Compliance Investigator jobs in Kansas
Compliance Investigator conducts investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy. Ensures that investigations follow the approved process, are lawfully and objectively conducted, are thorough in gathering all material facts and present an accurate accounting of the issues. Being a Compliance Investigator presents clear, concise, and factual reports that enable fair and relevant decisions to be made. Recommends proactive measures that will reduce the risk of similar future incidents. Additionally, Compliance Investigator typically requires a bachelor's degree. Typically reports to a manager or head of a unit/department. May require a Certified Fraud Examiner (CFE) certification. The Compliance Investigator contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. To be a Compliance Investigator typically requires 4 to 7 years of related experience. (Copyright 2024 Salary.com)
Recently Added Compliance Investigator jobs
BSA/AML Compliance Investigator
- HR Partners
-
Topeka, KS
FULL_TIME
-
Job Classification: Exempt, Full-Time
Work Schedule: Monday through Friday, 8:00 a.m. to 5:00 p.m.
Reporting Relationship: BSA Officer
Work Location: Topeka, KS
Primary Accountabilities:
CBW Bank’s BSA/AML Compliance Compliance Team is responsible for protecting the Bank and its customers from money laundering, fraud, economic sanction evaluations, foreign corruption, and terrorist financing violations. The BSA/AML Compliance Investigator is responsible for conducting case investigations including but not limited to, Grand Jury Subpoenas, 314(a) matches, Law Enforcement Requests, fraud, escalated alerts/referrals, OFAC matches to ensure efficient identification and monitoring of potential money laundering and terrorist financing. The role stays informed of current regulatory or legislative trends and issues as it applies to job responsibilities and applies such knowledge into completing daily and periodic tasks in a timely and accurate manner with minimal supervision. This position will be responsible for fulfilling the Anti-Money-Laundering/Bank Secrecy Act requirements through identification and investigation of suspicious activity. Serves as a subject-matter-expert and assists less experienced team members.
Major Duties:- Review and analyze alerts generated by the Bank's electronic monitoring software to make a determination as to whether activity warrants further review. Review and analyze internal AML reports, draw conclusions and make recommendations regarding the need for further investigation.
- Conduct suspicious activity investigations and determine whether a Suspicious Activity Report is needed. Draft narrative for each case substantiating the decision/recommendation.
- Conduct due diligence reviews on high risk customers through analysis of customer activity compared to KYC documentation and internal/external information sources to determine if further due diligence is needed and/or change in risk disposition is warranted.
- Manage complex cases, reviews involving matters such as multiple relationship accounts and complex ownership structures.
- Draft and file Suspicious Activity Reports with FinCEN.
- Identify and analyze records of outside agencies to facilitate investigations including credit bureau records, police and court records.
- Prepares and submits Requests for Information (RFIs) as needed for customers, activity, accounts requiring enhanced due diligence.
- Make recommendations for offboarding customer accounts/relationships based on investigation or CDD/EDD.
- Work with the BSA/AML management team to ensure the monitoring platform consistently addresses prevailing risk.
- Support management in the day-to-day compliance efforts with AML/KYC requirements.
- Provides analytic support for the business activities of CBW Bank by analyzing business, compliance and financial information on companies and individuals.
- Ensures overall bank documentation and file administration is complete and consistent with the bank’s policy and procedures.
- Monitors transactions to ensure proper documentation and compliance with respect to BSA, AML and OFAC policies and procedures.
- Conducts business and financial analyses to support policy guidelines or other analytical projects as assigned by the BSA/AML management team.
- Responsible for Bank’s compliance with Bank Secrecy Act, anti-money laundering, and counter-terrorist financing obligations as assigned.
- Analyze, plan and complete special projects assigned by the AML management.
- Assists with scheduling conference calls and other meetings, as needed.
- Performs additional duties as assigned.
Required Qualifications:- Undergraduate degree or an equivalent combination of education and experience.
- Knowledge of government regulatory requirements and expectations for identifying unusual or suspicious activity in connection with financial transactions, related to economic sanctions (e.g., OFAC), and the requirements to file suspicious activity reports.
- Five (5) years of experience conducting AML/BSA and/or Economic Sanctions/OFAC investigations at financial institutions.
- Strong analytical skills derived from previous experience in a Financial Intelligence Unit (FIU) or similar investigative setting.
- Experience writing SAR and alert/case narratives summarizing the results of investigations and selecting requisite supporting documentation.
- Ability to communicate clearly and professionally through both verbal and written skills in English.
- Ability to organize, multi-task, plan and set priorities to meet deadlines with minimal supervision.
- Proficient computer experience with advanced knowledge of various computer programs including Microsoft Office and G-Suite products.
- Ability to pay close attention to detail and to make reliable and prompt decisions using available information.
- Ability to effectively work with both internal and external customers as well as independently and with minimal supervision.
- Demonstrate good work habits, maintain a professional appearance and attitude and follow policies and procedures.
- Must project a friendly, courteous, patient and professional image at all times, even under adverse conditions.
- Demonstrate poise, tact and diplomacy with the ability to handle sensitive and confidential information and situations.
Preferred Knowledge, Skills, & Abilities:- Certified Anti Money Laundering Specialist (CAMS)
- Experience with the financial technology (“FinTech”) industry
Physical Demands:- Ability to sit for extended periods of time.
- Ability to read computer screens and email, mail and talk on the phone.
- Ability to lift up to twenty-five (25) pounds.
Work Environment:- Professional and deadline-oriented environment in an office setting.
- Interaction with staff and customers.
Additional Duties:
Additional duties and responsibilities may be added to this job description at any time. The job description does not state or imply that these are the only activities to be performed by the employee(s) holding this position. Employees are required to follow any other job-related instructions and to perform any other job-related responsibilities as requested by their supervisor.
- 2 Months Ago
Compliance Inspector
- 7G Environmental Compliance Management
-
Olathe, KS
FULL_TIME
- Our CompanyAt 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellenc...
- 8 Days Ago
Compliance Inspector
- 7G Environmental Compliance Management
-
Louisburg, KS
FULL_TIME
- Our Company At 7G, we're the go-to partner for petroleum tank owners across the country. We tackle environmental challenges while consistently keeping things compliant. Our values are simple: excellen...
- 10 Days Ago
INVESTIGATOR
- Defense Counterintelligence and Security Agency
-
Topeka, KS
FULL_TIME
- Are you looking for a career in national security? The Defense Counterintelligence and Security Agency (DCSA) Background Investigations Directorate is seeking a trustworthy, inquisitive person to fill...
- 3 Days Ago
Investigator
- DM Injury Law
-
Topeka, KS
FULL_TIME
- TITLE: InvestigatorREPORTS TO: Intake DirectorCOMPENSATION: Competitive salary commensurate with experiencePOSITION TYPE: ExemptREQUIREMENTS:(3) or more years of investigative work or similar experien...
- 3 Days Ago
Investigator
- DiPasquale Moore
-
Topeka, KS
FULL_TIME
- TITLE: InvestigatorREPORTS TO: Intake DirectorCOMPENSATION: Competitive salary commensurate with experiencePOSITION TYPE: ExemptREQUIREMENTS:(3) or more years of investigative work or similar experien...
- 9 Days Ago
Compliance Investigator jobs at Popular Companies
Compliance Investigator & Team Lead Opportunity - Hybrid in Tampa!
- Phaxis
-
Tampa, FL
- I am working with a banking client based in Tampa, FL to bring in a Senior Compliance Investigator **AND** a Team Lead o...
- 6/12/2024 12:00:00 AM
TWDB - 24-96 - Financial Compliance Examiner (Financial Examiner I)
- CAPPS
-
Austin, TX
- Job Description Salary commensurate with education and or experience TEXAS WATER DEVELOPMENT BOARD'S MISSION Leading the...
- 6/12/2024 12:00:00 AM
Compliance, Compliance Testing Group, Compliance Investigator, Associate/Vice President
- Goldman Sachs
-
Salt Lake City, UT
- Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the f...
- 6/11/2024 12:00:00 AM
Construction Compliance Investigator
- Nevada State Contractors Board
-
Las Vegas, NV
- Compensation $50,350 - 82,610 Annually Benefits Offered Medical, Dental, Vision, 401(a) and 457(b) pension plans Employm...
- 6/9/2024 12:00:00 AM
Sr. Compliance Investigator
- Howard Sloan Financial
-
Tampa, FL
- Job Description Job Description The day-to-day responsibilities of this role is heavily in the pre-paid card program are...
- 6/9/2024 12:00:00 AM
7A-7P RN Full Time
- The Cottage at Woodland Hills
-
Tulsa, OK
- POSITION SUMMARY: Responsible for overall care of assigned residents and supervision of direct care staff in the communi...
- 6/9/2024 12:00:00 AM
Senior Counsel, Ethics and Compliance Investigations
- Hiring Now!
-
New York, NY
- ABOUT THE ROLE Peloton is looking for an attorney with substantial corporate internal investigations experience to join ...
- 6/8/2024 12:00:00 AM
Collections Manager
- Robert Half
-
Cleveland, OH
- We are assisting a client in Cleveland seeking a Collections Manager to join their team. This role involves managing the...
- 6/8/2024 12:00:00 AM
About Kansas
Kansas /ˈkænzəs/ (listen) is a U.S. state in the Midwestern United States. Its capital is Topeka and its largest city is Wichita, with its most populated county being Johnson County. Kansas is bordered by Nebraska on the north; Missouri on the east; Oklahoma on the south; and Colorado on the west. Kansas is named after the Kansa Native American tribe, which inhabited the area. The tribe's name (natively kką:ze) is often said to mean "people of the (south) wind" although this was probably not the term's original meaning. For thousands of years, what is now Kansas was home to numerous and divers...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Investigator jobs
$75,931 to $123,962
Most Popular Cities in Kansas for Compliance Investigator Jobs
What does a Compliance Investigator do?
Compliance Investigator in Worcester, MA
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The standards and rules compliance officers evaluate against vary tremendously depending on the industry, but nearly all take their root in the law.
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