BSA-AML Examiner School Case Study eBook

• Responsible for the internal policy, procedure, standard and program alignment process, including conducting rollout meetings, alignment communications, monitoring and notifications of past due alignments, and overall reporting • Responsible for creating and maintaining the overall Compliance Policy Governance Schedule, business unit alignment workbooks, Standards for Policy Alignment, and other desktop procedures and forms • Liaised with policy owners, policy managers, Heads of Compliance, Domain leaders, COO, CCO, and Group and IHC Heads on an ongoing basis First SOUTH Assistant Vice President Compliance Officer, Marketing Division • Reviewed and approved all bank marketing collateral (Deposits, Lending, Credit Cards, Social Media, ect) focusing on compliance related issues and UDAAP • Maintained knowledge of current and pending rules and regulations, and implemented changes, as needed, for both Marketing and Deposits • Monitored, evaluated, and updated all Deposit related disclosures and created client notifications as applicable • Assisted in annual reviews of deposit products from both a compliance and marketing perspective • Reviewed and adjusted training classes for various topics, including Overdraft and UDAAP • Employed a review process for the implementation of new deposit products • Reviewed and addressed marketing related complaints • Conducted department BSA/AML, Fraud and other compliance training • Acted as Vendor Manager for Marketing Department • Functioned as compliance and operational information expert Operations Control Officer / Internal Controls • Analyzed overall risk and compliance factors of branch operations and other back office departments • Evaluated operation policies and implementations to ensure proper procedures were utilized • Scheduled, performed and documented assigned engagement tests, gathered evidence and evaluated results in support of company objectives • Conducted reviews of clients based on BSA/AML protocols • Analyzed samples and identified trends and/or exceptions to company’s policies and procedures, as well as those relative to regulatory compliance • Reviewed all applicable branch complaints for content and proper escalation and resolution • Interviewed employees on operational and compliance knowledge and risk evaluation strategies • Prepared supporting documentation and assisted branches and Regional Management in implementing action plans to ensure proper operational procedures were in place • Provided outstanding customer service and best practices to staff, management, and Corporate • Mentor in the Mentor Program 6/14-2/16 Bank NORTH Assistant Vice President 9/11-6/14

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