First Republic Bank

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Preferred Banking Office Flightpath Quality Control Associate

Preferred Banking Office Flightpath Quality Control Associate

ID 
2017-4885
Job Locations 
US-CA-Los Angeles
Category 
Banking

More information about this job

Overview

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.

Primary responsibility is to work with Preferred Banking Office Bankers in order to audit account documents and enter KYC information into FlightPath for new/existing accounts or by appending/removing signers (superseding). Performs tracking of exception/errors. Performs follow-up with PBO’s on exception/errors associated with account documents or missing/incorrect KYC information. The QA Associate also coordinates and collaborates with the internal QC Control Manager for missing account documentation for account closing and with the Manager for questions relating to auditing.

 

 

Responsibilities

DUTIES AND RESPONSIBILITIES:

  • Enter KYC information into Flightpath and review KYC Information and account documentation on forms against TotalPlus for accuracy and completeness ensuring compliance of all entity and identification (CIP) documents are accounted for in accordance with the QA/QC Checklist.
  • Provide oversight to ensure compliance by Preferred Banking Office on
    (a) A high risk document per the Legal Department, and any and all other restricted forms.
    (b) Superseded documents on accounts opened at Preferred Banking Offices (i.e. add/remove authorized signers and power of attorneys; business name changes; customer name changes; account closed and re-opened under new account # due to fraudulent activities), Funds Transfer Agreement / FTAA
    (c) Ensure appropriate data is provided to CIF to update account signers/CIP/and other authorized parties.
    (d) Other tasks related to account documentation which is assigned, including scanning correspondence from bankers or documents provided by bankers to OnBase.
  • Work with the PBO Bankers, CIF, Internal Teams and Office Managers to obtain/correct documents and escalate to senior management outstanding exceptions, including recommendation for closing of accounts, as necessary. This position requires independent judgment and discretion on how the findings are effectively communicated to PBO bankers.
  • Ensure new accounts are linked properly to an existing valid Master Signature Card.
  • Cross-train with Operations Specialists, KYC QC Manager and Managers to have a well-rounded understanding of the bank’s deposit products and services to ensure a thorough understanding of eligibility of clients to open and the proper opening of accounts by Bankers. 
  • Perform duties & responsibilities specific to department functions & activities, and other duties & responsibilities as required or assigned by Management.
  • Additional responsibilities include the following:  1) adhering to and complying with the applicable, federal and state laws, regulations and guidance, including those related to Anti-money laundering (i.e. Bank Secrecy Act, US PATRIOT Act, etc.) 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting suspicious activity to the AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.

 

Qualifications

SKILLS, KNOWLEDGE, AND ABILITIES:

  • The successful candidate will be someone who can demonstrate the ability to coordinate multiple priorities, successfully resolve complex matters, quickly understand processes/workflows, identify risks, and effectively tailor their communication (written/verbal) to their audience.  They must be able to identify opportunities for process enhancements while supporting existing standards with a focus towards providing excellent service to our clients. Any combination of education and experience equivalent to a bachelor’s degree, plus two years of progressively more responsible experience with electronic document management technologies preferred. Complete knowledge of banking platforms used by the bank – OSI/Total Plus, OnBase, Image Depot, Scanning, Adobe Acrobat, MS Office, etc.
  • To effectively complete these functions, the successful candidate will be required to work collaboratively with the bank’s stakeholders, review documents and work process with an eye for detail following bank policy and procedures, and tailor the findings/communication to various audiences, recommend modes of change to improve operating efficiencies especially in the area of account opening and subsequent maintenance.
  • College degree or equivalent preferred.

 

PHYSICAL REQUIREMENTS:

  • 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.
  • Travel to other office locations required.

 

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