Senior Compliance Analyst

RockWallet; Canada; Remote; CAD 60,000 - 100,000; Full time

Job summary

Join a forward-thinking financial technology company as a Senior Compliance Analyst, where your expertise in BSA/AML compliance will empower the organization to navigate the digital economy confidently. In this pivotal role, you will oversee customer onboarding, conduct thorough KYC/CIP reviews, and lead a team of compliance analysts to ensure adherence to regulatory standards. Your analytical skills will be vital in identifying suspicious activities and enhancing monitoring techniques. This dynamic environment encourages professional growth and offers the flexibility to work from home, making it an ideal opportunity for those passionate about compliance and technology.

Benefits

Work from home

Diverse and dynamic work environment

Work-life balance

Support for career development

Qualifications

• 3+ years of management experience in compliance roles.
• Detailed knowledge of BSA/AML compliance programs.

Responsibilities

• Monitor customer onboarding and due diligence processes.
• Lead investigations into suspicious activity and reporting.

Skills

BSA/AML compliance

KYC/CIP reviews

Transaction monitoring

Leadership and mentoring

Analytical skills

Communication skills

Problem-solving

Flexibility and adaptability

Education

Associate's degree in business or related field

Professional designation such as CAMS

Tools

Automated transaction monitoring systems

Job description

RockWallet is a financial technology company made up of people who think differently about how digital assets can be managed, accessed, and used.

At RockWallet, our vision is for anyone to be able to access and thrive in the digital economy. It’s our mission to help you make the most of the opportunities available by building products that empower people to navigate digital asset usage easily, securely, and with confidence. Our self-custodial, multicurrency wallet puts you in charge of your digital assets. RockWallet’s app makes it quick and easy to buy, use, store, and swap top cryptocurrencies, all in one place, on your mobile. RockWallet is registered with FinCEN as a Money Service Business. Find out more here at www.rockwallet.com.

Want to join us? We’re expanding our team, and looking for the right people to help us explore further.

ROLE OVERVIEW

As a key member of the Compliance team, the Senior Compliance Analyst will support the BSA/AML compliance needs of the overall company from an MSB perspective.

The successful candidate will work closely with various internal stakeholders by supporting their administrative compliance requirements such as:

• Monitoring all aspects of the new customer onboarding process, including initial due diligence, enhanced due diligence, and ongoing due diligence monitoring. The analysis includes a review of new customer applications, CIP/KYC screening, and initial and ongoing OFAC and PEP reviews.
• Customer outreach to assist in onboarding new customers that either need assistance in completing KYC onboarding requirements or that need to be contacted to collect additional documentation as part of enhanced due diligence documentary review procedures.
• Supervise junior compliance analysts and customer care, helping them develop a solid understanding of BSA/AML policies and procedures.
• Conduct transaction monitoring across all RockWallet’s product offerings and follow up on customer monitoring alerts including customer outreach to obtain source of funds or source of wealth questionnaires.
• Applies enhanced due diligence and transaction monitoring techniques and methodologies to identify and research patterns of suspicious activity.
• Work under the supervision of the Director of Compliance to implement and improve suspicious activity monitoring techniques, systems, and control programs and incorporate technology into processes and products.
• Assist in the completion of Suspicious Activity Reports and customer suspicious activity investigations.
• Report on customer complaints, regulator and law enforcement inquiries, and KYC audit results.
• Reviewing and updating compliance processes and procedures and training of operations staff.

KEY RESPONSIBILITIES

• Customer Due Diligence: Responsible for the customer onboarding process and performing KYC/CIP reviews, enhanced due diligence reviews and initial and ongoing OFAC and PEP screenings with service level agreement requirements.
• Suspicious Activity Monitoring and Reporting: Responsible for transaction monitoring, implementation of system enhancements and modifications, and case management. Review case files to identify patterns to develop suspicious activity monitoring techniques, systems, and control programs. Directs and/or leads investigations into suspicious activity, monitoring, and reporting. Works closely with other compliance analysts to ensure policies and procedures are followed.
• Analysis and Reporting: Supervises and mentors compliance analysts to develop a sound understanding of BSA/AML policies and procedures. Leads analyst team to ensure daily operational tasks are completed, including queue distribution management, ongoing production, and workflow improvement.
• Compliance Policies & Control Procedures: Monitors and improves internal processes and procedures related to customer onboarding, KYC/KYB procedures, and suspicious activity monitoring. Makes recommendations to improve policies and procedures to maximize departmental resources.

Qualifications

• Associate’s degree in business or related field or equivalent relevant experience preferred
• Service professional with 3+ years’ management responsibility desired
• Professional designation such as Certified Anti-Money Laundering Specialist (“CAMS”) or equivalent preferred
• Detailed knowledge of BSA/AML compliance programs applicable to MSB’s and VASP’s with specific focus on the U.S.A. PATRIOT Act and enhanced due diligence requirements for new customer enrollments, PEP, and OFAC screenings
• Direct Experience with the operations of automated transaction monitoring systems
• Ability to partner effectively with and influence RockWallet technology and external technology vendors
• Experience with drafting and editing BSA/AML procedures and workflows
• Strong analytical and problem-solving skills
• Exceptional leadership, mentoring, and coaching skills
• Ability to plan and manage multiple and competing priorities
• Must be flexible and ability to work in a fast-paced, dynamic environment and adapt to changing priorities
• Disciplined self-starter
• Ability to work independently and effectively with minimum supervision
• Excellent interpersonal and communication skills (both oral and written) including PC proficiency
• Exceptional English speaking and writing skills a must!

BENEFITS

• Work from home
• Diverse and dynamic work environment
• Work-life balance and support for career development

HOW TO APPLY: Please submit your resume in our preferred file – .PDF not in .DOC. Thank you.

We thank all interested applicants, however, only those under consideration will be contacted.

RockWallet, LLC is an Equal Employment Opportunity/ Veterans/Disabled/LGBT and Affirmative Action employer. We are committed to diversity and building a team that represents a variety of backgrounds, perspectives, and skills. We do not discriminate and all decisions we make are made on the basis of qualifications, merit, and business need. Our goal is to be one global diverse team that is representative of our customers, in an inclusive environment where we can continue to innovate and grow together.