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Global Financial Crimes Specialist

Charlotte, North Carolina;

Job Description:

The Global Financial Crimes (“GFC”) Specialist under supervision, assists Global Financial Crimes executives and managers in any of the following activities in support of the identification, escalation and timely mitigation of compliance and operational risks in alignment with the Compliance and Operational Risk Management (“CORM”) Program, the Financial Crimes and Global Compliance -- Enterprise Policies ("GC Policy”), and the Enterprise Fraud Risk Management Standards.

The GFC Specialist assists in engaging other Compliance and Operational Risk (“C&OR”) officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The GFC Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs include, but are not limited to:
• Assists in the production of independent financial crimes risk management reporting to Global Compliance & Operational Risk (“GC&OR”) Senior Leaders and FLU/CF Senior Leaders via established governance and management routines
• Assists in the development and maintenance of financial crimes owned policies and standards and the review of relevant FLU/CF-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed
• Assists in the monitoring of changes in regulations applicable to GFC, including advising business leaders on those changes, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed; ensures a comprehensive regulatory inventory
• Assists in the identification, aggregation, reporting, and escalation of the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes
• Assists in the escalation of financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees
• Assists in the remediation of financial crimes related C&OR “owned” issues and control enhancements to ensure they are addressed appropriately and timely
• Contributes to risk coverage plans, executes independent risk monitoring, testing, and risk assessments, communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities for coverage areas and challenges as appropriate
• Assists with the development of risk metrics, monitors related performance and breach remediation

Additional activities may include:
• Assists in the filing of all regulatory reports for the Company related to Financial Crimes

The Global Financial Crimes Law Enforcement Liaison Manager position is an individual contributor role that will help lead the work of the Emerging Risk, Strategic Initiatives, and Government Liaison team. As part of the Anti-Money Laundering Act of 2020 (AML Act), the U.S. government has issued AML priorities.

The AML Act requires that banks incorporate these priorities into their program and that supervisors examine banks based on how they have done so. Through its engagement with law enforcement, supervisory agencies, and industry counterparts, the Strategic Risk and Government Liaison Manager will play a critical role in helping the Bank to understand the key threats in the priority areas, proactively sharing intelligence both internally and externally, and ultimately helping the Bank to demonstrate that it has been effective in providing highly useful information to law enforcement in these priority areas. Outside of the priority areas, the Strategic Risk and Government Liaison Manager will serve as an escalation point for other groups in the Bank for non-routine law enforcement related requests, participate in the Bank’s work in various public private partnerships, and develop and execute training for other groups across the Bank.


The role will also entail:
• Proactively engaging with law enforcement to understand the latest trends and typologies in priority and other areas, escalating significant suspicious activity identified by the Bank, and obtaining feedback on the Banks work
• Work closely with GCOR Investigations to identify processes that will identify investigation within the AML priorities
• Ensuring law enforcement engagement work is fed into priority threat assessments
• Conducting priority threat assessments
• Analyzing internal referrals and Suspicious Activity Reports (SARs) to identify trends and potential risks
• Sharing the results of their work with relevant groups across the Bank including Financial Crimes Analytics, Financial Crimes Risk Managers, Global Compliance and Operational Risk (GCOR) Investigations, and the Front Lines Units
• Developing and executing training
• Participating in public-private sector partnerships
• Serving as an escalation point for other groups for questions related to non-routine law enforcement requests
• Communicating effectively, both verbally and in writing, and producing executive level presentations/material
• Innovative thinking
• Team oriented
 

Required Skills:
- 5+ years of financial crimes direct experience
- Ability to analyze data and effectively communicate the results
- Intellectual curiosity

Desired Skills:
-Experience working in law enforcement or engaging with law enforcement
ACAMS Certification

-Financial Services and/or related government entity

Degree Required: Bachelor’s or equivalent experience

Job Band:

H5

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

The Global Financial Crimes (“GFC”) Specialist under supervision, assists Global Financial Crimes executives and managers in any of the following activities in support of the identification, escalation and timely mitigation of compliance and operational risks in alignment with the Compliance and Operational Risk Management (“CORM”) Program, the Financial Crimes and Global Compliance -- Enterprise Policies ("GC Policy”), and the Enterprise Fraud Risk Management Standards.

The GFC Specialist assists in engaging other Compliance and Operational Risk (“C&OR”) officers, including horizontal coverage owners and Enterprise Areas of Coverage (“EAC”), to provide comprehensive oversight of FLU/CF activities. This role assists in developing and maintaining a global coverage plan which defines the scope and risk-based focus of the second line’s risk management activities. The GFC Specialist also assists in preparing materials for C&OR regulatory exams/audits/inquiries and may assist with preparation for FLU/CF regulatory exams/audits/inquiries.

Activities this role performs include, but are not limited to:
• Assists in the production of independent financial crimes risk management reporting to Global Compliance & Operational Risk (“GC&OR”) Senior Leaders and FLU/CF Senior Leaders via established governance and management routines
• Assists in the development and maintenance of financial crimes owned policies and standards and the review of relevant FLU/CF-owned policies and standards to ensure that regulatory requirements and operational risks are appropriately addressed
• Assists in the monitoring of changes in regulations applicable to GFC, including advising business leaders on those changes, directing the appropriate areas to implement or amend policies, standards, procedures and/or processes to address regulatory requirements, and challenging the implementation plan as needed; ensures a comprehensive regulatory inventory
• Assists in the identification, aggregation, reporting, and escalation of the remediation and thematic analysis of FLU/CF-owned issues and control enhancements related to financial crimes
• Assists in the escalation of financial crimes related compliance and operational risks and issues to appropriate governance routines, management/board level committees
• Assists in the remediation of financial crimes related C&OR “owned” issues and control enhancements to ensure they are addressed appropriately and timely
• Contributes to risk coverage plans, executes independent risk monitoring, testing, and risk assessments, communicates results
• Reviews and challenges the FLU/CF process, risk, control (PRC) inventory and FLU/CF Risk & Control Self-Assessment (RCSA)
• Supports the review and challenge of internal and external operational loss events, including development of remediation plans to strengthen controls
• Supports Scenario Analysis activities for coverage areas and challenges as appropriate
• Assists with the development of risk metrics, monitors related performance and breach remediation

Additional activities may include:
• Assists in the filing of all regulatory reports for the Company related to Financial Crimes

The Global Financial Crimes Law Enforcement Liaison Manager position is an individual contributor role that will help lead the work of the Emerging Risk, Strategic Initiatives, and Government Liaison team. As part of the Anti-Money Laundering Act of 2020 (AML Act), the U.S. government has issued AML priorities.

The AML Act requires that banks incorporate these priorities into their program and that supervisors examine banks based on how they have done so. Through its engagement with law enforcement, supervisory agencies, and industry counterparts, the Strategic Risk and Government Liaison Manager will play a critical role in helping the Bank to understand the key threats in the priority areas, proactively sharing intelligence both internally and externally, and ultimately helping the Bank to demonstrate that it has been effective in providing highly useful information to law enforcement in these priority areas. Outside of the priority areas, the Strategic Risk and Government Liaison Manager will serve as an escalation point for other groups in the Bank for non-routine law enforcement related requests, participate in the Bank’s work in various public private partnerships, and develop and execute training for other groups across the Bank.


The role will also entail:
• Proactively engaging with law enforcement to understand the latest trends and typologies in priority and other areas, escalating significant suspicious activity identified by the Bank, and obtaining feedback on the Banks work
• Work closely with GCOR Investigations to identify processes that will identify investigation within the AML priorities
• Ensuring law enforcement engagement work is fed into priority threat assessments
• Conducting priority threat assessments
• Analyzing internal referrals and Suspicious Activity Reports (SARs) to identify trends and potential risks
• Sharing the results of their work with relevant groups across the Bank including Financial Crimes Analytics, Financial Crimes Risk Managers, Global Compliance and Operational Risk (GCOR) Investigations, and the Front Lines Units
• Developing and executing training
• Participating in public-private sector partnerships
• Serving as an escalation point for other groups for questions related to non-routine law enforcement requests
• Communicating effectively, both verbally and in writing, and producing executive level presentations/material
• Innovative thinking
• Team oriented
 

Required Skills:
- 5+ years of financial crimes direct experience
- Ability to analyze data and effectively communicate the results
- Intellectual curiosity

Desired Skills:
-Experience working in law enforcement or engaging with law enforcement
ACAMS Certification

-Financial Services and/or related government entity

Degree Required: Bachelor’s or equivalent experience

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21046539

Band: H5

Manages People: Yes

Travel: Yes, 5% of the time

Manager:

Talent Acquisition Contact:

Laura Dillon

Referral Bonus:

0