Compliance Jobs

Filcro Financial Staffing - New York, NY


Compliance Officer, AVP 
Bank Secrecy Act - BSA - AML - FinCen - OFAC - KYC 
Regulatory Compliance Department


New York, NY - USA
Easy access from New York or New Jersey

The Firm

Major International Bank


Specific Monitoring Responsibilities:

  • OFAC Checking, FinCEN Checking, Required “Know Your Customer” due diligence 
  • Performs Politically Exposed Person (PEP) checks on Related Parties of the Customer
  • Conducts Section 311 checks, sending any required Section 311 notices to customers, counterparties, and sub-custodians 
  • Complete and update Custody-Customer Profile/Regulatory Compliance Checklists for  new or existing Customers; Verify accuracy of documentation for Customer Identification Program 
  • Verify that all account opening regulatory requirements are satisfied
  • Review daily reports on the variances from established threshold amounts concerning sources of all new custodial assets
  • Review daily reports on the activities and holdings in Medium High,High & designated Medium Risk 
  • Checks all banks, counterparties, brokers, SWIFT messages, securities, custody accounts, subaccounts, third party advisers, vendors and employees against OFAC/FinCEN list. 
  • Review for accuracy and update BSA Risk Matrices and the Custody Customer Profiles/ Regulatory Compliance Checklists; Test newly generated “KYC” reports developed by IT
  • Assist IT with related technology Compliance system upgrade projects as needed
    Reviews BSA Questionnaires for Foreign Financial Institution Custodial Customers, and BSA Questionnaires for Sub-custodians, as required
  • Participate in changes of existing thresholds, monthly
  • Reconcile BSA Compliance Officer’s data with Custody Administration Dept. monthly  Coordinates with BPP obtaining completed BSA/AML Questionnaires from FFI customers 
  • Verify accuracy of documentation regarding Information from Third Party Investment      Managers/Advisers with Authority to Instruct concerning custodial accounts 
  • Works closely with members of the Legal Department, and the Internal Auditor to continually work to improve the Bank’s existing program 
  • Works closely with all relevant departments of the Bank to ensure compliance by those departments with their regulatory BSA/AML responsibilities, including in connection with account opening and monitoring. 
  • Stays current with legal and regulatory changes as they relate to BSA/AML requirements.


  1. 5-7 years of Bank Compliance experience in BSA / AML laws and regulations
    (FinCen, OFAC, KYC)
  2. Excellent communication and interpersonal skills
  3. Excellent Excel / Access/ Word skills 


Helene Crocitto EVP Filcro Financial Compliance Recruitment for the Banking IndustryHelene Crocitto
Filcro Financial Staffing
521 Fifth Avenue
New York, NY  10175

Resume Submission Link
Please place “Compliance” in the subject line.  Thank you


Filcro Financial Staffing, BankStaffers and the firms we represent are equal opportunity employers.  Thank you

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