- Coordinate and complete quality control reviews of periodic committee materials, including but not limited to quarterly AML Oversight Committee and Board materials.
- Coordinate policy updates across the AML Department and ensure policies are reviewed and presented to applicable committees as required.
- Collect and analyze business data and controls for the annual Risk Assessment and other risk assessment activities throughout the year.
- Review and update the Risk Assessment framework by configuring the risk rating tool and ensuring that the Methodology document is updated to align.
- Monitor for and maintain policy exceptions and ensure exceptions are presented to appropriate committees on a timely basis.
- Draft new policies and updates to existing policies as necessary.
- Coordinate materials for regulatory presentations (e.g. overviews of AML Departments, process flows, periodic updates, etc.).
- Monitor new policies and policy changes across Legal, Compliance, and the Enterprise, where appropriate, to ensure compliance.
- Establish a framework to review policies on a standard cadence across various SoFi entities.
- Assist in regulatory exams, internal audits, and third-party risk management reviews as it pertains to documenting and providing governance-related materials.
- Bachelor's Degree or Master's Degree in Finance, Business, Management, or other relevant areas.
- 6+ years of experience in the financial services industry with a demonstrated track record of delivery and/or relevant experience in risk and control management focusing on a variety of large-scale technical initiatives.
- Effective negotiation and influencing skills, including strong written communication, verbal communication, and presentation skills.
- Strong management, organizational, and evaluative process skills. Ability to analyze complex organizational and technical issues to improve performance and efficiency.
- Demonstrated ability to communicate effectively with all levels of the organization, across different business lines, and with external stakeholders.
- Experience conducting AML transaction monitoring investigations, customer screening investigations (e.g. adverse media, sanctions, etc.), or other AML processes.
- Experience contributing to AML and Sanctions risk assessments.
- Experience maintaining and coordinating updates to policies, procedures, and executive-level presentations.
- Excellent organizational, verbal, written, interpersonal, and analytical skills are required.
- Must be able to multitask, adapt well to changing priorities, and effectively prioritize work to meet critical deadlines.
- Ability to work in a fast-paced, demanding, and changing environment; must work well under pressure.
- A demonstrated track record in identifying gaps, process improvements, and proactively proposing solutions, and as appropriate, executing team-wide communication and training.
- CAMS/CFE certification preferred (or willingness to become certified within one year of start date).
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AML Governance, Senior Compliance Specialist - Frisco, United States - SoFi
Description
The role
:The AML Governance, Senior Compliance Specialist role will be responsible for the coordination of governance related deliverables, including but not limited to the creation of executive-level presentations for the AML Oversight Committee, Board meetings, and regulator overviews. This role will coordinate the review and approval of AML-related policies, procedures, and committee minutes. Additionally, this role will serve as a key contributor to the AML and Sanctions risk assessment process, including assisting the Risk Assessment Officer by coordinating with cross-functional business leaders to collect requisite data, configuring risk assessment systems, inputting and analyzing responses and results, and tracking action items and deliverables that derive from the assessment.
What you'll do:
What you'll need:
Specific Skills:
Nice to have:
