Quality Assurance Analyst II

**Job Title: Quality Assurance Analyst

Location: Montreal, QC**

Job Description:

The U.S. Financial Security Department has a key role to play in continually guiding and coordinating the Financial Security Program for Client to keep pace with evolving industry practices and local regulations. Within the U.S. Financial Security Department, there are six main areas: KYC Compliance, FIU/BLRA/QA, Sanctions, Transaction Monitoring and Optimization, Transaction Monitoring, and Project Management.

Responsibilities:

• Responsible for KYC Validation reviews including:
• Ex-ante and Ex-post Quality Control Review of Americas client files to ensure compliance with Global Policies and local laws and regulations
• Perform 2nd-Level Reviews of the FinCEN CDD rule for Legal Entities, Non-Legal Entities and Loan Renewals
• Perform quality control on client data for AML-6
• Generate KPIs for reviews and controls performed and prepare reports and presentations incorporating KPIs for reporting to regions and the monthly Americas CIB/US Asset Management Financial Security Steering Committee Meetings
• Communicate with different regions in the Americas to remediate findings
• Provide Quarterly Trainings to regional Due Diligence Teams regarding recurring issues and developments in policy
• Organize and lead Quarterly Operational Meetings with local compliance

Responsible for the Network Clearing (Correspondent Banking) KYC process including
:

• Review AML/CFT Questionnaires as they come in and save in the shared drive/SharePoint
• Upload Pre 2AC responses in SharePoint with NCNA and prepare Pre 2AC (Affiliate Account Certification) Committee follow-up emails to send to the affiliates as well as recommendations that haven't been closed from the IG Reports
• Perform 6 eye checks of affiliates
• Update monthly status spreadsheet (lifecycle of the whole process)
• Update the monthly Quality Control KYC Assessment
• Review 2AC forms for accuracy (updated by NCNA, IAG and USFS Network Clearing)

Other Responsibilities
:

• Offer guidance on pertinent KYC issues and their impact on applicable business lines/clients/accounts/transactions/business scenarios.
• Perform enhanced due diligence research for RMA banks and specific clients
• Support Reverse KYC process; Update Swift KYC for NY Branch
• Implement Client's Global KYC procedures in the US. Review and recommend enhancements
• Support business lines, Due Diligence Team ("DDT") and Investigation & Analysis ("IAG").
• Draft and/or update AML compliance and written supervisory policies and procedures.
• Assist Compliance in developing a comprehensive cross-business view of AML risk.
• Coordinate with Paris, London and Hong Kong Compliance on Global KYC issues.
• Provide compliance related training specific to the various Business lines, Compliance and Due Diligence/IAG groups and support the general AML training program
• Perform analysis and work on special projects
• Ensure compliance with current and impending legislation/regulations
• Provide Excel-based Reporting Metrics
• Support the KYC Advisory team as needed
• Support development and implementation of AML-KYC systems by providing input and feedback on systems throughout development

Minimum Required Qualifications

• 3-5 years of experience in the financial services industry or regulatory environment
• Bachelor's degree from an accredited college/university in Accounting, Finance, Legal, Economics or related discipline.
• CAMS certification
• Strong:
• Background in KYC/ AML/OFAC / Sanctions risk; 3-5 years overall experience
• Computer skills including MS Office Suite particularly MS Excel
• Written and oral presentation skills
• Possess a strong understanding of corporate governance and the AML/BSA/KYC regulatory environment;
• Ability to:
• Understand the importance of privileged and confidential information
• Manage multiple projects and meet deadlines under pressure
• Come in Early/Work late as needed (there will be early calls with Paris)

Preferred Qualifications:

• Prior Compliance or Audit experience
• Knowledge of Correspondent Banking activities
• Master's Degree a plus.

Client Registrations Required:
No