Compliance investigator job description

**Purpose of Job**

We are currently seeking an Anti-Money Laundering Compliance Investigator Entry Level to participate in Hiring Our Heroes (HOH) Fellowship Cohort 23-1 with USAA. This is a Hybrid opportunity for our San Antonio, TX, Phoenix, AZ, Colorado Springs, CO, Tampa, FL Plano, TX and Charlotte, NC facility.

We're looking for those who share our values of honesty, integrity, loyalty, and service. By using the HOH Fellowship Programs our goal is to create a premier experience for transitioning service members, veterans, and military spouses that increases competitiveness and enhances opportunities to find relevant employment by providing development, skills, and exposure to corporate working environment and private sector business operations. The HOH Fellowship Programs are best-in-class workforce development programs that range from six to eleven weeks.

Performs a variety of investigative duties to assist the Enterprise with compliance of the Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), USA PATRIOT Act, and other AML program requirements. Responsible for investigating transactional data to report potential money laundering, terrorist financing (ML/TF), and other illicit activities. May participate and support other AML projects.

**Job Requirements**

**Tasks:**

+ Applies an Anti-Money Laundering (AML) case management tool and other internal systems to monitor, research, analyze and investigate trends related to member transactional activity.

+ Applies knowledge of financial products, systems, and process in all lines of business to detect suspicious ML/TF activities.

+ Conducts AML investigations of suspected illicit or ML/TF activity and with guidance makes account closure recommendations as necessary.

+ Prepares regulatory reporting in compliance with FINCEN guidance and BSA/AML standards.

+ Conducts interviews of members to detect ML/TF patterns and trends in support of the investigative process.

+ Communicates with senior leadership, AML legal Counsel, external financial institutions and law enforcement agencies as part of the investigative process.

+ Present evidence to appropriate law enforcement agencies for possible prosecution as needed.

**Minimum Qualifications: [education and min requirements are combined under this header]**

+ Bachelor's Degree or4 years experience in addition to the number of years experience required can be substituted in lieu of a degree (6 years)

+ 2 years of detection/investigations work experience or related financial institution or law enforcement data/evidence gathering, analysis, and decision making.

+ Demonstrated knowledge and application of Bank Secrecy Act, Anti-Money Laundering, OFAC, USA PATRIOT Act, OFAC or other AML regulatory policies.

+ Previous experience in investigations as it relates to money laundering and/or financial crimes.

+ Possess strong written and oral communication skills.

**Preferred Qualifications:**

+ Current participant in the Cohort 23-1 Hiring Our Heroes Fellowship Programs

+ Experience authoring Suspicious Activity Reports and/or Case Narratives

+ Experience conducting transactional monitoring reviews

+ Ability to work in a fast-paced environment while maintaining quality standards

+ Ability to perform well under pressure and able to take on the responsibility of multiple tasks at once

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

**Compensation**

Hiring Our Heroes fellows are paid by the HOH program.

If selected for a full-time role, USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience and market data of the position. A geographic differential and/or shift premium may be applicable for this role, depending upon where and when this job is performed. The salary range for this position is: $51,700 - $93,200 **.**

Employees may be eligible for pay incentives based on overall corporate and individual performance or at the discretion of the USAA Board of Directors.

Relocation assistance is not available for this position.

_USAA is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran._

USAA is an EEO/AA Employer - applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, age, disability, genetic information, sexual orientation, gender identity or expression, pregnancy, protected veteran status or other status protected by law.

• Develop research criteria, collect, analyze, evaluate, and safeguard evidence and records.
• Conduct interviews as necessary.
• Prepare reports summarizing findings of completed compliance reviews and examinations, with practical and economical recommendations for corrective action, when applicable.
• Design and conduct data analyses using available software
• Regularly use Microsoft Excel and Microsoft Word to provide support to department staff.
• Create user-friendly reports to assist stakeholders in data-driven decision-making.
• Ensure compliance with Board of Trustee policy and administrative procedures.
• Keep abreast of District's policies and procedures relevant to assigned investigations and examinations.
• Liaise with federal, state, and local law enforcement as well as Dallas ISD Legal Services department.
• Assess department operations to determine compliance and risk and work with Senior Management to mitigate risks.
• Review department policies and practices to ensure that they align with organizational ethics.
• Ensure that regulatory and compliance reports are filed timely and correctly.
• Assist in responding to regulatory inquiries.
• Ensure all compliance procedures are appropriately documented and prepare documentation to support reviews and audits conducted.
• Substantiate and demonstrate adequate processes/controls to meet various federal agency requirements and ensure compliance with all policies and procedures.
• Collaborate with members of the legal team to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, ongoing testing, and related controls.
• Review contracts and interview key stakeholders regarding the terms of agreements to determine contract intent.
• Identify and document contract risk exposures upon review of contract terms and conditions.
• Perform substantive testing of invoice transactional data to document and verify compliance contract terms.
• Prepare reports for internal management concerning scope of compliance review, issues found, and recommendations for improvement.

Qualifications

• Bachelor's Degree in Accounting, Business, Finance, Management, or Criminal Justice related field; Certified Compliance and Ethics Professional (CCEP), Certified Public Accountant (CPA), Certified Internal Auditor (CIA) or Certified Information Systems Auditor (CISA) preferred. Certified Fraud Examiner (CFE) required or must obtain within 180 days of hire date.
• Minimum two years of audit, compliance and regulatory experience, preferably within a school district
• Ability to understand and execute compliance and audit methodologies.
• Knowledge of compliance standards in various departments.
• Knowledge of applicable laws, procedures, and regulations.
• Demonstrated knowledge of concepts and strategies related to analysis, strategic planning, effective management and ongoing monitoring, and as recommended by management.
• Demonstrated familiarity with analytical methods needed to satisfactorily complete investigations and examinations.
• Demonstrated knowledge of regulatory compliance experience and Association of Certified Fraud Examiner's standards, federal statutes, state statutes, and District policies and regulations.
• Demonstrated ability to successfully complete assignments with minimum direction or supervision.
• Demonstrated knowledge of computer software programs such as Microsoft Word and Excel.
• Demonstrated ability to write clear and conclusive work papers and concise narrative reports.
• Demonstrated tact and diplomacy in working with various District and non-district personnel.
• Demonstrated organizational, communication, and interpersonal skills required to achieve the goals of the position.

Experience required: 6 Years

Education level: Bachelor’s degree

Job function: Quality Control

Industry: Biotechnology

MUST HAVE:

Bachelor of Science in a Quality / Process.

5+ years of experience in Experience in GMP Operations and/or Quality Assurance in Cell Therapies, Biotechnology or Bio-Pharma.

Experience in Deviations, Non-Conformances, OOS, OOT, field complaints and environmental excursion investigations.

NICE TO HAVE:

Experience in pharmaceutical or FDA regulated operation.

Experience using e-Quality Management Systems.

JOB DESCRIPTION:

Our vision is creating future cell therapy miracles together. We are a leading global contract development and manufacturing organization dedicated to the advancement of cell and gene therapy products. We believe in the transformative potential of cell and gene therapies and we are shaping the future of medicine. We open doors in the regenerative medicine industry for those looking to transform medicine while continuously improving an innovative, growing company. Leads life-cycle investigations, including but not limited to deviations, environmental excursions, non-conformances, discrepancies, etc. to improve the processes by implementing corrective and preventative actions to ensure compliance.

ESSENTIAL FUNCTIONS AND RESPONSIBILITES

• Determine the causes and preventative actions of Deviations, Non-Conformances, OOS, OOT, field complaints and environmental excursion investigations.
• Drive investigations to true root cause using appropriate investigation tools.
• Benchmark industry standards to develop, advocate, and implement investigative and impact assessment tool sets.
• Define and implement effective preventative actions to prevent recurrence.
• Manage multiple investigations in different stages of the process to efficiently meet compliance deadlines and product release dates.
• Collaborate with cross-functional teams to develop and track CAPA plans.
• Identify and create appropriate trending rules that trigger corrective actions.
• Analyze process data and evaluate trends to identify major improvement opportunities.
• Effectively utilize change management approach.
• Develop materials to train and educate personnel on writing problem statements and use of root cause analysis tools, discrepancy and deviation process.
• Champion CAPA plans and implementation.
• Provide communication plan for on-going deviations & CAPA’s.
• Effectively create and communicate CAPA plan to responsible parties.
• Oversee timely completion of deviations, CAPAs, and Change Controls as necessary.
• Ability to abide by quality standards.

QUALIFICATIONS:

• Bachelor of Science in a Quality / Process related field.
• Experience in GMP Operations and/or Quality Assurance in Cell Therapies, Biotechnology or Bio-Pharma.
• Root cause analysis experience in pharmaceutical or FDA regulated operation preferred.
• Experience using e-Quality Management Systems preferred.
• Relevant IT skills (able to work with Visio, Microsoft Project and Excel).

Competencies/Candidate Profile

• Ability to think strategically and tactically (detail-oriented)
• Strong collaborative and influencing skills and ability to work well in a cross-functional, matrixed environment
• Analytical and problem-solving skills
• Strong written and oral communication skills
• Flexible and able to adapt to company growth and evolving responsibilities
• Integrity, accountability and strong dedication to regulatory compliance
• Continuous improvement mindset.
• Ability to work effectively as a team and independently.

Working Environment

• While performing the duties of this job, the employee may occasionally be exposed to infectious diseases transmittable through human blood, tissues, or bodily fluids and are expected to utilize universal precautions with all human specimens. Other exposures may include gases (nitrogen), or corrosive chemicals (Clorox, potassium hydroxide), or exposure to liquid nitrogen.
• The noise level in the work environment is moderately noisy.

Physical Requirements

• The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of the job.
• While performing the duties of this job, the employee is frequently required to stand; walk; sit; bend; stretch; use hands to finger, handle or feel; reach with hands and arms; and talk or hear. The employee is regularly required to climb or balance; stoop, kneel, or crouch. The employee is frequently required to lift and/or move up to 30 pounds.
• Non-absorbent laboratory coats are required, as well as latex (or a non-latex substitute) gloves. When working with potentially hazardous materials that may spray, aerosol, or otherwise contact skin or mucous membranes, face shields or goggles must be worn. Heavy cryo-gloves must be used when working with liquid nitrogen.

Other Duties:

Please note this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

Shift Details:

Monday-Friday, Day Shift (8:00AM-4:30 PM)

Powered by JazzHR

og UJJWdOk6