Compliance Auditor
About The Position
Core Responsibilities: • Reports directly to Compliance Manager. • Daily reviews of transaction monitoring for BSA SAR reporting obligations. • Conducting independent investigations. • Performing enhanced due diligence on customers. • Assist in compliance cross-functional initiatives to continuously enhance our processes, while balancing the need to support an ever-growing business and staying within our regulatory compliance obligations. • Assist with AML Risk Assessments. • Aggregation of the daily cash in and out transactions for CTR reporting. • Oversight of document destruction per retention guidelines (shredding). • Enforce all departmental and organizational policies and procedures. • Ensure all New York State & Federal BSA Regulations are being followed • Other duties as assigned.
Requirements
- Associates or bachelor’s degree preferred.
- One to two years related experience.
- Finance or accounting background preferred
- Must be able to obtain a New York State Gaming License.
Nice To Haves
- Associates or bachelor’s degree
- Finance or accounting background
Responsibilities
- Reports directly to Compliance Manager.
- Daily reviews of transaction monitoring for BSA SAR reporting obligations.
- Conducting independent investigations.
- Performing enhanced due diligence on customers.
- Assist in compliance cross-functional initiatives to continuously enhance our processes, while balancing the need to support an ever-growing business and staying within our regulatory compliance obligations.
- Assist with AML Risk Assessments.
- Aggregation of the daily cash in and out transactions for CTR reporting.
- Oversight of document destruction per retention guidelines (shredding).
- Enforce all departmental and organizational policies and procedures.
- Ensure all New York State & Federal BSA Regulations are being followed
- Other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
Associate degree
Number of Employees
1-10 employees
