CIB Compliance Cover Letter

I would like to submit my application for the CIB compliance opening. Please accept this letter and the attached resume.

In my previous role, I was responsible for compliance guidance to private side businesses (such as the Global Capital Markets and Investment Banking Divisions) and the Research Division with respect to relevant compliance policies and procedures and relevant laws, rules and regulations, which are mainly related to their day to day businesses.

My experience is an excellent fit for the list of requirements in this job:

• Overseeing and implementing controls and governance framework
• Prevent breaches of ownership thresholds and to restrict holdings in particular industries or to comply with additional notification obligations
• Experience in DOI preferred
• Self-starter, capable of supervising and team-leading
• Extensive Compliance experience or other related experience legal, risk management, audit, Operations Controls or similar
• Experience in internal audit, operational risk management, or other control function covering investment banking and trading/sales
• Experience with and/or knowledge of Global (APAC and Americas) regulatory environment including Dodd Frank, EMIR, Volcker rules
• Contribute strongly to the Compliance CIB control set-up efficiency

I am excited to be applying for the position of CIB compliance. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for ongoing guidance to Company personnel and providers, when applicable, regarding compliance with applicable compliance policies, procedures and related company policies.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Handle and oversee suspicious activity analysis and reporting with possible filing with the local regulatory bodies
• Manage and address enquiries on managing fraud from regulators and client
• In-depth knowledge of AML and Sanctions legislation, international requirements and industry best practice
• Strong written and oral language skills with fluency in English
• Have a good appreciation of the regulations applicable to CIB business
• Be comfortable interacting with, and presenting to, business management and control functions
• Be the key client point of contact for a single or multiple JPM client/s within the CRS segment
• Build a strong relationship with the internal and external client(s) to support day to day interactions and seamless escalation and maintain an excellent and interactive relationship with internal partners inclusive of Client Service, Sales, Technology, Reference Data, Fund Accounting, product, MBM locations

Please consider me for the CIB compliance opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for advice and counsel to Canadian Banking Businesses with respect to the first line Sales Practices testing program and procedures (where applicable).

Please consider my experience and qualifications for this position:

• Manage CIB Lisbon CCRM Control Team
• Perform controls under Compliance CIB responsibility
• Consolidate and report Controls (performed by Locations and at Compliance CIB Level)
• Controls execution & analysis
• Provide financial crime prevention advice to Sales and Trading, Onboarding and other Operational functions covering the various product lines in EMEA
• Scope, undertake and report on testing and monitoring of financial crime controls, either alone or in support of Compliance Testing and Internal Audit
• Lead and manage the GFCC program for CIB, which includes oversight of AML and Sanctions
• Execute corporate, line of business and CIB specific policies and guidelines for Financial Crime prevention

Please consider me for the CIB compliance opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for computer validation oversight and continual improvement recommendations for IT projects to assure compliance with company policies, standard operating procedures and all applicable regulations and law requirements are accurately addressed.

My experience is an excellent fit for the list of requirements in this job:

• Provide clear advice on the application of local requirements and firm policy in relation to Financial Crime Prevention, and provide risk-based solutions to complex business issues / initiatives across the product range for the lines of business
• Execute oversight over centralized AML and Sanction functions that undertake tasks on behalf of the bank
• Serve as the point of communication and, where necessary, escalation of material AML issues, to the MLRO, senior management and other relevant senior Compliance and Risk management teams
• Represent CIB GFCC in various Governance, AML and Risk committees, sub-committees, board meetings, working Groups
• Act as a primary point of contact for GFCC audit and compliance testing in relation to any regulatory examination or action, audit or test
• Oversee the production of GFCC reporting and metrics
• Oversee, drive and report on the content and completion of AML and Sanctions risk assessment for the bank
• Supervise the administration of AML and Sanctions training

I submit this application to express my sincere interest in the CIB compliance position.

In the previous role, I was responsible for thought leadership on key compliance themes relevant to NAB's Markets and Asset Servicing businesses; and.

Please consider my qualifications and experience:

• Ensure all client enquiries are handled on time, with relevant updates and monitoring / timely closure of any cases in line with client(s) SLDs
• Support JPM across all service and change discussions for Compliance Reporting Services / Portfolio Insight
• Identify areas for improvement across the CRS function and, where applicable, own and drive these to conclusion
• Ensure all mandatory training is completed well within due date
• Knowledge and experience of financial services industry, including the regulatory environment
• Multi-tasker who can lead multiple streams of work concurrently
• Analytical skills, including strong attention to detail
• Dedicated and can-do attitude