Regulatory Compliance Senior Associate
The Regulatory Compliance Senior Associate will be chiefly responsible for BSA/AML Compliance, as well as regulatory requirements related to consumer protection laws and regulations. In order to be successful in this role, you’ll be a real stickler for detail who enjoys getting to the bottom of things alongside being a strong verbal and written communicator. The nature of the FX market means a constantly changing work load so you’ll also need to be able to manage your time effectively and work to a deadline. This is a highly rewarding position for the right candidate and an excellent career opportunity based in Austin, Texas.
• Maintain an organized electronic regulatory compliance folder(s) on the US shared drive
• Administer a compliance Outlook calendar updated with all regulatory, internal reporting & any other relevant deadlines.
• Maintain a detailed log of all legal requests, regulator communications, SAR filings and SAI investigations.
• Administer all compliance training (including US & WF regional teams (where appropriate) to ensure the employee list is current and that all employees complete training within required deadlines and for all required countries. Presently US & Canada.
• Administer various online portals and programs as may be relevant to the changing needs of the compliance department. Oversee the annual registrations on FinCEN and Fintrac.
• Conduct regular research of relevant state and federal regulations to stay abreast of the changing regulatory environment and recommend changes to policy and procedures. Report to RCO.
• Review marketing materials, team presentations and any other relevant materials for adherence to regulatory requirements. Maintain an archive of the reviews and submit
• Coordinate with the RCO and the group risk team to maintain US specific risk assessments.
• Liaise with the RCO to gather documentation for internal & external audits.
• Review client complaints from various sources, provide recommendations on appropriate disposition, and report to RCO.
• Gather state examination materials for review by the RCO. Maintain an organized archive of examination materials in the shared US folder (by state).
• Assist RCO with all BSA/AML and assorted compliance policy updates. Maintain the Board calendar of required policy review dates and training deadlines.
• Be willing to complete CAMS certification or other continuing education as may be relevant.
• Bachelor's Degree required and JD strongly preferred
• 3+ years of prior BSA/AML and consumer compliance experience required
• Paralegal / policy writing experience strongly preferred
• Strong team work and communication skills
• Able to prioritize multiple projects and deadlines
• Experience in FX and/or payment services preferred
• Competitive salary, commensurate with experience.
• Excellent benefits package including medical, dental, and vision benefits, generous PTO policy, 401K contribution, monthly contests/awards
• Great perks including free breakfast, Friday drinks fridge, bi-annual company parties, team night and WorldPerks for exclusive employee discounts
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