KYC & FCC Compliance Manager Quality Assurance & Risk

The Industry Consulting Manager will support compliance operations with a focus on Know Your Customer (KYC), Customer Identification Program (CIP), and Financial Crimes Compliance (FCC) activities. This role is responsible for conducting quality control reviews, ensuring regulatory compliance, assessing customer due diligence documentation, and supporting compliance programs that align with AML, BSA, OFAC, and other regulatory requirements. The ideal candidate will possess strong expertise in financial services compliance, risk management, and regulatory operations.

Key Responsibilities

• Perform quality control reviews of KYC periodic reviews, CIP documentation, and customer profiles to ensure compliance with internal policies and regulatory requirements.

• Ensure operational efficiency and customer data integrity in accordance with AML, BSA, OFAC, and organizational compliance standards.

• Review and validate Customer Identification Program (CIP), Due Diligence (DD), and Enhanced Due Diligence (EDD) documentation for completeness and accuracy.

• Collect, review, and assess KYC documentation submitted by internal stakeholders to ensure adherence to established standards and timelines.

• Verify that customer onboarding, periodic review, and remediation activities meet quality expectations and service-level requirements.

• Maintain supporting documentation, screening records, and search results within compliance systems.

• Escalate potential regulatory concerns, sanctions-related findings, or adverse information in accordance with established procedures.

• Troubleshoot and resolve routine and moderately complex issues related to KYC, CIP, and compliance systems.

• Conduct quality assurance reviews of customer record updates and supporting documentation.

• Review alerts, investigations, and case management activities to ensure compliance with regulatory requirements and internal standards.

• Support the development, implementation, and maintenance of compliance programs, policies, and procedures aligned with Financial Crimes Compliance (FCC) requirements.

• Participate in audits, investigations, and compliance reviews to assess adherence to applicable regulations and policies.

• Collaborate with Legal, Risk, Operations, and Compliance teams to address regulatory concerns and mitigate compliance risks.

• Identify opportunities for process improvements and recommend enhancements to strengthen compliance controls and operational effectiveness.

• Maintain awareness of evolving regulatory requirements and industry best practices.

Required Qualifications

• 5+ years of experience in financial services operations with a focus on KYC, AML, and compliance-related functions.

• 5+ years of experience supporting Financial Crimes Compliance (FCC) programs and regulatory requirements.

• 5+ years of experience reviewing and managing Customer Identification Program (CIP), Due Diligence (DD), and Enhanced Due Diligence (EDD) documentation.

• Strong knowledge of Anti-Money Laundering (AML) regulations and compliance practices.

• Strong understanding of the Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC) requirements, and Know Your Customer (KYC) processes.

• Experience with Financial Crimes Compliance (FCC) frameworks, compliance programs, and regulatory standards.

• Experience in regulatory compliance, audit, risk management, or related financial services functions.

• Strong analytical and research skills with the ability to interpret and apply complex regulatory requirements.

• Proficiency with compliance systems and Microsoft Office applications.

• Strong organizational, problem-solving, and time-management skills.

• Excellent written, verbal, and interpersonal communication skills.

• Ability to exercise sound judgment, accountability, and attention to detail in a fast-paced environment.

• Bachelor’s degree in Business, Finance, Accounting, Risk Management, Law, or a related field, or equivalent professional experience.

Preferred Qualifications

• Experience conducting compliance audits, investigations, and quality assurance reviews.

• Experience working with sanctions screening, adverse media reviews, and regulatory reporting processes.

• Familiarity with financial crime risk assessment methodologies and compliance monitoring programs.

• Experience supporting large financial institutions or regulated financial services organizations.

Certifications