Bsa/aml compliance officer vs regulatory compliance specialist

Differences between bsa/aml compliance officer and regulatory compliance specialist duties and responsibilities

Bsa/aml compliance officer example responsibilities.

• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Conduct and verify that OFAC rules and regulations are apply and follow for assets from target foreign countries and individuals.
• Identify all transactions in OTC equity securities and ascertain that every recommendation to customers meet suitability standards via exclusion or exemption.
• Create policies, procedures, and train bank staff regarding HMDA reporting.
• Complete suspicious activity reports (SARs) to notify FinCEN of suspect incidents of money laundering or fraud.

Regulatory compliance specialist example responsibilities.

• Manage an ongoing closure at a former phosphate plant with an emphasis on phosphogypsum stacks and NPDES storm water permits.
• Manage RCRA permit hazardous waste storage facility.
• Provide EHS regulatory compliance services to several federal government clients and manage hazardous waste documentation databases.
• Manage and submit regulatory permit and notification applications to USDA to import, move and release regulate plant materials.
• Support FDA, ISO, and internal audits as needed.
• Follow ISO procedures and GMP requirements pertaining to medical devices.
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