First Republic Bank

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Preferred Banking Client Services Quality Control Assistant Manager

Preferred Banking Client Services Quality Control Assistant Manager

Job Locations 
US-NY-New York

More information about this job


First Republic is an ultra-high-touch bank that provides extraordinary client service. We believe that one-on-one interactions build lasting relationships. We move quickly to serve our clients’ needs so that their financial transactions are handled with ease and efficiency. Client trust and security are paramount in our line of business. Ultimately, our goal is unsurpassed client satisfaction which will lead to personal referrals – our number one source of new business.

We recognize that our competitive advantage starts with our people and our culture. At First Republic, we work hard and move quickly as a very coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, First Republic is the place for you. We have exceptional people focused on providing extraordinary service.

The QC Assistant Manager position is accountable for monitoring the Regional QC Documentation team workflow to ensure assignments, account documentation and KYC review are being handled properly and in a timely manner as well as handle all individual and team performance issues. Additionally, the Assistant Manager will act as the liaison between the QC Documentation Team and the Preferred Bankers to ensure the QC Documentation process is working effectively; research audit/compliance requests; second-level review of documentation for new accounts and account changes; step in to handle reviews when needed. Lastly, the Assistant Manager should have an in depth understanding of procedures and complex account structures; consistently review procedures to be familiar with any changes; support Management with high-level projects and escalate all unmanageable issues immediately to the Regional QC Manager so issues are resolved in an appropriate manner and time-frame to minimize risk exposure to the Bank.





  • Provide oversight to ensure compliance with BGB and regulatory requirements on
    (a) Deposit Documentation (New Accounts, Supersedes, Multivesting, and Miscellaneous)
    (b) Regulatory Documentation (KYC, disclosures, review)
    (c) Ensure documents imaged are uploaded with quality
    (d) Identify any rejects/issues with Imaging/FP and work with the team to improve error rates.
    (e) Other tasks related to account documentation as assigned to support the team.
  • Manage workflow for assigned branches under region in the QA
  • Review Database to ensure all account reviews are being handled in a timely manner. This entails reviewing generated exception reports, pending items, outstanding exceptions over 30/60 days, etc. in the Database.
  • Monitor staff’s work assignments and be on top of outstanding exceptions over 30 days as that should be escalated to PB Team Lead for immediate action. Escalate all unmanageable issues to QA Manager.
  • Oversee QA Reports are sent out weekly or bi-weekly (preferred) and are continuously accurate. Immediately address any exception reporting inaccuracies with the team and provide refresher training when necessary to ensure the QA staff is conducting quality reviews in accordance to the QA Guide.
  • Manage the Quality Imaging and Scanning process to ensure error rate is below 1%. Monitor the reject queue to ensure any recurring reject issues are immediately addressed with Imaging team and training provided, when needed.
  • Assign manageable workloads and reasonable deadlines to the team; ensure these expectations are clearly communicated to the team. Any expectations not met should be addressed to staff individual within a timely manner and put a performance action plan into place if issues become a recurring pattern to ensure the individual receives the tools needed to meet expectations.
  • Direct liaison with Regional Preferred Banking Team Leads to ensure there is always a good relationship between the bankers and QA Team.  Additionally, it is the Assistant Manager’s role to ensure the regional TL(s) and QA are always in sync with updated bank/regulatory policies and procedures.
  • Assist with research on various reports and projects as needed by QA Manager.
  • Familiarize and stay updated on all policy and procedure (P&Ps) updates in the Big Green Book, internal Preferred Banking Procedures (including EaglesNet), BSA/AML KYC policies in Collaborate, and any Regulatory changes to ensure QA review is audited in line with current standards and proactively identify opportunities to improve the quality of the overall QA team.
  • Familiarize and understand the ins and outs of Flightpath system for efficient and accurate data entry of KYC information for business, individual, and trust entities. Stay up to date with all Flightpath system changes. Communicate any Flightpath issues/discrepancies to QA Management.
  • Be available to assist with the QA review workload when short-staffed or workload falls behind and delegate work accordingly.
  • Navigate through various client-information based systems (OnBase, TotalPlus, CRB, and Flightpath) to review account documentation + KYC and update the QA Database with exceptions as necessary. Ensure any pending issues are followed up properly.
  • Ensure proper training for all Specialists under jurisdiction for all new hires as well as refresher training to stay updated on procedure changes.  This includes sending out proper training materials and emails to the team as needed. Process New Hire Onboarding paperwork and work with proper business units to onboard new hires in a timely manner (TALON, Human Resources, Payroll, external Employment Agency, etc.)
  • Cross-train with Preferred Bankers and Client Services staff to have a well-rounded understanding of the bank’s deposit products and transaction processing to have a clear grasp of BSA/AML/KYC policies and how the quality review of documentation impacts other deposit business units.
  • Additional responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.
  • Critical features of this job are described under the items above. They may be subject to change at any time due to reasonable accommodation or other reasons. This job description reflects management’s assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time.



  • The successful candidate will be someone who can demonstrate the ability to coordinate multiple priorities, successfully resolve complex matters, easily understand processes/workflows, identify risks, and effectively tailor their communication (written/verbal) to their audience in a clear and concise manner.  A bachelor's degree in addition to at least 2-4 years’ experience in banking or an equivalent industry is preferred.  Complete knowledge of banking platforms used by the bank – OSI/Total Plus, Flightpath, OnBase, Ephesoft Scanning, Outlook, Adobe Acrobat, MS Office, etc.
  • Critical Thinking
  • Team player
  • Provides extraordinary service
  • Furthers the First Republic Bank culture and values



  • The ability to learn and comprehend basic instructions; understand the meanings of words and respond effectively; and perform basic arithmetic accurately and quickly.
  • Vision must be sufficient to read data reports, manuals and computer screens.
  • Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person.
  • Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions.
  • Position involves sitting most of the time, but may involve walking or standing for brief periods of time.
  • Must be able to travel as position requires .
  • May be required to lift 25-50lbs.



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