Corp Compliance Specialist
About The Position
Perform responsibilities in accordance with all company standards, policies, and procedures. The Compliance Specialist is responsible for ensuring day-to-day compliance with anti-money laundering ("AML") requirements. The responsibilities include performing electronic audits, filing reports accurately and timely and assisting with other AML functions. Ensure day-to-day compliance with the anti-money laundering ("AML") program. Receive reports, logs, and supporting documentation from each department within established deadlines. Ensure that all of the documents (i.e., reports, logs, forms, and supporting documentation) from the various departments have been received and are accounted for on a daily basis. Perform investigations into missing documentation and document the results of such investigations.Electronically audit AML records for compliance with AML program requirements. The audit includes electronically reconciling audit records (i.e., source records, reports, queries, etc.) against logs and reports to ensure all applicable transactions are aggregated, logged and reported appropriately. The audit also includes ensuring acceptable identification information is appropriately obtained, recorded and maintained. Review all available Guest records to obtain any missing information, including the Guest's TIN, for reportable and suspicious transactions; Sign and file reports with appropriate regulatory agencies in accordance with the requirements of the AML program, including within required time periods. Conduct Guest identification, know your customer procedures, and assist in performing due diligence procedures. Identify and communicate, and assist in investigating suspicious activity. Assist in fulfilling regulatory agency and law enforcement requests. Review, document and communicate instances of noncompliance and as necessary, perform follow-up on these incidents. Complete and maintain records evidencing the performance of audit procedures, filing of reports,filing decisions, exceptions noted and corresponding follow-up and results of investigations. Maintain all AML records (e.g., reports, logs, audit and supporting records) for the required timeframes in a manner that the records are readily available. Perform other related duties as assigned.
Responsibilities
- Ensure day-to-day compliance with the anti-money laundering ("AML") program.
- Receive reports, logs, and supporting documentation from each department within established deadlines.
- Ensure that all of the documents (i.e., reports, logs, forms, and supporting documentation) from the various departments have been received and are accounted for on a daily basis.
- Perform investigations into missing documentation and document the results of such investigations.
- Electronically audit AML records for compliance with AML program requirements.
- Review all available Guest records to obtain any missing information, including the Guest's TIN, for reportable and suspicious transactions
- Sign and file reports with appropriate regulatory agencies in accordance with the requirements of the AML program, including within required time periods.
- Conduct Guest identification, know your customer procedures, and assist in performing due diligence procedures.
- Identify and communicate, and assist in investigating suspicious activity.
- Assist in fulfilling regulatory agency and law enforcement requests.
- Review, document and communicate instances of noncompliance and as necessary, perform follow-up on these incidents.
- Complete and maintain records evidencing the performance of audit procedures, filing of reports,filing decisions, exceptions noted and corresponding follow-up and results of investigations.
- Maintain all AML records (e.g., reports, logs, audit and supporting records) for the required timeframes in a manner that the records are readily available.
- Perform other related duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
