Senior Compliance Officer: Financial Crimes Compliance (BSA)

US-TX-Richardson Operations Center
2350 Lakeside Blvd
Compliance & Regulatory


Texas Capital Bank is one of the most successful commercial banks in the country and is consistently named to Forbes Best Banks in America and The Dallas Morning News' Top Places To Work.


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 Senior Compliance Officer is part of FCC’s Quality Assurance, Oversight & Governance team, which plans, organizes, and oversees the Quality Assurance (QA), regulatory reporting, and governance functions related to the execution of the Company’s AML/CFT policy. Further this role plays a critical component in ensuring the adequacy and effectiveness of TCB’s suspicious activity reporting program.


The successful candidate will have a background in AML investigations including writing SARS as well as audit or compliance experience. 


  • Responsible for QA reviews of flagged items, investigations, and high risk reviews identified by the Monitoring & Surveillance Team
  • Responsible for QA reviews related to high risk customer reviews
  • Analyze and review alert closures, conclusions, and corrective actions to ensure the Bank’s quality review standards are met
  • Formally track and report on QA results as well as the process (i.e. sampling) for all assigned areas.
  • Identify and coordinate training needs, policy/procedure revisions, standardize alert/due diligence review process and other needs identified during the QA process with the QA Manager
    • Provide training sessions as needed on training gaps, new technology/process
  • Perform QA for “below the line” testing of monitoring system scenarios, alert scoring engine, and other model output as applicable, as well as for other non-BAU alerts
  • Review and investigate potential issues as a result of Inputs and Outputs
  • Maintain the inventory of procedures, work instructions, job aids, guidance, new activities, and changes for the FCC Operations team
  • Support the SAR Committee by preparing briefs, taking minutes
  • Support future phases of efforts related to tiered monitoring such as auto-closure, segmentation, profiling
  • Other special projects as needed


  • Bachelor degree or equivalent work experience required
  • 5+ years AML or audit experience within a financial institution
  • Prior experience with resolving surveillance items that have been flagged as potentially suspicious transactions or identified as potential matches to adverse media alerts, designated sanctions targets and prohibited persons lists
  • Prior experience with high risk customer reviews and enhanced due diligence measures
  • Proven ability to review closure rationale to determine if the resolution was appropriate and properly documented
  • Proven ability to develop solutions for recurring issues identified during the QA process
  • Able to multitask and complete projects on time, often on a tight deadline
  • Excellent analytical, oral and written communication skills
  • Strong relationship building skills both internally and externally


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