Golden, Colorado, United States · On-site
The Compliance Specialist is responsible for ensuring the organization’s operations adhere to regulatory requirements and internal policies. This role oversees new account openings, annual due diligence, and BSA calculat…
Skills: BSA Calculations, Currency Transaction Reports, Wire Processing, KYC Verification, OFAC Screening
Golden, Colorado, United States · On-site
Relationship Manager will be required to collect, assess and maintain corporate documents that will support a solid, safe and sound relationship between customers/businesses and Safe Harbor. Relationship Manager will eva…
Skills: Client Relationship Management, Compliance Monitoring, ANC Analysis, Wire Transfer Processing, Account Onboarding
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The Compliance Specialist ensures organizational adherence to regulatory requirements and internal policies through monitoring transactional activity and managing new account openings. Key duties include performing BSA calculations, filing CTRs, and conducting detailed reviews of wire transfers.
Candidates should have a strong understanding of financial operations and a Bachelor's degree in business or a related field. A current or attainable BSA Certification and the ability to strictly adhere to regulatory guidelines are required.
Position Duties
BSA Calculations – New Accounts
Conduct Bank Secrecy Act (BSA) calculations for newly opened accounts to support regulatory compliance and risk assessment requirements.
Ensure all calculation records are accurate, well-documented, and readily available for regulatory audits, examinations, and internal compliance reviews.
CTRs, Monitoring, and Behavioral Settings
Prepare and file Currency Transaction Reports (CTRs) and review system alerts to identify potential suspicious activity, ensuring all alerts are thoroughly investigated, properly documented, and completed within required timeframes.
Configure, maintain, and update behavioral monitoring settings within compliance systems to align with current risk profiles, regulatory requirements, and internal compliance standards.
Wire Processing and Reviews
Conduct detailed pre-processing reviews of wire forms and verify transaction details collected by Relationship Managers, ensuring accuracy, completeness, and full compliance with internal controls, regulatory standards, and required documentation prior to execution.
Identify discrepancies, unusual activity, or potential risk indicators and escalate appropriately in accordance with established procedures.
Process wire transfers accurately within designated systems in accordance with operational procedures and regulatory requirements.
New Account Management (Checklists and Procedures)
Process new account openings using established procedures and control checklists, ensuring full compliance with documentation requirements and regulatory standards, including credit review, OFAC screening, ChexSystems review, and Know Your Customer (KYC) verification.
Coordinate with cross-functional teams to investigate and resolve account-related matters in a timely and efficient manner.
Annual Document Requests (CMS)
Respond to annual document requests within CMS, ensuring timely and accurate submission.
Maintain organized records of document requests and completions for audit purposes.
Qualifications
Strong understanding of business accounts and financial operations.
Current or attainable BSA Certification with demonstrated regulatory knowledge.
Bachelor’s degree in business or related field preferred.
Ability to proactively self-train and apply new industry knowledge to protect Safe Harbor and ensure compliance.
Proven ability to adhere to regulatory guidelines strictly and institutional protocols governing service to this industry.
Benefits & Perks
At Safe Harbor Financial, we invest in our team's health, financial security, and work-life balance. We offer:
Cannabis Banking & Financial Solutions
Safe Harbor is a cannabis banking, lending and financial solutions platform helping operators bank, borrow, operate and grow. We understand what it takes to run a cannabis business, and provide financial solutions that help operators run smarter, stronger, more durable businesses. Trusted since 2015 in 41 states. More than $35B cannabis transactions processed. http://www.shfinancial.org
Offices: 1526 Cole Blvd, STE 250, Golden, Colorado 90401, US
Cannabis Banking & Financial Solutions
Safe Harbor is a cannabis banking, lending and financial solutions platform helping operators bank, borrow, operate and grow. We understand what it takes to run a cannabis business, and provide financial solutions that help operators run smarter, stronger, more durable businesses. Trusted since 2015 in 41 states. More than $35B cannabis transactions processed. http://www.shfinancial.org
Offices: 1526 Cole Blvd, STE 250, Golden, Colorado 90401, US
