Compliance investigator vs finance compliance officer

Differences between compliance investigator and finance compliance officer duties and responsibilities

Compliance investigator example responsibilities.

• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Conduct BSA risk assessments on new products & services.
• Prepare and conduct yearly bank wide BSA/AML training.
• Research employee theft, fraud, Medicaid and Medicare contract compliance and computer security issues.
• Investigate potential AML, KYC and OFAC violations in the Americas and draft reports of findings.
• Investigate potential OFAC violations, money laundering, and fraudulent financial activity across client business lines.
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Finance compliance officer example responsibilities.

• Participate in OCC exam preparation and review including research and presentation of documentation to achieve compliance with federal examiner requests.
• Enforce and ensure compliance with laws and regulations governing financial and securities institutions and financial transactions.
• Review and approve financial and non-financial disclosures to ensure compliance with federal securities regulations and FINRA rules and regulations.
• Develop oversight programs for enhance supervisory scenarios, engage others to act responsibly and minimize operational risks and internal controls issues.
• Prepare bi-weekly update of subcontract reports and update closeout status in SharePoint.
• Document data for alert investigation and review in an internal SharePoint system.
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