What are the responsibilities and job description for the Manager, Financial Crimes Oversight Testing U.S. position at RBC Capital Markets, LLC?
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Job Description
Execute Oversight Testing Plan:
- Conduct regular oversight testing of the key AML programs in scope
- Issue formal reporting on all oversight testing completed
- Incorporate data analytics into the testing process to enhance the AML oversight program, improve effectiveness, and increase efficiency
Oversight and Reporting Activities:
- Conduct/maintain trend analysis of results of oversight testing
- Provide key components of various AML Compliance reports and documents (e.g., AML/ATF Annual Report, CAMLO report, test plans etc.)
- Maintain a schedule of testing activities and communicate the plan with stakeholders
- Follow up on oversight issues/recommendations and ensure resolution in a timely and reasonable manner
Enhancing Relationships with Stakeholders:
- Establish, develop, and maintain strong relationships with internal and external partners
- Take a proactive role in communicating knowledge that benefits the Central AML Units, such as Global AML FIU and global business units that have an AML reporting obligation
- Participate in internal projects/ meetings in order to proactively gain insight into upcoming changes that might impact/influence the oversight testing process
- Ensure all paper and electronic files are maintained appropriately. Create and maintain various AML documentation suitable for Audit and Regulatory review
- Proactively identify personal development opportunities
- Demonstrate a quality service approach through willingness to accept new assignments and adapt to changing directives
- Contribute to program management through supporting the maintenance of day-to-day activities
- Gain in-depth knowledge of U.S. AML legislation and become familiar with the maintenance of day-to-day activities
- Provide support as a subject matter expert, applying proficient knowledge of subject matter content in the field of specialization
Job Summary
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