AML Investigations & Quality Control - Team Lead

Whitestone, NY

Full Time

Mid Level

Purpose:
The AML Team Lead supports the Bank’s AML/CFT, OFAC, sanctions, and regulatory compliance program by overseeing alert and case activity, conducting and reviewing investigations, supporting required filings, maintaining data integrity, and assisting management with quality control, reporting, training, vendor coordination, and examination preparation.
Salary commensurate with experience 90k-120k Annually

Essential Job Functions:

Alert, case, and suspicious activity management: Assign, review, investigate, and monitor alerts and cases within the transaction monitoring platform; oversee alert and case volumes; perform suspicious activity investigations; assist in the preparation, review, and filing of SARs; and gather supporting information from internet searches, third-party vendors, public records, subpoenas, and other relevant sources.
Customer due diligence and risk reviews: Perform and quality control Enhanced Due Diligence reviews for high-risk accounts; complete High Cash customer reviews; apply appropriate customer tags; and ensure customer and account information supports reasonable conclusions and effective risk management.
Regulatory reporting and list screening: Review CTRs for compliance and ensure timely filing; review the FinCEN 314(a) list and prepare required submissions when a match is identified; Provide support for 314(b) program; run scheduled OFAC/SDN scans against the customer information file; review potential true matches; and update OFAC/SDN lists periodically.
Quality control, data integrity, and reporting: Review daily audit logs for data integrity issues; assist management with tracking and completing AML Department quality control activities, including alerts, cases, SARs, and EDD reviews; prepare monthly AML statistics; and prepare the monthly Reg O Report.
Team support and operational coordination: Assist management with daily AML Department operations by providing coaching, guidance, and training support; assist branches with AML and compliance-related questions; maintain training records; and serve as a liaison with vendors for AML, OFAC, core, and related systems.
Management, committee, and examination support: Assist in preparation for Compliance Committee meetings; support FDIC, state, auditor, and other examination requests; review the subpoena log for AML-related matters; and complete other duties as assigned by management.

Required Education, Knowledge, Skills and Abilities:
Bachelor’s Degree required; CAMS certification preferred.

Five years of BSA/AML experience preferred, with working knowledge of AML/CFT requirements and FFIEC guidance.
Proficiency with Microsoft Office and Abrigo BAM+ or similar AML software.
Ability to analyze data, identify relevant risk factors, document findings, and support reasonable conclusions.
Strong verbal and written communication skills, including the ability to coordinate with branches, vendors, management, and examiners.

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Can you provide the necessary documentation to prove that you are a US citizen, permanent resident or a foreign national with authorization to work in the United States?*

Do you have any family member who are currently employed/have been employed by this company? If yes, what is the family member's name?*

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Have you performed Enhanced Due Diligence (EDD) reviews and worked with regulatory requirements such as CTRs, OFAC sanctions screening, FinCEN 314(a)/(b), or other BSA/AML compliance programs in a financial institution?*

Have you supported regulatory examinations or audits (e.g., FDIC, state regulators, or external auditors) and maintained AML quality control or compliance reporting?*

Do you have at least 3 years of hands-on experience independently conducting AML investigations and making documented recommendations regarding suspicious activity?*

Have you personally prepared, reviewed, or contributed to Suspicious Activity Reports (SARs) that were filed with FinCEN?*

Have you directly supervised investigators, performed quality control reviews, or coached analysts on AML casework and investigative documentation?*

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AML Investigations & Quality Control - Team Lead

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