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Transaction Monitoring QA Consultant

Long Island City,, NYACG Resources

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Transaction Monitoring QA Consultant



The Transaction Monitoring QA is responsible for conducting QA over alerts analyzed by the Transaction Monitoring Investigators.


Conducts QA reviews on alert narratives prepared by the Transaction Monitoring Investigators

Conduct Quality Assurance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements.

Provide key metrics and reports to management which outline progress of the transaction monitoring program and materiality of findings.

Collaborate with Transaction Monitoring Team Leads in order to address areas of improvement and work with internal teams to suggest targeted training.

Document and escalate issues related to process flow and work on solutions to minimize/remove impacts. Ensure identified risks are
properly accounted for and transparent to management.

Ability to work with reports and systems in order to extract and verify key information necessary to drive a robust quality controls process (data repository systems, compliance systems, data providers, etc.)

Follow internal policies and procedures and protocols in order to achieve goals in a compliant manner.

Skills, Competencies and Experience Needed

Bachelor's degree

Experienced of work experience within a financial institution, regulatory organization, or legal/consulting firm, or a combination of with
at least 5 years’ experience working in an AML and/or Sanctions compliance function

Thorough knowledge of and experience with AML regulations and requirements, including the Bank Secrecy Act, The USA PATRIOT
Act, FFIEC BSA/AML Exam Manual guidelines, OFAC/Economic Sanctions and Suspicious Activity Reporting.

Familiarity with market standard tools required to perform client due diligence: Public searches, AS400, Prime, Clear, etc.

Strong attention to detail, communication, collaboration, and organizational skills are required as well as the ability to prioritize
workloads and deliver results in a time-sensitive environment.

Effective oral and written interpersonal communication skills.


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