills Excellent executive level presentations skills Proficient in Microsoft Office programs, including Excel, Word, PowerPoint and Outlook Attentive to detail, as well as adaptable and flexible in a fast paced dynamic working environment Proficient in qualitative and quantitative research methodologies for assessing inherent risk, control effectiveness, and residual risk Punctuality and the ability to drive performance timely Ability to independently initiate changes and influence decisions Be a self-starter, and have strong organizational skills Ability to multi-task and successfully respond to multiple priorities and capable of working collaboratively with employees throughout the company

Keywords: Consumer Retail Banking, San Francisco, CA Newport, San Francisco , VP of Policy or Risk & Strategy, Executive , San Francisco, California

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