Compliance Operations Specialist/QC Analyst

NTT DATA Services•New York, NY

1d•Onsite

About The Position

Within the Compliance Operations Department, the Account Control Group (ACG) Quality Control (QC) function is responsible for overseeing processes related to Know Your Customer (KYC) and Customer Identification Program (CIP) requirements, while assessing the quality and accuracy of KYC documentation and customer profiles. The ACG QC Specialist reports to the ACG Associate or ACG VP and performs specialized operational and quality assurance activities, including reviewing KYC profiles, validating analyst work, resolving complex issues, and escalating matters when appropriate.

Requirements

Strong technical knowledge of: Anti-Money Laundering (AML), Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), Know Your Customer (KYC) regulations and processes
Strong understanding of Financial Crimes Compliance (FCC) rules, compliance standards, and regulatory frameworks.
Experience in regulatory compliance, audit, or risk management within financial services.
Excellent analytical and research skills with the ability to interpret complex regulations.
Proficiency in compliance systems and Microsoft Office applications.
Strong organizational, problem-solving, and time-management skills.
Sound judgment, accountability, and ability to work with urgency.
Excellent written, verbal, and interpersonal communication skills.

Nice To Haves

CAMS (Certified Anti-Money Laundering Specialist) certification preferred.

Responsibilities

Ensure operational efficiency and customer data integrity in accordance with internal Bank policies, Head Office procedures, and AML/BSA/OFAC regulatory requirements.
Conduct quality control reviews of KYC Periodic Reviews and CIP customer information to ensure compliance with AML policies and procedures.
Verify adherence to the Bank KYC Program and recommend process improvements aligned with bank policies and regulatory standards.
Ensure all mandatory Customer Identification Program (CIP), Due Diligence (DD), and Enhanced Due Diligence (EDD) documentation is complete and accurate.
Collect required KYC documentation from Relationship Managers (RM) and review submitted information for adequacy and accuracy within established timelines.
Confirm that verification documents obtained by the RM and work completed by ACG Analysts meet prescribed turnaround times and quality standards.
Maintain evidence of screening and search results within the KYC system.
Escalate confirmed or suspected name matches associated with material negative information to the BSA Officer.
Troubleshoot routine and moderately complex issues within KYC/CIP systems and related subsystems through resolution.
Perform quality checks for updates made to existing customer records, including supporting documentation review.
Conduct quality reviews on alerts, investigations, or case management activities.
Develop, implement, and maintain compliance programs and policies aligned with Financial Crimes Compliance (FCC) standards.
Conduct audits, investigations, and reviews to ensure compliance with applicable regulatory requirements.
Collaborate with Legal, Risk, and Operations teams to resolve regulatory concerns and mitigate compliance risks.