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W O R K H I S T O R Y
Deutsche Bank New York, NY
Compliance Officer 12/05 – Present
Assistant Vice President
• Conduct User Acceptance Testing and Hot Fix Testing
• Coordinate and allocate resources required to support User Acceptance Testing
• Writing UAT test plans and cases
• Liaising with business to develop and implement the inquiry process
• Conduct training on the MANTAS surveillance system with other members of Compliance globally
• Provide guidance and support to the monitoring teams which include: performance evaluations, supervisory reviews of AML Casework, workload distribution, and advising analysts on suspicious activity
• Continuously evaluate and improve the process by which transactions are selected for scrutiny, to increase both efficiency and accuracy
• Assist in the configuration, implementation, calibration, and validation of Norkom Case Management System implementation, which is used globally
• Conduct training with Bangalore Analysts and Jacksonville Analysts on; in-house tools, surveillance tools, research techniques, procedures and handling wire transfers that pass through the bank directly or via any of its 2300 correspondent banks
• Assist in the configuration, implementation, calibration, and validation of MANTAS surveillance system.
• Assist in the development and implementation of operating procedures. Draft, update, and maintain various desktop procedure manuals that maximize the efficiency of the monitoring unit.
• Review funds transfer activity in correspondent accounts to discern patterns or payments that may be dubious.
• Review reports generated on activity that exceed various tolerances. Evaluating this information to determine if activity warrants further review and/or investigation.
• Communicate with Client Service Officers (CSO) to obtain information regarding correspondent clients.
• Conduct due diligence on persons, accounts or activities in accordance with AML regulations, i.e., High Risk Countries and entities, OFAC sanction entities, politically exposed people, watchlist entities and Money Services Business
• Managed a team of analysts on day-to-day monitoring processes.
• Conduct meetings to discuss new processes, issues, concerns, and ideas.
• Assist with conducting quantitative analysis for KPI reporting.
ABN AMRO Bank New York, NY
Anti-Money Laundering Analyst 4/05 – 12/05
• Ensured compliance with Anti – Money Laundering (AML) policies and regulations by assisting in all aspects of ongoing risk-based monitoring and client based transactions in order to assure adherence to the Bank Secrecy Act, the USA PATRIOT Act, and other applicable rules and regulations.
• Reviewed alerts generated by the MANTAS surveillance system to identify potential money laundering activities.
• Drafted compliance policies/memoranda and other internal correspondence.
• Initiated investigations through the Case Management System on alerts that may require a Suspicious Activity Report (SAR).
• Performed downloads of increased risk client activity to a database to allow searches of originator, beneficiary, and instruction fields to identify high-risk transactions or unusual behavior for investigation.
• Responded to law enforcement and regulatory inquiries directed to the AML Unit.
• Wrote detailed reports for Senior management
• Coordinated in-depth KYC investigations of businesses transacting in high-risk jurisdictions.
• Involved in the new Case Management System testing, which was to be used globally
• Analyzed transactions flowing through correspondent and nested correspondent accounts.
JP Morgan Chase & Co. New York, NY
Anti-Money Laundering Analyst 7/04 – 3/05
• Assisted in identifying and investigating potentially suspicious transactions and customer behavior by performing transaction analyses, public records searches and investigation and ongoing monitoring to prevent and detect money-laundering activity.
• Identified and use appropriate investigative and or analytical technologies to analyze transactional data and public records for the purpose of initiating, developing and bringing to successful conclusion transaction monitoring investigations.
• Ensured compliance with federal banking regulations with respect to the filing of Suspicious Activity Reports.
• Monitored transactions involving countries or entities regulated by the Office of Foreign Assets Control (“OFAC”).
• Communicated with various business units to obtain necessary information for investigations.
JP Morgan Chase & Co. New York, NY
Corporate Trust Administrator 2/03 – 7/04
• Acted as a liaison between clients and Relationship Managers (RM) by assisting the RM’s with the management of conventional debt accounts and group projects
• Reviewed and maintained documents.
• Point person for client inquiries received via phone, fax and e-mail.
• Generated and produced client monthly/weekly statements of client activity.
• Calculated interest and principal amounts due for payment, tracked client revenue and prepared written investment instructions.
• Set-up and terminated accounts for the Fiduciary Intermediary Trust, Asia, and Latin America teams on various systems.
• Used company developed software to reconcile cash flows, verified anticipated receipts, and processed wire transfers.
• Set-up trades on ITS: Internal Trade Request database.
• Designated point person for Documentation Indexing.
• Conducted monthly reviews and reconciliations with account Relationship Managers.
JP Morgan Chase & Co. Jersey City, NJ
Senior Operation Support / Business Support 9/01 – 2/03
• Monitored reject queue for trades flowing from the front-end system into back office.
• Coordinated with various departments such as Settlements, Confirmations, Accounting, Finance, Middle Office and Front Office to ensure any rejected trades settle smoothly and timely.
• Reconciliation of differences relating to cash and assets.
• Reference data maintenance (i.e. interest accrual, amortization and principal schedules and rate updates) for new and existing Commercial Paper, Medium Term Notes and Mortgage-Backed security bonds and clients.
• Timely transmittal of trade confirmations thereby providing a safeguard against dealing errors and fraud through identification of mistakes and inconsistencies.
JP Morgan Chase & Co. Brooklyn, NY
Documentation Clerk 5/00 – 8/01
• Assisted in managing the Documentation Control Unit (DCU) responsible for safekeeping, recording, and tracking of documents received from Global Investor Services for master trust and custody clients in excess of $400 billion in assets serviced by Global Investor Services.
• Monitored internal database on a daily basis to ensure that it accurately reflected the status and location of documents submitted to the DCU.
• Prepared reports that identified missing, expired, pending and waived documents pursuant to internal procedures and rules promulgated by outside regulatory agencies.
• Originated and executed service plans to assess client needs and improved overall client satisfaction.
• Trained Global Investor Services staff on the utility of the Document Tracking System.
The Carson Group New York, NY
Multimedia Specialist 9/99 – 4/00
• Created monthly and quarterly company performance measurement graph presentations using MS office applications Power Point and Excel.
• Assisted corporations efficiently gather and quickly analyze market data relevant to their stock and peer groups.
• Built and maintained strong online relationships with investors, financial analysts, and the media.
E D U C A T I O N
St. John’s University Jamaica, NY
Major: Executive Business Management January 2011
Degree Attained: Masters in Business Administration
Brooklyn College, City University of New York Brooklyn, NY
Major: Business Management and Finance May 2005
Degree Attained: Bachelor in Science
C O M P U T E R S K I L L S
Proficient in Windows XP, MS Word / PowerPoint / Excel; Lotus Notes; Microsoft Outlook; Internet Explorer; Bloomberg; WINDOWS NT; Lexis Nexis, World Check; Dun & Bradstreet; Sonar; Funds Transfer Monitoring System (FTMS); Mantas Surveillance System; WebCinq; Norkom, DST