CIP & Document Quality Control Manager

First Trust Bank•Horsham, PA

4d•Hybrid

About The Position

The CIP & Document Quality Control Manager implements and oversees compliance with Customer Identification Program (CIP) and document quality standards across onboarding, due diligence, and account maintenance processes. This role ensures that all customer documentation meets regulatory requirements (e.g., AML/KYC) and internal quality policies. Assist in the development of new business for Firstrust. Is alert to expressed customer/prospect needs to suggest appropriate services. Directs customers to the appropriate person to open account. Actively sells and promotes corporate products to potential and existing customers. Possesses knowledge of corporate products and services to suggest products.

Requirements

Strong knowledge of CIP, KYC, AML, and BOE regulations.
Experience in document quality control and compliance review processes.
Ability to manage and escalate high-risk findings to management.
Proficiency in using internal systems for account data, coding, and compliance tracking.
Attention to detail, analytical skills, and ability to work under pressure.
High School diploma or equivalent
Basic knowledge of Microsoft Office (Word, Excel and Outlook)
Communicates clearly and professionally via telephone/email
Demonstrates friendly, positive attitude

Responsibilities

Review and verify customer identification documents, validate beneficial ownership for entities, trusts, and corporate accounts, and ensure adherence to CIP, KYC, and AML regulations.
Conduct Day 2 reviews of newly opened accounts to confirm all required onboarding documentation, CIP requirements, and BOE information are complete, accurate, and recorded.
Monitor account onboarding to ensure compliance with internal procedures and regulatory standards; identify and escalate discrepancies, suspicious activity, or incomplete documentation.
Work with Community Banking, Fraud, and Operations teams to resolve documentation and verification issues.
Maintain confidentiality and security of sensitive customer information; document all review findings, corrections, and resolutions in line with audit and retention requirements.
Reviews operational reports to validate changes in relation to address maintenance of fields/flag.
Review Data Maintenance forms for title and address changes to ensure forms support system changes.
Missing information should be updated on Community Banking’s reports and necessary system information related to addresses should be performed.
Update procedures as necessary ensuring compliance with regulations.
Provide training and back up team members.
Perform other duties as assigned by Management