Compliance Specialist II - Monitoring & Surveillance - Financial Crimes Compliance (BSA)

US-TX-Richardson Operations Center
ID
2017-3133
2350 Lakeside Blvd
Category
Compliance & Regulatory

Overview

At Texas Capital Bank, we are driven by a single-minded and unwavering mission: to serve business and the individuals who run them. We use a consultative approach and innovative technologies to develop new ideas that give the bank and our clients a competitive advantage. We partner with our customers to push the boundaries of what’s possible—together.

Headquartered in Dallas, Texas Capital Bank has offices in Austin, Fort Worth, Houston, Richardson, Plano and San Antonio, and we serve clients in a variety of industries from coast-to-coast.

 

We are on the Forbes Best Banks in America list, and were named a top place to work by The Dallas Morning NewsHouston Chronicle and San Antonio Express-News. For further information, please visit us at www.texascapitalbank.com.

 

The bank’s Financial Crimes Compliance (FCC) team is responsible for identifying, investigating and monitoring relationships that pose a money laundering or terrorist financing risk in support of all legal and regulatory requirements relating to anti-money laundering (AML) and counter terrorism financing.

 

The FCC Monitoring & Surveillance Specialist performs a critical function in the execution of Investigations Referrals Assessments. Prior to initiation of an investigation, the Monitoring & Surveillance Specialist will perform an assessment of any matter received from any source, conduct sufficient research and/or review to determine whether an investigation is warranted. An assessment may include the following:

  • A review of the matter and any accompanying data;
  • Searches of external information;
  • Cursory reviews of internal information, such as prior alerts or investigations, and accounts held by the subject.

Responsibilities

  • Executing procedures as prescribed; opening reviews for all matters upon which an assessment is performed; determining that an investigation is or is not warranted
  • Guaranteeing completeness and consistency in the assessments
  • Specialist and assess research results and conduct complex data analysis
  • Ensure appropriate collection and analysis of documents to obtain a complete understanding of the client and identify unusual transaction patterns
  • Document the data or information upon which the decision whether proceed or not to proceed to investigation was made
  • Identify trends or typologies of incoming referrals to the Unit
  • Maintain end-to-end tracking of incoming assessments to ensure that the decision is determined in a timely manner and as needed, feedback is provided to the referring parties
  • Document adequately all findings and conclusions related to the assessment with explanations in narrative form

Qualifications

  • Bachelor’s degree preferred
  • Minimum 1 year professional experience specific to the areas of investigations, compliance or audit
  • Excellent writing skills are required
  • Knowledge of the laws and regulation applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC requirements, FinCEN requirements, and Suspicious Activity Report (SAR) requirements
  • Strong interpersonal skills
  • Ability to develop strong and productive work relationships with others 
  • Excellent organizational, time management, and project management skills
  • Excellent research skills, including experience with online research tolls
  • Advanced proficiency in Microsoft Word, Excel, Access, PowerPoint, and Outlook
  • Strong written, analytical, and communication skills
  • Able to multitask and complete projects on time

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