KYC Quality Control Analyst

Mitsubishi UFJ Financial Group•Tempe, AZ

1d•Hybrid

About The Position

The Quality Control Professional I is responsible for performing quality control review of KYC files submitted by the Onboarding Unit to ensure compliance with the BSA/AML policy. The position reports into the QC team lead within the First Line of Defense Control Office. The selected colleague will work at an MUFG office or client sites four days per week and work remotely one day. A member of our recruitment team will provide more details.

Requirements

Excellent interpersonal skills including superior verbal and written communication skills.
Must be able to multi-task, adapt well to changing priorities and effectively prioritize workflow to meet critical deadlines.
Ability to work in a fast-paced, demanding, and changing environment; must work well under pressure.
Expert knowledge of BSA/AML laws and regulations relative to money laundering and terrorist financing and the ability to apply this knowledge in assessing client KYC profiles.
Firm understanding of bank products and services especially foreign correspondent banking products and services.
The ability and willingness to work independently is required.
Must attend and complete Bank-sponsored job-related training.

Nice To Haves

Related professional certifications are highly preferred.

Responsibilities

Performs quality control reviews of KYC files created by Onboarding team to determine if the review and research were conducted in accordance with the quality standards and timeframes set by established procedures, bank policy and regulatory requirements.
Ensures client data, business activity & narrative, products, alerts, documents, extension/exemption and other case determinations are appropriate, fully supported, and clearly documented.
Documents each review by completing a QC Checklist.
Demonstrates a detailed understanding of the various computer systems used for performing and documenting the investigations.
Communicates concerns with the Onboarding unit and the Team Lead.
Ensures that referrals (from SLoD)/escalation/information requests are properly dispositioned and appropriately documented.
Maintains effective working relationships with key business partners.
Maintains the ability to provide good customer service.
Requires close working relationships with Financial Crime Risk Management business partners.
Stays abreast of developments concerning BSA/AML/Sanctions including internal policy, standards, onboarding process and system changes and work with management to ensure the bank remains in compliance.
Maintains QC desktop manuals and procedures.
Other duties as assigned.