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Quality Reviews – Conduct daily independent QA reviews of investigator and Sanctions casework, including Transaction Monitoring, Name Screening, EDD, and other AML investigations. Evaluate accuracy, completeness, adherence to AML/CFT policies, regulatory requirements, internal procedures, and the quality of case narratives. Assess whether investigative decisions are well-supported, risk-based, and appropriately documented, including escalation and disposition outcomes. Identify defects, document findings, and provide clear, constructive feedback to investigators and team leads.
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Stakeholder Collaboration – Partner closely with the Financial Crimes Operations team, Team Leads, Product teams, and other stakeholders to communicate QA findings, discuss quality trends, resolve process gaps, and ensure consistent interpretation of policies and quality standards. Build strong relationships across AML and other cross-functional teams to support a holistic approach to compliance and risk management.
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Quality Calibration & Internal QA Meetings – Participate in and facilitate regular QA calibration sessions to review complex or borderline cases, discuss grey areas, align on scoring methodology, and ensure consistency in quality evaluations across the QA team. Share key findings, emerging typologies, regulatory expectations, and best practices to improve review quality and reduce subjectivity.
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Performance Monitoring & Reporting – Monitor investigator quality performance, analyze QA findings and recurring error trends, and prepare regular quality reports and dashboards. Identify systemic issues, emerging risks, root causes, and opportunities to strengthen controls and support management decision-making.
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Coaching & Quality Improvement – Provide timely and actionable feedback to investigators and team leads to improve investigation quality, strengthen analytical skills, and enhance case documentation. Act as a Subject Matter Expert (SME) for AML investigations by providing guidance on complex or high-risk cases, typologies, and regulatory expectations. Support remediation activities by validating corrective actions and tracking quality improvements over time.
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Policy & Process Compliance – Ensure all reviews are conducted in accordance with internal AML/CFT policies, regulatory requirements, quality frameworks, and standard operating procedures. Escalate potential compliance risks, control weaknesses, or systemic issues identified during QA reviews.
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Continuous Improvement & QA Framework – Support continuous improvement by recommending enhancements to investigation procedures, QA methodologies, workflows, scorecards, sampling frameworks, training materials, and quality controls. Contribute to AI-enabled quality tools such as QA Copilot and participate in UAT, process validation, and implementation of new quality initiatives.
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AML Projects & Program Enhancements – Participate in AML-related projects, initiatives, and program enhancements as required. Provide QA expertise and support cross-functional initiatives aimed at strengthening AML controls, processes, and overall program effectiveness.
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Ad Hoc Responsibilities – Perform additional assignments and special projects as delegated by the supervisor, including process improvement initiatives, training support, root cause analysis, documentation updates, and cross-functional projects to strengthen the overall quality program.
