Compliance Officer – AVP/VP

Summary:

Lead Compliance Screening Systems Initiatives: Manage and spearhead projects related to the enhancement

and optimization of compliance screening systems like Watchdog and Hotscan. Lead system implementations,

upgrades, integration, tuning/optimization efforts ensuring alignment with regulatory standards.

Duties:

• Systems Expertise: Serve as the subject matter expert (SME) for screening systems, with a deep technical

understanding of how they work, including data flows, configurations, performance optimization, and

troubleshooting.

• Stakeholder Coordination: Act as the central point of contact and coordinate efforts between compliance end

users, senior management, external vendors, consultants, and internal IT teams to ensure timely project delivery

and system performance.

• Data Analysis and Workflow Optimization: Understand data workflows from ingestion to reporting and develop

strategies to optimize system configurations, minimize false positives, and enhance detection capabilities.

• Compliance Alignment: Ensure systems meet all relevant compliance standards across AML, Sanctions screening,

314(a) screening and coordinate with the compliance team to address regulatory requirements and audit

concerns.

• Vendor and Consultant Management: Work closely with third-party vendors and consultants to assess and

implement new tools, upgrades, or system enhancements. Ensure vendor compliance with agreed-upon

deliverables and SLA.

• Performance Monitoring and Reporting: Establish monitoring protocols for system performance and generate

reports on screening system effectiveness, user activity, and any incidents or errors encountered.

• Continuous Improvement: Proactively identify opportunities to improve compliance screening systems through

automation, enhanced configurations, and new technologies. This document has been prepared as a guide to ensure better communication and understanding of the position; however; all responsibilities have not been included and nor could they be. Your supervisor may ask you to perform other related duties not specifically included in this description. This position description will be revised when required to meet current business needs.

Qualifications:

• Compliance Knowledge: Solid understanding of AML, KYC, sanctions screening, 314(a) screening and other

financial crime compliance regulations and industry best practices.

• Data Proficiency: Familiarity with scripting or querying languages (SQL, Python, R) to aid in data analysis and

screening operations. Experience working with large datasets and an understanding of data flows within

compliance systems.

• Stakeholder Communication: Excellent communication and problem-solving skills, with the ability to manage

relationships and work with competing priorities across a wide range of stakeholders including technical teams,

compliance officers, vendors, and senior management.

• Comfortable adapting to and thriving in a dynamic, fast-paced environment.

• Strong analytical skills to diagnose issues, propose solutions, and implement changes effectively.

Education, Training, and Experience:

• Bachelor's Degree in a Technical Field (e.g., Computer Science, Engineering, Information Technology, or a related

field). Master’s degree highly desired.10 + years of experience in financial crimes compliance, KYC, AML, or related

regulatory fields.