Compliance Investigation Manager jobs in Roswell, NM

Compliance Investigation Manager oversees investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy. Assigns investigations to professional staff and ensures that staff follows approved investigation procedures. Being a Compliance Investigation Manager ensures that investigations are properly documented and reports findings to authorities as needed. Helps develop compliance training and recommends proactive measures that will reduce the risk of future violations or non-compliance. Additionally, Compliance Investigation Manager requires a bachelor's degree of related area. Typically reports to a head of a unit/department. The Compliance Investigation Manager typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. To be a Compliance Investigation Manager typically requires 3+ years of managerial experience. (Copyright 2024 Salary.com)

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Compliance/BSA Administrator
  • CNB Bank
  • Carlsbad, NM FULL_TIME
  • CNB Bank
    Job Description

    Job Title
    : Marijuana Relationship Administrator
    Department: Compliance
    Reports To: BSA/Compliance Officer

    Definitions:
    Marijuana Related Business: (MRB), Bank Secrecy Act (BSA), Cannabis Control Division of NM (CCD); Suspicious Activity Reports (SAR), High-Risk Monitoring (HRM),

    SUMMARY

    To assist the BSA Officer by administering and managing the bank’s Cannabis/MRB program. The Marijuana Relationship Administrator will act as the primary liaison with the bank’s Cannabis or Marijuana-Related Businesses. To act as secondary support to the BSA officer by acting as backup for the BSA Administrator. To be one of the primary points of contact between the bank and audit/examination personnel.

    ESSENTAIL DUTIES AND RESPONSIBILITIES
    • Act as the primary administrator of the day-to-day activities related to the bank’s Cannabis/MRB program.
    • Help solicit and develop relationships with local and regional cannabis-related businesses throughout the state.
    • Prepare and submit finalized MRB/Cannabis Account Applications with a summary of the final recommendation to approve or deny the applicant.
    • Conduct regular assessments of current MRB/Cannabis relationships to ensure the businesses comply with all applicable state and local laws and regulations.
    • Complete and submit quarterly Marijuana Related Suspicious Activity Reports to FinCEN, a subsidiary of the US Department of Treasury.
    • Prepare and present quarterly MRB/Cannabis Business Activity reports to the BSA Officer. Assist the BSA Officer with ensuring bank personnel are adequately trained to comply with Federal, State, and CCD laws and regulations.
    • Prepare and conduct MRB Cannabis Training annually with all bank personnel.
    • Conduct quarterly/annual site visits for each location an MRB owns and operates.

    Under minimal supervision; act as backup to the BSA Officer to obtain or develop data collection systems supporting bank-related regulatory compliance issues. Areas of compliance information gathering will include, but not be limited to:
    • The Cannabis Control Act/Cannabis Regulation Act/Compassionate Use Act
    • Bank Secrecy Act & U. S. Patriot Act:
    Currency Transaction Reports, Monetary Instrument Logs, Suspicious Activity Report, Anti-Money Laundering, High Risk, Customer/Account monitoring, Kiting Monitoring, Customer Identification Program, OFAC & Information Sharing 314a list, Identity Theft.
    • Operational Compliance:
    Funds Availability Act, Regulation DD – Truth in Savings Act,

    • Act as backup to the BSA Administrator for the daily administration of the bank’s BSA automated transaction monitoring software, “Verafin”.
    • Monthly customer identification program review.
    • Assist management by the development and implementation of periodic reporting tools, including both statistical and narrative information derived from ongoing data collection efforts.
    • Participate in Quarterly Compliance Committee meetings and preparation of meeting minutes.
    • Develop and maintain a strong working relationship with third-party compliance audit service providers and regulatory examination staff.
    • Assist with updates to all BSA and related regulatory policy statements as needed or write new policies as needed.
    • Assist with the development of BSA-related training and facilitate meetings. Assist with training of all staff on changes as needed.
    • Attend training seminars or equivalent online training as well as continued education.
    EDUCATION and/or EXPERIENCE
    • High School education or GED
    • Strong written, verbal, and interpersonal skills
    • Knowledge of banking terminology
    • Ability to do extensive research, prepare reports and written summaries.
    • Training will be provided to qualified candidates who do not have previous BSA / AML experience.
  • 8 Days Ago

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Water Production Compliance Operator
  • Village of Ruidoso
  • Ruidoso, NM FULL_TIME
  • Classification Under limited supervision, performs duties that ensure the Village of Ruidoso is in compliance with the rules & regulations of regulatory agencies and that Village policies and procedur...
  • 26 Days Ago

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Regulatory Compliance Specialist
  • HF Sinclair Corporation
  • Artesia, NM FULL_TIME
  • Basic FunctionHF Sinclair Midstream is seeking a Regulatory Compliance Specialist. This position is open to location. The Regulatory Compliance Specialist conducts and supports compliance of DOT/PHMSA...
  • 28 Days Ago

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Water Quality Compliance SME (Subject Matter Expert)
  • chloeta
  • Alamogordo, NM FULL_TIME
  • Job Title Water Quality Compliance SME (Subject Matter Expert) Location Alamogordo, NM 88310 US (Primary)Albuquerque, NM 87117 USClovis, NM USMelrose, NM 88124 US Job Type Full-time Travel 50 - 60% Jo...
  • 24 Days Ago

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Manager
  • Pizza hut
  • Alamogordo, NM FULL_TIME
  • To eat. To laugh. To share. That's why people come to Pizza Hut. It's the calling of our Restaurant General Managers to make them feel like family with smiles, teamwork and dedication. If you're an ex...
  • Just Posted

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Manager
  • New Mexico
  • Alamogordo, NM FULL_TIME
  • As part of the Subway® Team, you as a Manager will focus on eight main things : Providing an excellent guest experience Ensuring that great food is prepared & served Keeping our restaurants functional...
  • Just Posted

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0 Compliance Investigation Manager jobs found in Roswell, NM area

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CLass A Shuttle Driver - Roswell, NM
  • Aramark Uniform
  • Roswell, NM
  • ** CLass A Shuttle Driver - Roswell, NM** **Job Category****:** In Unit-Service-Rte Suppt **Requisition Number****:** CL...
  • 4/26/2024 12:00:00 AM

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Cyberspace Operations Officer
  • Hiring Now!
  • Roswell, NM
  • CONQUERING CYBERSPACE With the constant evolution of todays technology, information and communications can be optimized ...
  • 4/26/2024 12:00:00 AM

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Cheese Senior Supervisor
  • Leprino Foods
  • Roswell, NM
  • Leprino Foods, the dairy industrys best-kept secret has been a family-owned and Denver-based company since 1950. We hold...
  • 4/25/2024 12:00:00 AM

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Environment, Health and Safety Manager
  • Dean Baldwin Painting Lp.
  • Roswell, NM
  • Job description Dean Baldwin Painting, is a 55-year old, well established, superior Aircraft Painting Company with 5 dif...
  • 4/25/2024 12:00:00 AM

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Cheese Senior Supervisor
  • Leprino Foods
  • Roswell, NM
  • Leprino Foods, the dairy industry’s best-kept secret has been a family-owned and Denver-based company since 1950. We hol...
  • 4/23/2024 12:00:00 AM

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Environment, Health and Safety Manager
  • Dean Baldwin Painting, LP.
  • Roswell, NM
  • Job description Dean Baldwin Painting, is a 55-year old, well established, superior Aircraft Painting Company with 5 dif...
  • 4/23/2024 12:00:00 AM

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2024 Summer - Application Security Engineer Intern
  • Workiva
  • Roswell, NM
  • This position will start in the summer and could have the opportunity to continue into the fall*. Please see our start d...
  • 4/22/2024 12:00:00 AM

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Lead Transportation Security Officer
  • Department Of Homeland Security
  • Roswell, NM
  • Summary Securing Travel, Protecting People - At the Transportation Security Administration, you will serve in a high-sta...
  • 4/22/2024 12:00:00 AM

Roswell is a city and the seat of Chaves County in the U.S. state of New Mexico. As of the 2010 census it had a population of 48,411, making it the fifth-largest city in New Mexico. It is a center for irrigated farming, dairying, ranching, manufacturing, distribution, and petroleum production. It is also the home of New Mexico Military Institute (NMMI), founded in 1891. Bitter Lake National Wildlife Refuge is located a few miles northeast of the city on the Pecos River. Bottomless Lakes State Park is located 12 miles (19 km) east of Roswell on US 380. The Roswell UFO incident was named after t...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Compliance Investigation Manager jobs
$129,269 to $157,312
Roswell, New Mexico area prices
were up 2.5% from a year ago

Compliance Investigation Manager in Medford, OR
Conducting successful internal investigations depends on following the proper guidelines.
December 29, 2019
Compliance Investigation Manager in Terre Haute, IN
An issue might be investigated by the compliance function, international audit, or another appropriate manager or third party, but it is critical that the investigator was not involved in the case.
December 10, 2019
Compliance Investigation Manager in Santa Rosa, CA
Upon completing this Compliance Investigation and Enforcement course successfully, participants will be able to.
January 10, 2020