Descripción de la Oferta

This position provides back office support to the Agent Oversight Team (AOT). The AOT is responsible to support Ria agents to build programs that are in compliance with Company Policies, the Bank Secrecy Act, USA PATRIOT Act, Anti-Money Laundering (AML) laws and other regulations applicable to Money Services Business in the US and Canada.



The incumbent is responsible to review the Agent Compliance Review supporting documentation for completeness and accuracy, and ensure proper filing, organization, and maintenance of the Department’s records. This position will provide support to our Agents in developing compliance programs through phone training, guidance and following up with them on the implementation of the necessary measures to correct Compliance findings and recommendations.



Responsibilities:

Review Agent Compliance Review documentation for completeness and accuracy
File, organize, and maintain Agent Oversight records
Perform criminal background checks on Agents and escalate to Management following established policies and procedures
Provide support to Agents in complying with US State specific requirements
Follow up with Agents concerning review findings detected during a Compliance Program Review or Regulatory Examination
Provide Compliance training and guidance to Agents via phone
Redirect Agents’ non-Compliance issues and complaints to other Departments for resolution
Collaborate in Special Projects pertaining to our Agent Oversight Program and perform other duties as assigned

Experiencia Requerida

Educación Superior

Lenguajes