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BSA Quality Assurance Analyst - Miami, Florida

Mercantil Bank • Miami, FL

Posted 24 days ago

Job Snapshot

Degree - 2 Year Degree
Banking - Financial Services


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Job Description

BSA Quality Assurance Analyst - Miami, Florida

Quality Assurance (QA) is responsible for reviewing the work produced by Alert and Investigative Analysts for compliance with internal policies and procedures, applicable laws, and regulatory guidelines. The BSA Quality Assurance Analyst serves as a key control for Compliance and Operational Risk mitigation, and helps ensure regulatory compliance by verifying the quality of the alert/case decision process.

Responsibilities include:​

  • Perform quality control reviews of work and documentation.

  • Provide timely feedback and assistance to the Team Leads, as defined by management.

  • Present issues and resolutions to various audiences including analysts, team leads, and managements.

  • Identify gaps and deficiencies in internal processes, policies, and procedures, as well as create and implement corrective actions.

  • Participate in the development and implementation of policies, checklists, goals, objectives, and procedures.
  • Manage and support projects and departmental initiatives.

  • Participate in management meetings, as appropriate, to discuss patterns of errors, high-risk individual cases, and other issues.

  • Develop Quality Assurance reporting standards.

  • Act as a subject matter expert and advise various business units and operations lines, as well as, on-going training related to the latest BSA/AML and fraud schemes and terrorist financing activities. Coordinate meetings with Regional Managers as needed to ensure Account Officer Personnel provides clear and timely replies and/or supporting documentation as required for these risky accounts.

  • Ensure that there is a proper level of record keeping retention that proves BSA regulatory compliance evidence during internal/external audits or regulatory examinations.

  • Proactively identify and report issues to management.

  • Ensure preventive measures are carried out to fully comply with current rules, regulations and internal policies relating to risks pertaining to BSA, USA Patriot Act, OFAC and other AML related issues.

  • To identify, evaluate, monitor and make any recommendation deemed necessary to their respective Risk Management Committee in order to assess, reduce, eliminate or control any current or prospective risks to earnings or capital arising from violations of, or non conformance with, laws, rules regulations, prescribed practices, internal policies and procedures or ethical standards.

Functional Skills & Knowledge Requirements:

Strong interpersonal and excellent written and verbal skills. Possess critical thinking, analytical, and problem solving skills to be used in operational planning and evaluation. Able to multi-task and thrive in a fast paced, high intensity, high demand, and deadline driven environment. Demonstrate a strong sense of urgency by responding immediately to escalated issues and rapidly changing priorities. Working knowledge of the Bank Secrecy Act and US Patriot Act Title III. Bilingual (English/Spanish) is required.

Minimum Education and/or Certifications Requirements:

Bachelor's degree in Banking or Finance, and specific banking institute courses. CAMS Certification

Minimum Work Experience Requirements:

Minimum of five years experience in a financial institution's BSA/Compliance department.

Technical and/or Other Essential Knowledge:

Proficient in Microsoft Office applications, Infoimage, Nautilus, Payplus, AS-400, Fiserv & Datapro, SQN, and AssistCK. Good interpersonal skills.

Working Conditions:

Physical Demands: Sits at desk 90% operating a computer. Walks to other departments within the building 10% of the time. Stressors: Strict timeline for reviews and reports, personnel supervision, high level of detail work, and interaction with other levels of the bank's Management. ​​

Job ID: req136
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