Promontory Financial Group, LLC

  • Manager of Quality Assurance and Training

    Job Location CA-ON-Markham
    ID
    2018-1413
    # of Openings
    1
    Category
    Other
  • Overview

    Job Summary: The Manager of Quality Assurance and Training (QAT) will direct and manage the daily activities of 10 or more quality assurance (QA) staff, responsible for the quality assurance on investigative compliance review work of AML Analysts, and support continual development of the QA program and provide support in the execution of client engagements. He/she will also leverage his/her knowledge of Anti-Money Laundering (AML) compliance to assess, design, deliver and facilitate in-house training solutions, programs and courses aligned to business and employee performance objectives, ensuring staff have the knowledge base to deliver quality work. The Manager of QAT will be responsible for leading the QA function on client engagements, continually auditing QA work product and leveraging results to enhance the QA function, and assisting with QA reporting. The Manager of QAT provides leadership and coaching to QA team members, ensuring performance standards are maintained.

    Responsibilities

    • Provides direct management and supervision of teams of 10 or more Quality Assurance Analysts, who are responsible for the quality of work of the front line production staff.
    • Ensures proper engagement planning, staffing, and direction of the QA functions on multiple client engagements and teams.
    • Identifies issues and efficiency opportunities through monitoring of staff performance metrics, internal reports, staff meetings and on-going interaction with team.
    • Provides business direction, coaching, and timely execution against contractual deliverables through performance management.
    • Serves as an AML Subject Matter Expert on assigned client engagements, supporting clients in managing AML compliance programs and requirements.
    • Design and deliver training content and materials, including, but not limited to: measurable learning objectives, facilitator and participant materials and tools, experiential scenarios and simulations, performance support aids and assessment and evaluation questions.
    • Facilitate/lead AML training module courses, new hire onboarding sessions and other learning courses and solutions (e.g. professional development sessions).
    • Partner with clients to participate in Train-the-Trainer activities and assist with client engagement training.
    • Assists Vice President of QA in ensuring engagements procedures are compliant with internal policies and procedures, and all applicable law and regulatory guidelines.
    • Contributes to the auditing, assessing and reporting of production quality against the pre-defined Policies and Procedures of client engagements.
    • Collaborates with Operations and Pursuit Management teams to ensure engagement-specific Quality Assurance Plans are aligned to the client’s Policies and Procedures.
    • Pro-actively recommends corrective actions and strategic plans to address quality deficiencies.
    • Executes audits and testing on engagement specific Quality Assurance work products to ensure QA team members are applying Quality Assurance standards accurately.
    • Performs root cause analysis and recommends corrective actions, procedural changes and strategic plans to address quality deficiencies.
    • Actively communicates risks, needs, and remediation plans to Vice President of QA.
    • Assists in the strategic development of the QA Program, focusing on continuous improvement and best practices for ensuring high quality services meet engagement and business needs.
    • Makes recommendations to Vice President of QA on QA Analyst engagement performance.
    • Supports the Vice President of QA in the design, maintenance and distribution of standardized trend reporting for the purpose of measuring engagement quality.
    • Responsible for updating and maintaining templates related to QA program internal policies and procedures, as well as client related materials.
    • Leads client meetings for responsible engagements with a focus on quality and overall client relationship management, including serving as the primary point of contact, managing issue escalations to the Vice President of QA as necessary, and ensuring contractual adherence.

    Qualifications

    Education:

    Undergraduate degree in Business, Accounting, Economics, Finance, Statistics or a related field or equivalent work experience is required. ACAMS Certification is required.

     

    Knowledge, Skill and Ability Requirements:

    • At least 5+ years of demonstrated experience in a financial services compliance quality assurance or audit role.
    • Demonstrated experience leading and managing people.
    • Background and understanding of AML, BSA and OFAC regulatory compliance, financial concepts/issues, with the ability to translate into procedural and training content
    • Working knowledge of various laws, regulations, and industry guidance that affect internal and financial institutions’ compliance programs.
    • Thorough understanding of quality assurance methodologies.
    • Experience evaluating financial transactions and conducting various types of AML alert reviews and investigations.
    • Experience evaluating Customer Identification Program (CIP), Enhanced Due Diligence (EDD) and KYC profiles.
    • Familiarity with various AML monitoring systems and commercial research databases.
    • Experience writing business requirements, procedures and/or policy documents.
    • Highly effective communicator, both verbal and written, with strong presentation and leadership skills required.
    • Demonstrate a strong sense of urgency by responding immediately to escalated issues and rapidly changing priorities.
    • Strong attention to detail, critical thinking skills and an analytical orientation.
    • High competency in written and oral communication; strong interpersonal skills.
    • Demonstrated ability to assign, direct and complete assigned tasks in support of complex initiatives.
    • Ability to work independently, prioritize workload, learn quickly, and be proactive.
    • Excellent proficiency in Microsoft Office products, with advanced aptitude in Microsoft Excel.

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