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The Financial Intelligence Unit (FIU), part of Global Financial Crimes Compliance (GFCC), provides end-to-end support and oversight of global financial crimes investigations. In conjunction with GFCC partners, the FIU develops and implements automated transaction monitoring rules, reports, and other processes designed to identify activity potentially indicative of criminal behavior. The FIU also investigates potentially suspicious financial activity and, when appropriate, files suspicious activity reports (SARs) with the Financial Crimes Enforcement Network (FinCEN), which is part of the U.S. Department of the Treasury, and/or refers matters to internal compliance partners for review and reporting globally. In addition, the FIU manages risk associated with politically exposed persons and persons and entities on core sanctions and risk lists through regular screening, and manages risk associated with improper payments that could be indicative of bribery, corruption, or other illicit activity by reviewing internal American Express payments and expenditures. The FIU performs a critical role in ensuring that American Express complies with all applicable laws and regulations, including the Bank Secrecy Act, the USA PATRIOT Act, and the Foreign Corrupt Practices Act, and provides law enforcement with key information for the investigation and prosecution of money laundering and terrorist financing, credit card fraud, identity theft, and other criminal activity.
The Manager FIU Regulatory Testing and Quality Program position will report to the Director of Financial Intelligence Unit – Governance and Capacity Planning. Leading a team of Quality Assurance/Control Analysts, the successful candidate will be responsible for ensuring that an effective Compliance quality monitoring program exists across FIU processes. This role will interface regularly with FIU and GFCC leadership and other Compliance colleagues.
- Effectively lead, coach and develop a team of Quality Analysts to execute quality and control testing of AML, Screening, EDD, and Anti-Corruption processes managed by the FIU, which includes evaluation of alert investigations against established regulatory and procedural requirements and providing feedback to the relevant team(s).
- Oversee the planning, execution and reporting of quality and control testing in conformance with professional and department standards.
- Collaborate with FIU and GFCC teams to understand the data behind key processes, risks, and controls to ensure effective testing is established to measure results against requirements.
- Identify trends in investigative quality and procedural adherence, working closely with GFCC leaders to help improve processes accordingly.
- Monitor and maintain portfolio of quality analytics to assess and communicate results.
- Present quality program objectives, scope, and results to senior management, clearly articulating the potential impact of control gaps in a highly professional and proficient manner.
- Manage initiatives to expand and enhance quality review processes and technology.
- Undertake the identification and escalation of quality related exceptions and trends. Collaborate with impacted teams for remediation and track them to closure.
- Demonstrated people/process leadership skills with ability to foster and coach colleagues. Proven ability to lead team members in a way that encourages, develops, and delivers results.
- Demonstrated knowledge of compliance requirements, policies, and procedures as they relate to AML/BSA, financial crimes compliance, know-your-customer (KYC), enhanced due diligence, screening/sanctions risk management, and/or operational risk
- Proven analytical skills and demonstrated ability to research, assess, interpret, resolve and remediate issues with regulatory impact
- Demonstrated fact-based problem-solving and decision-making skills, and the ability to make tactical recommendations
- Ability to influence, gain support, and resolve conflict
- Aptitude for working with data, interpreting results and analytic best practices
- Ability to communicate analysis, issues, results and recommendations with transparency and integrity
- Excellent time-management skills and demonstrated ability to balance competing priorities in a deadline-driven environment
- Excellent written and verbal communication skills
- Bachelor's/University or advanced degree preferred
Employment eligibility to work with American Express in the U.S. is required as the company will not pursue visa sponsorship for these positions.
American Express is an equal opportunity employer and makes employment decisions without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, disability status, age, or any other status protected by law.
Schedule (Full-Time/Part-Time): Full-time
Date Posted: Apr 29, 2021, 7:18:31 PM