Job Description

AML/KYC Controls team provides oversight and guidance so that the business delivers Anti-Money Laundering (AML) and Know-Your-Customer (KYC) strategies to assure our product and our customer base are fully compliant with Bank Secrecy Act (BSA), PATRIOT Act and FINRA requirements. AML/KYC Controls works closely with various groups within CCB, such as the AML/KYC Ops, Business Development and Relationship Management, and Operational teams to deliver ongoing requirements for capturing, reporting and monitoring compliance with regulatory standards.Team is responsible for Anti Money Laundering (AML) strategic initiatives/projects to meet regulatory obligations. This will include conducting research, analysis and providing qualitative/quantitative insights to lead and direct the projects and initiatives to meet our AML/KYC Standards. The role requires alignment with the Firm's AML Consent Order initiatives and will require coordination with Project Teams, Compliance, Technology, Training, Communications, Legal, AML Operations and the Business. Team members are responsible to be knowledgeable of AML/KYC policies and standards to ensure projects and initiatives are within compliance and mitigate the AML/KYC risks to an acceptable level. Job Responsibilities: Primarily manage customer case reviews based on AML or KYC risks posed by the customer. The reviews are concluded by providing documentation and rationale to support the decision to Retain or Exit the customer based on the residual risks associated with the customer(s). As needed, present proposed solutions to GFCC's Head of KYC Policies and Standards for approval and senior management Assist in building best-in-class AML/Compliance programs by providing support in the design, development, implementation, review and reporting on AML projects and initiatives, addressing certain AML risks and controls. Provides support in development of solutions or systems to fix identified issues or gaps. Complete all assigned tasks in support of projects with strong attention to the quality and timeliness of expected results. Facilitate proper recommendation & escalation to management. Support the successful transition of projects to business-as-usual status. Produce standard and ad hoc management reports and presentations for assigned projects and initiatives. Present project decks to management. Coordinate with Risk Officer, Compliance Officers, Legal Advisors, and additional partners on LOB specific and potentially on cross-LOB issues. Actively maintain up to date knowledge of regulatory and role-specific requirements. Has a solid understanding of the AML/KYC risk management and control framework and monitor application of best practices and control standards throughout all assigned tasks. Provides ad hoc support to management as requested. Provide personal support to new team members by facilitating shadowing and mentoring sessions. Delivers on assigned tasks and implements recommendations within department to execute on tasks with no oversight. Ability to make decisions on day-to-day issues and owns decisions regarding project direction / scope. May be a lead team member on a larger project with impact to the corporation or LOB. Work has an impact on the department / function. Required qualifications, capabilities, and skills: Bachelor's degree preferred or equivalent experience required Minimum of 3+ years of experience in financial services industry with background in controls, audit, quality assurance, operational risk management, or AML/KYC preferred; or equivalent subject matter expertise in a relevant business related function/operation Excellent problem solving, critical thinking, analytical skills Management reporting experience Strong written and verbal communication skills, comfortable interacting with and presenting to all levels of management. Highly organized, can manage multiple projects/requests at one time, and can work across numerous lines of businesses. A proven track record to influence change Specific knowledge and understanding of Consumer banking, Business banking and Chase Wealth Management business preferred Strong judgment, professional maturity and personal integrity, strong work ethic, proactive and results-oriented, fact based, has the courage to ask the tough questions and challenge the status quo Skilled with analyzing root causes of AML/KYC, compliance and risk issues Proficient in Microsoft Office Suite (Word, Excel, PowerPoint) requiredPreferred qualifications, capabilities, and skills: Business knowledge - ability to understand the business / knowledge of regulation surrounding business Communication/presentation - excellent written and verbal communication skills with an ability to articulate in a meaningful and actionable manner Networking - strong interpersonal skills; strong collaboration and relationship building skills Work autonomously to affect change - flexible, adaptable to shifting priorities; manages competing priorities to achieve the most effective result and able to work in a fast-paced, results driven environment. Decision Making/Judgement - moderate level of independent decision making using sound judgement Ability to lead with confidence and be a positive and motivating advocate for change Highly detail-oriented

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