Job Description

Job Description

Job Description

Summary:

The Regent Bank BSA Compliance Program Manager is responsible for developing, delivering, and managing Regent Bank’s enterprise-wide BSA/AML/OFAC training program, maintaining clear and effective procedures, and overseeing the quality assurance (QA) function for the BSA team. This role ensures that employees and FinTech partners receive appropriate training and that all policies and procedures meet regulatory expectations. In addition, the position designs and implements a robust quality assurance program to monitor the accuracy and consistency of alerts and case investigations conducted by BSA staff.

Training Program Oversight

· Develop, implement, and maintain a comprehensive BSA/AML/OFAC training program for all Bank departments and employees, tailored to job function and regulatory requirements.

· Deliver training to internal departments, FinTech partners, and new hires; coordinate annual training and board-level training as needed.

· Monitor regulatory changes and emerging risks to ensure training content remains current and effective.

· Track training completion and maintain records for audit and exam purposes.

Procedure Development and Management

· Draft, revise, and standardize BSA-related policies, procedures, and job aids.

· Collaborate with BSA team members and other stakeholders to ensure procedures align with operational practices and regulatory expectations.

· Manage version control and periodic review schedules for all BSA procedures.

Quality Assurance Program

· Develop and maintain a formal BSA/AML Quality Assurance (QA) Program focused on alerts, case investigations, and regulatory filings (e.g., SARs).

· Conduct regular QA reviews of analyst work to ensure investigations are thorough, consistent, and aligned with internal standards.

· Identify performance trends, recurring errors, and process gaps; work with the BSA Officer to implement improvements.

· Provide coaching and feedback to BSA analysts based on QA findings.

· Report QA metrics and findings to senior management and help prepare for audits and exams.

Collaboration and Compliance Support:

· Partner with the BSA Risk Officer, Compliance Team, and Line of Business Managers to identify training needs.

· Support audits, exams, and risk assessments by maintaining clear documentation of training, QA results, and procedures, and by serving as a resource for internal departments and FinTech partners on BSA responsibilities.

Education And/Or Experience:

· Bachelor’s degree in criminal justice, finance, business administration, legal studies, or related field preferred.

· Minimum of five (5) years of experience in BSA/AML compliance, preferably within a financial institution or FinTech-focused environment.

· 2+ years of experience in a training, quality assurance, or documentation role preferred.

· Experience developing policies, procedures, and job aids strongly preferred.

Knowledge/Skills/Abilities:

· Strong knowledge of the BSA, USA PATRIOT Act, OFAC, and related regulatory guidance.

· Familiarity with training development tools and learning management systems (LMS).

· Excellent written and verbal communication skills, with strong attention to detail.

· Ability to translate regulatory language into practical, engaging training and user-friendly procedures.

· Functional knowledge of Microsoft Office applications (Excel, Word, PowerPoint).

· All candidates must complete a pre-employment background check, credit check, and drug screening.

Physical Requirements:

· Must exert up to 10 pounds of force occasionally and/or a negligible amount of force frequently.

· Must occasionally lift and/or move up to 25lbs.

· Specific vision abilities required by this job include close vision and the ability to adjust focus.

· Sitting for long periods.

Working Conditions:

The working conditions are generally comfortable, with minimal exposure to noise, heat, dust, and other related items. All employees are required to maintain a neat and safe work area.

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