Numi Financial
Compliance Officer
The Compliance Officer will assist and report directly to the Director of Compliance. This role is responsible for supporting all compliance-related activities within the organization, ensuring adherence to applicable laws, regulations, and internal policies. The ideal candidate will possess strong analytical abilities, exceptional communication skills, and a working knowledge of key regulatory requirements affecting the financial services industry.
Key Responsibilities
Assist and report to the Director of Compliance on all regulatory and compliance-related matters.
Learn, understand, and comply with all applicable laws and regulations relevant to the role.
Maintain up-to-date knowledge of current banking, finance, and operational regulatory issues, with emphasis on:
BSA (Bank Secrecy Act)
AML (Anti-Money Laundering)
CIP (Customer Identification Program)
OFAC (Office of Foreign Assets Control)
USA PATRIOT Act
Bank Security
Perform periodic reviews of all new accounts to ensure compliance with CIP and OFAC requirements
Communicate with customers and clients regarding compliance program obligations and inquiries.
Monitor and review the Company’s cardholder portfolio and transaction reports; file Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) when necessary.
Assist the Director of Compliance with risk assessments and all compliance functions related to BSA, AML, CIP, OFAC, and the USA PATRIOT Act.
Assist in gathering information for fraud investigations; coordinate with local authorities and outside counsel as needed.
Maintain communication with internal and external auditors as well as regulatory agencies, including FDIC, OCC, and FinCEN.
Perform daily compliance tasks, including AML/BSA monitoring and remediation.
Retrieve, review, respond and catalog written customer complaints.
Desired Experience and Education
Minimum of
2 years of experience
in business or regulatory law, or experience working in a BSA/AML compliance department within a financial institution or similar environment.
Demonstrated experience and/or detailed knowledge of BSA, AML, CIP, OFAC, and USA PATRIOT Act regulations applicable to retail financial institutions.
Strong working knowledge of Windows-based computer systems.
Excellent verbal and written communication skills.
Willingness and ability to continuously learn and apply new information and skills.
Proven ability to work independently and manage multiple tasks, projects, and deadlines without sacrificing accuracy or attention to detail.
Ability to excel in a dynamic, fast-paced, entrepreneurial environment with demanding timelines, while maintaining accuracy and a positive attitude.
A bachelor's degree or higher
in a relevant field is a plus.
Compliance-related professional certifications (e.g., CAMS, CAFP, CRCM) is a plus.
Seniority Level Entry level
Employment Type Full-time
Job Function Legal
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Key Responsibilities
Assist and report to the Director of Compliance on all regulatory and compliance-related matters.
Learn, understand, and comply with all applicable laws and regulations relevant to the role.
Maintain up-to-date knowledge of current banking, finance, and operational regulatory issues, with emphasis on:
BSA (Bank Secrecy Act)
AML (Anti-Money Laundering)
CIP (Customer Identification Program)
OFAC (Office of Foreign Assets Control)
USA PATRIOT Act
Bank Security
Perform periodic reviews of all new accounts to ensure compliance with CIP and OFAC requirements
Communicate with customers and clients regarding compliance program obligations and inquiries.
Monitor and review the Company’s cardholder portfolio and transaction reports; file Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) when necessary.
Assist the Director of Compliance with risk assessments and all compliance functions related to BSA, AML, CIP, OFAC, and the USA PATRIOT Act.
Assist in gathering information for fraud investigations; coordinate with local authorities and outside counsel as needed.
Maintain communication with internal and external auditors as well as regulatory agencies, including FDIC, OCC, and FinCEN.
Perform daily compliance tasks, including AML/BSA monitoring and remediation.
Retrieve, review, respond and catalog written customer complaints.
Desired Experience and Education
Minimum of
2 years of experience
in business or regulatory law, or experience working in a BSA/AML compliance department within a financial institution or similar environment.
Demonstrated experience and/or detailed knowledge of BSA, AML, CIP, OFAC, and USA PATRIOT Act regulations applicable to retail financial institutions.
Strong working knowledge of Windows-based computer systems.
Excellent verbal and written communication skills.
Willingness and ability to continuously learn and apply new information and skills.
Proven ability to work independently and manage multiple tasks, projects, and deadlines without sacrificing accuracy or attention to detail.
Ability to excel in a dynamic, fast-paced, entrepreneurial environment with demanding timelines, while maintaining accuracy and a positive attitude.
A bachelor's degree or higher
in a relevant field is a plus.
Compliance-related professional certifications (e.g., CAMS, CAFP, CRCM) is a plus.
Seniority Level Entry level
Employment Type Full-time
Job Function Legal
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