Banc of California · 1 day ago
Quality Assurance Specialist
Santa Ana, California, United States
Full-time
Onsite
Entry, Mid Level
$20.67/hr - $28.13/hr
2+ years expBanc of California is a bank holding company focused on providing banking and treasury management services. The Quality Assurance Specialist is responsible for performing quality assurance reviews, documenting errors related to new account onboarding, and ensuring compliance with regulatory requirements.
BankingFinanceFinancial Services
Responsibilities
Responsible for performing quality assurance reviews, documenting errors related to new account onboarding, risk control testing, validation of supersedes/ changes related to customer accounts and documenting communications to business partners for remediation as required
Perform all CIP/CDD/EDD processes related to BSA/AML/OFAC as well as the communication and resolution of findings and issues
Complete and update data and production to appropriate application for management review
Anticipate and implement changes to the process as a result of changes in the Bank’s business environment, Bank policy, product on-boarding and regulatory changes
Performs all duties in accordance with the Company’s policies and procedures, all U.S. state and federal laws and regulations, wherein the Company operates
Serve as a liaison and subject matter expert for on-boarding initiatives within the various banking groups
Provide support to business partners regarding onboarding procedures, operational risk control policies, regulatory requirements, as needed
Performs routine operational risk and compliance control testing for the department
Routinely assists in identifying deficiencies to be addressed, tracked, remediated and monitored for closure as defined in the Issue Management Process
Assist and/or leverage centralized model in Quality Assurance of complete high risk new account packages
Ensures accurate CIP/CDD information has been appropriately gathered by the various business units both through the New Account Review Process and BSA Request for Information process
Facilitate remediation of aged New Account Special Request (NASR) open issues
Oversee the detailed processes that facilitate the activities of the Banking units and ensure that internal service level agreements (SLAs) are consistently met
Guide on-boarding process through complex matters and escalate high profile matters accordingly to Banking leadership
Deal with complex Banking customers and/or clients as needed to collect proper CIP/CDD and expected activity documentation on both new and legacy accounts in order to comply with BSA/AML regulatory requirements
Complete Audit Reviews for different processes through-out Bank Operations
Adhere to and comply 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.), company policies and procedures, completing required training, identifying and reporting suspicious activity to the AML Officer, and knowing and verifying the identity of any customer(s) that enters into a relationship with the company
Treat people with respect; keep commitments; inspire the trust of others; work ethically and with integrity; uphold organizational values; accept responsibility for own actions
Demonstrates knowledge of and adherence to EEO policy; shows respect and sensitivity for cultural differences; promotes working environment free of harassment of any type
Follows policies and procedures; completes tasks correctly and on time; supports the company’s goals and values
Performs the position safely, without endangering the health or safety to themselves or others and will be expected to report potentially unsafe conditions
Qualification
Required
2-3 years of experience in a QA/QC function, first line risk testing, or equivalent work experience
Experience in complying with Know Your Customer/Customer Identification Programs, Customer Due Diligence and Enhanced Due Diligence programs
Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including but not limited to the following: Bank Secrecy Act (BSA) in conjunction with the USA PATRIOT Act, Anti-Money Laundering (AML) and Customer Information Program (CIP), Right to Financial Privacy Act (RFPA, state and federal) and Community Reinvestment Act (CRA)
Demonstrates knowledge of how an operational environment runs on a day-to-day basis and achieves optimal efficiencies through coordinated and streamlined processes
Knowledgeable in all branch functions associated with KYC/CIP documentation requirements
Proficiency in determining high risk clientele and necessary documentation requirements associated with various industries and business lines
Strong internal/external customer service and relationship development skills
Moderate skills in Microsoft Office applications (Excel, PowerPoint, Word, etc.)
Exceptional verbal, written and interpersonal communication skills, with the ability to carry out instructions and instruct others, train personnel, write reports, correspondence and procedures, and communicate effectively to customers and employees
Effective organizational and time management skills
Able to make a conclusive recommendation based on independent analysis
Able to multitask in a fast-paced environment and work well in a team-oriented environment
Ability to deal with complex problems involving multiple facets and variables in non-standardized situations
Ability to work with little to no supervision while performing duties
Preferred
Experience in banking, financial services or related industry is highly preferred
Bachelor's degree is preferred
Benefits
You will be eligible to participate in the company’s 401k plan which includes a company match and immediate vesting.
We offer comprehensive insurance options including medical, dental, vision, AD&D, supplemental life, long-term disability, pre-tax Health Savings Account with employer contributions, and pre-tax Flexible Spending Account (FSA).
Banc of California partners with providers that offer adoption, surrogacy, and fertility assistance as well as paid parental leave and family support solutions including care options for your family.
Eligible team members receive paid vacation days, holidays, and volunteer time off.
To support career growth of our team members, we offer tuition reimbursement, an annual mentorship program, leadership development resources, access to LinkedIn Learning, and more.
Company
Banc of California
Banc of California provides a full-service banking and home lending to individuals and their businesses and families.
1001-5000 employees
H1B Sponsorship
Banc of California has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (5)
2024 (1)
2023 (1)
Funding
Current Stage
Public CompanyTotal Funding
$20MKey Investors
Patriot Financial Partners
2013-12-05Post Ipo Equity· $20M
2002-08-23IPO
Leadership Team
Ken McMullen
Treasurer
Recent News
Benzinga.com
2026-01-07
2025-12-08
2025-11-12
Company data provided by crunchbase