Analyst, Regulatory Compliance Resume Samples

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GD
G D'Amore
Garth
D'Amore
74809 Luther Drives
Philadelphia
PA
+1 (555) 917 7047
74809 Luther Drives
Philadelphia
PA
Phone
p +1 (555) 917 7047
Experience Experience
Detroit, MI
Regulatory Compliance CTR Analyst
Detroit, MI
Hintz-Turner
Detroit, MI
Regulatory Compliance CTR Analyst
  • Provide day to day information regarding the operational functions of the Currency Transaction Report process
  • Bank Secrecy Act, Anti Money Laundering knowledge working with Currency Transaction Report and Monetary Instrument record keeping
  • Assess the effectiveness of systems, processes and tools used to monitor Currency Transaction Report risks and identify opportunities for improvement
  • Gathering data necessary to determine whether activity is in the scope of Currency Transaction Report reporting
  • Monitor the moderate complex accounts to identify suspicious activity and the avoidance of Currency Transaction Report reporting
  • Analyze and interpret monthly key risk indicators and statistics to identify operational issues requiring further attention
  • Conducting due diligence on customers
New York, NY
Analyst Portfolio Compliance Regulatory
New York, NY
Hammes-Kautzer
New York, NY
Analyst Portfolio Compliance Regulatory
  • Opportunity to be part of and develop within a truly global international group and firm
  • Monitor and perform checks on various Fiduciary activities
  • Daily interaction across with business groups including Portfolio Management, and Legal and Compliance
  • Performing pre & post trade checks for Blackrock affiliates in syndicated activities
  • Assist with training of team members
  • Communicating internally in a timely, accurate, and professional manner with relevant groups
  • Liaising with internal and external partners to obtain and review documentation to ensure compliance with policies
present
San Francisco, CA
Regulatory Reform & Compliance Analyst
San Francisco, CA
Rau-Kirlin
present
San Francisco, CA
Regulatory Reform & Compliance Analyst
present
  • Influencing change and partnering with Legal, Compliance, Regulatory Affairs, Regional Management and Cluster Heads
  • Partnering with compliance on the identification of new rules and amendments and developing scope in partnership with Legal and Compliance
  • Reviewing rules with the relevant Run the Bank (RTB) stakeholders to assess impact
  • Focusing on determining whether COO is operating effectively, with existing and expected Rules and guidelines and identifying potential gaps
  • Assessing how comprehensive COO is complying with rulemakings, through interaction with impacted RTB stakeholders and Compliance
  • Partnering with RTB and Change the Bank (CTB) during the CTB Project stage, to ensure consistent reform standards are applied
  • Escalating gaps and ensuring remediation through ongoing RTB stakeholder engagements
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Rutgers University
Bachelor’s Degree in Business
Skills Skills
  • Communicates ideas both verbally and in written form in a clear, concise, and professional manner
  • Comprehensive knowledge of at least one substantive area of compliance, such as banking regulations, anti-money laundering, or anti-corruption
  • Excellent analytical skills
  • Ability to understand and apply learned concepts
  • Ability to understand technical documents and legal or regulatory reference materials
  • Business fluent german/english
  • Willingness to travel
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15 Analyst, Regulatory Compliance resume templates

1

Regulatory Control Matrix Compliance Program Analyst Resume Examples & Samples

  • Assist in coordination and support the production of the regulatory risk matrix reporting for the EMEA region and demonstrate the oversight monitoring process by Compliance where appropriate
  • Collaborate and partner with EMEA countries, UK Product Compliance and relevant global functions across EMEA region
  • Partner with country compliance officers and local global function representatives to identify key legislation, controls and assessments and facilitate the roll out of the EMEA RCM Implementation
  • Support to ensure sustainability of RCM Program, including inventory quality and reporting capabilities
  • Work with colleagues to ensure the connectivity between RCM and other key compliance programs
  • Assist in delivering technology enhancements, including training to team members and other colleagues
2

Compliance Analyst Regulatory Intelligence & Public Entities Resume Examples & Samples

  • Ability to interact with a wide range of Key employees at all levels within the organization
  • Conduct research and advise employees related to Public Entities policies and procedures including gifts and entertainment, political activity, and procurement lobbying
  • Engage with business partners to ensure that regulatory changes are identified, assessed and appropriately implemented. Utilize good judgment in analyzing and escalating
  • J.D. and 1-5 years of experience
  • Has a high ethical standard and ability to maintain confidentiality
  • Prior experience with identifying and summarizing regulatory changes with respect to the financial services industry
  • Project management experience a plus
3

Regulatory & Core Compliance Analyst Resume Examples & Samples

  • Bachelor’s degree in business, management, finance, accounting, or similar study
  • 2+ years of experience in a similar role
  • Strong communication, writing and inter-personal skills
  • Independent thinker and team player
  • Experience in compliance or other experience in the regulated financial services industry
  • Understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other relevant federal securities laws
4

Senior Compliance Analyst Regulatory Resume Examples & Samples

  • Advise employees on applicable regulations and Citi policy
  • Review requests by employees to make personal political contributions or to provide gifts, meals or entertainment to public officials, and approve or deny based on applicable laws, rules and regulations
  • Work with various business units to identify employees involved in specific, regulated activities and provide related training
  • Draft policies, procedures, and supporting materials, and coordinate with relevant stakeholders on implementation
  • Perform monitoring and surveillance of political activities and gifts and entertainment data to identify instances of non-compliance; analyze trends and report to management
  • Liaise with audit and testing teams, business compliance officers, and information technology on political activities and gifts and entertainment issues
  • Participate in the development and implementation of automated systems used by the department; assist employees with questions related to system use
  • Complete special projects as needed to comply with new laws; to further develop the Political Activities unit; and in support of compliance initiatives
  • Bachelor’s degree required; MBA or strong business or finance education preferred
  • 3+ years of relevant experience or equivalent
  • Strong software proficiency (MS Word, PowerPoint, SharePoint); deep understanding of MS Excel, including comprehension of data analytics
  • Ability to read, understand, apply and explain relevant laws, rules, regulations and policies
  • Solid interpersonal, writing and speaking skills
  • Demonstrated work ethic, self-motivation and commitment to the highest standards of professional integrity, maturity and judgment
  • Compliance, risk management, legal or regulatory background desired, ideally in a financial services organization
5

Intermediate Compliance Analyst Regulatory & Policy Resume Examples & Samples

  • Support examination leads in coordinating and overseeing regulatory examinations
  • Develop and maintain tool to track examination document requests
  • Work with businesses and functions to identify and collect requested documents
  • Maintain examination files and records
  • Coordinate onsite visits by examiners and schedule requested meetings
  • Produce examination reports and metrics for senior management
  • Work with representatives of ICG business and functions while gaining exposure to various products and businesses
  • Excellent interpersonal, organization and communication skills
  • Ability to multi task and prioritize workload
  • Proficiency in SharePoint, Excel, PowerPoint and Word required
  • Ability to work collaboratively in a fast paced environment
  • Exceptional judgment
  • Prior experience in a Legal/Compliance/Controls area of a financial services company and knowledge of financial services regulation preferred
6

Compliance Analyst, Regulatory Supervision Resume Examples & Samples

  • Bachelors degree or equivalent experience required
  • A minimum of 2+ years experience preferred
  • FINRA Series 26 required within 90 days
  • Ability to exercise a high degree of independence
  • Interest and ability to perform presentations at the leadership level
  • Experience working within a Financial Services or highly regulated environment
7

Analyst Portfolio Compliance Regulatory Resume Examples & Samples

  • Becoming acquainted with Bloomberg and BlackRock’s various Aladdin applications, trade flow process, and data environment to ensure new issue purchases were pre-cleared and appropriately allocated
  • Liaising with internal and external partners to obtain and review documentation to ensure compliance with policies
  • Assist global teams in preparing tax reports as per the local regulatory requirements
  • Monitor and perform checks on various Fiduciary activities
  • Experience of working in the investment management industry and of investment products preferred
  • College Graduates with a background in finance or similar fields
8

Coo-mcc Compliance Regulatory Advisory & Monitoring Analyst Resume Examples & Samples

  • Validate accuracy of MCC documentation, including Methodology, Tolerances, Materiality Filters & KOPs
  • Conduct a 4-eye review of all potential off-market escalations from MCC Finance to Onshore Compliance
  • Ensure all escalations identified as breaches are accurately documented and have undergone senior management review
  • Review integrity and independence of data sources utilized by Finance MCC and ensure data sources are accurately maintained
  • Ensure Business line adherence to L1 ‘off market’ exceptions approval process
  • Conduct periodic review of records of L1 approval documentation, consents, booked trades and relevant archiving
  • Assist in the development and conduct of the MCC Policy (L3) and in the bank-wide training on the Policy
  • Provide bespoke training for Finance RPL and MCC as necessary
  • Review and sign-off on all materials provided to global regulators in relation to enquiries on MCC process/monitoring
  • Create MCC CRAM MI and support the monthly MCC MI Dashboard
  • Ensure adequacy of documentation on all roles and responsibilities of MCC relevant functions
  • Review the effectiveness of L1 (DCO) MCC control framework e.g. definitions, policy and procedures, approval process, supporting documentation and archiving
  • Perform sample checking for correct mapping of new books as MCC exempt/ non-exempt
  • Perform sample review of existing books tagged as exempt from MCC to confirm if appropriately tagged
  • Validate MCC exceptions determined by Finance with Front Office
  • Perform deep dive in MCC exempt trading books to ensure no MCC relevant in-scope trading activity
  • Ensure product completeness for MCC through independent liaison with Divisions/Businesses
  • Ensure the timely review of open potential escalations and backlog responses
  • Review the adequacy of ‘intra-day pricing’ calculation and perform subsequent monitoring of output
  • Conduct period review of filtering thresholds applied in MCC Tracker and validate the appropriateness of thresholds
  • Review compatibility and accuracy of supporting documentation for product thresholds
  • Monitor MCC tracker warning and alerts for outages, missing and/or completeness of feeds, system processing capacity and resiliency
  • Assist MCC Compliance in meeting regulatory requirements including bespoke divisional, product, legal entity reporting and MI functionality
  • Actively supports the business strategy, plans and values, contributing to the achievement of a high performance culture
  • Takes ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution
  • Acts as a role model for new employees, providing help and support to facilitate early integration and assimilation of their new environment
  • At least 6 years of relevant work experience in a bank or financial institution
  • Knowledge of the regulatory and compliance environment affecting the banking industry
  • Strong knowledge of financial instruments and banking products, including the OTC market
  • Knowledge of Investment Banking business processes - front to back
  • Proven experience in business and data analysis and working to tight deadlines whilst achieving good quality outputs
  • Good oral and written communication skills proven through report writing experience
  • Results orientated and ability to work in a fast paced environment
  • Strong working knowledge of Microsoft Excel, Word, Visio and PowerPoint
9

Senior Compliance Analyst Regulatory Response Resume Examples & Samples

  • Assist with regulatory exams and inquiries as well as assist with the development and maintenance of written supervisory procedures
  • Review and approve securities transactions for suitability and documentation, including variable annuities, mutual funds, equities, and alternative investments
  • Project management, planning and issue resolution – This role will be relied upon to handle complex issues and aggressive deadlines
  • In conjunction with the Regulatory Affairs and Litigation groups within the Legal department, collect, analyze and provide books and records for regulatory and litigation matters
  • Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes
  • 4+ years of industry experience, which is defined as significant experience working in the brokerage or investment advisory industry handling compliance issues
  • Series 7, 66 (or 63 and 65). 24 (or 9 and 10), 53 required (or the ability to obtain S53 within 90 days)
  • Series 4 and Life and Health Insurance license a plus
  • Strong knowledge of FINRA, SEC and State rules and regulations
  • Knowledge of mutual funds, annuities, general securities, and other financial products
  • Ability to develop compliance processes and strategies for effective supervision
  • Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
  • Exceptional oral and written communication skills and the ability to independently draft letter and other documents
  • Proficiency with all Microsoft applications, particularly Excel, Word, Access and PowerPoint
10

Regulatory Reform & Compliance Analyst Resume Examples & Samples

  • Driving the regulatory and assurance reform life cycle for your areas
  • Managing the relationships with other areas of COO, dealing with cross business units including Corporate & Investment Banking, Global Markets, Asset Management, Private, Wealth and Commercial Clients for consistency in approach and knowledge-sharing
  • Focusing on a sub-set of COO operations, namely those impacting Tier 1 and Tier 2 Regulations i.e. European Market Infrastructure Regulation, Markets in Financial Instruments Directive 2, etc
  • Focusing on determining whether COO is operating effectively, with existing and expected Rules and guidelines and identifying potential gaps
  • Influencing change and partnering with Legal, Compliance, Regulatory Affairs, Regional Management and Cluster Heads
  • Operating within a regulatory reform and assurance structure, that ensures COO is compliant with new and amended rules and regulations
  • Partnering with compliance on the identification of new rules and amendments and developing scope in partnership with Legal and Compliance
  • Reviewing rules with the relevant Run the Bank (RTB) stakeholders to assess impact
  • Partnering with RTB and Change the Bank (CTB) during the CTB Project stage, to ensure consistent reform standards are applied
  • Raising regulatory awareness across COO for rules, including regular stakeholder meetings, Cluster meetings, Executive Committee material, intranet site contributions
  • Driving regulatory compliance projects, including supporting global regulatory adherence projects
  • Partnering with Compliance to develop an understanding of the rules which COO Operations and Technology should be following
  • Determining COO impacted areas
  • Assessing how comprehensive COO is complying with rulemakings, through interaction with impacted RTB stakeholders and Compliance
  • Escalating gaps and ensuring remediation through ongoing RTB stakeholder engagements
  • A Bachelors degree in Banking, Finance or similar background, or have the equivalent experience or qualifications
  • Strong thought-leadership skills, with an ability to influence across all levels of an organisation
  • A sound understanding of COO Operations and Technology functions (beneficial)
  • Familiar with the Deutsche Bank UK & Ireland environment and structure
  • Strong communication and negotiation skills across all levels, including targeted communication and escalation to appropriate audience levels
  • Strong interpersonal skills across a broad set of stakeholders
  • Fluency in an additional European Language in both writing and verbally (beneficial)
11

Regulatory Compliance Senior Analyst Resume Examples & Samples

  • Participate in the Regulatory Change Management process (evaluate, disseminate, and monitor relevant insurance laws and regulations throughout CNA)
  • Conduct research into laws and regulations, complete reviews, make recommendations, and oversee implementation of changes as necessary
  • Participate in processes to strengthen the company’s compliance program and mitigate compliance exposures, such as economic sanction screening and enhancements
  • Utilize compliance trends and data to identify business processes for review
  • Strong understanding of corporate regulatory compliance practices with a preference for specific insurance related compliance knowledge
  • Strong analytical and problem solving skills with the ability to effectively resolve moderately complex situations and issues
  • Detail-oriented with strong project management, organization and planning skills with the ability to manage multiple projects effectively
  • Strong interpersonal, presentation, verbal and written communication skills with the ability to effectively interact with internal and external business partners
  • Strong knowledge of Microsoft Office Suite and other business-related software systems, including processing systems and applications
  • Bachelor’s degree in a related discipline, or equivalent
  • Typically 3-5 years of related work experience
  • Law degree or compliance certification preferred
  • Strong interest in compliance required
12

Regulatory Service Compliance Analyst Resume Examples & Samples

  • Monitors and communicates regulatory changes that impact FIS services and business activities
  • Responds to issues and matters pertaining to regulatory compliance of FIS services and business activities
  • Performs periodic reviews and evaluations of FIS services and business activities to validate compliance with
  • Communicates ideas both verbally and in written form in a clear, concise, and professional manner
  • Business fluent german/english
13

Regulatory Compliance Data Analyst Resume Examples & Samples

  • Develops process mapping documentation for complex business processes
  • Researches institution’s applications and data repositories to identify data sources for development of metrics and key risk indicators
  • Collaborates with subject-matter experts in Regulatory Compliance to create interactive workpaper templates for conducting compliance monitoring activities
  • Conducts data quality reviews to ensure data integrity for all metrics, dashboards, and reporting produced
  • Conducts routine and ad hoc data analysis activities in support of the Regulatory Compliance Program
  • Creates and maintains data governance documentation for all reporting produced
  • Produces written reports and presentations
  • College degree required, preferably in management information systems (MIS) or related field of study
  • Advanced Microsoft Excel skills required
  • 1-3 years in an analytics role with a financial institution or in a risk management function
  • Familiarity interpreting and creating Key Risk Indicators (KRIs) desired
  • Familiarity with database management systems and reporting tools (Tableau, OBIEE or similar) preferred
  • Risk management experience preferred
14

Bank Regulatory Compliance Senior Analyst Resume Examples & Samples

  • Knowledge of, and experience working with, federal banking regulations, such as Truth in Lending, RESPA, Equal Credit Opportunity, Electronic Funds Transfer, Truth in Savings, Availability of Funds, and Bank Secrecy Act Regulations
  • Minimum 3-5 years of experience working with banking regulations
  • Certified Anti-Money Laundering Specialist (CAMS) a plus
  • Certified AML and Fraud Professional (CAFP) a plus
15

Regulatory & Compliance Senior Analyst Resume Examples & Samples

  • Ability to work independently, under general guidance
  • Experience working in a team environment
  • Experience establishing COOP Programs for Federal or private sector clients
  • Experience developing continuity plans to include COOP plans, business continuity plans and information system contingency plans (ISCP)
  • Experience in the health sector
  • Continuity planning or related certification (DRII, FEMA etc.)
  • M.A. / M.S. degree
16

Advisory Regulatory & Compliance Project Delivery Analyst Resume Examples & Samples

  • Typically has 1 or more years of consulting and/or industry experience
  • Ability to work independently under general guidance
  • Experience working in teams and in a team environment that is process-oriented and deadline-driven
  • Problem solving and troubleshooting skills with the ability to exercise mature judgment
  • Asset Management expertise
  • Experience with conducting existence & completeness training, valuation, data reconciliation, warehouse testing, and developing research papers on relevant guidance
  • Experience with developing and conducting testing plans based on FIAR guidance and other authoritative audit readiness guidance
17

Regulatory Compliance Senior Analyst Resume Examples & Samples

  • Monitor functional and operational areas for compliance risks related to State and Federal regulations. This is accomplished through formal and informal monitoring and assessment activities, and may include government regulatory agencies (ex. HIPAA, HITECH, Medicare, Medicaid, etc)
  • Identify and interpret new State and Federal laws, regulations, and other contractual requirements by providing notification to internal and external customers, obtaining necessary approvals for implementation, and implementing and monitoring of the applicable law, regulation, or requirement and its impact to Dell and Dell customers
  • Respond to internal NTT Data and external customer legal, compliance, or audit inquiries relating to day to day business situations by conducting research and composing appropriate opinions
  • Manage the regulatory compliance relationship with customers and/or regulatory agencies
  • Participates in forums and organizations, internal and external, to review training and educational materials regarding regulatory guidelines and mandates
  • Assist AML Officer to collaborate with various Administrative Teams in implementing AML requirements and reviewing financial transactions for potential AML red flags
  • 6+ years of relevant compliance related experience or equivalent combination of education and work experience
  • Experience analyzing and applying State and Federal regulations
  • Experience working with AML requirements, to include reviewing financial transactions for potential AML red flags
18

Compliance Analyst, Regulatory Response Resume Examples & Samples

  • Respond to complaints and inquiries received through the Bank regulatory agencies
  • Use intelligence gathered from complaint analysis to identify areas of regulatory concern and process improvement. Share opportunities with Compliance Advisory and other business partners to facilitate corrective action or process enhancements
  • Serve as subject matter expert for complaints in general and specifically the area of the business assigned. Partner with Compliance Advisory to provide insight to detailed complaints and high level trending to impacted business area(s)
  • Assist with and/or lead process improvement project or initiatives to enhance the complaint response process. Projects typically would entail partnership with other areas of Compliance and the business
  • Assist in responses to complaints and inquiries received through other channels, such as the Better Business Bureau
  • 1 to 2 years work in banking or compliance field
  • Additional Knowledge, Skills, and Abilities
  • Deadline driven - can prioritize and recognize and communicate roadblocks
  • Ability to work in collaborative environment
  • Prior experience handling escalated situations or consumer complaints
  • Alliance Data is an Equal Employment Opportunity employer
19

Regulatory & Compliance Documentation Analyst Resume Examples & Samples

  • Document CCAR and other stress testing methodologies for Trading, Counterparty and CVA businesses
  • Liaise with team members and modelers in completing documentation requirements under tight time pressure
  • Maintain high degree of documentation standards per internal specifications and targeted to satisfy regulatory expectations
  • Liaise with team members, Technology and modelers within the Firm to ensure all regulatory deliverables are met with sufficient evidence
  • Ensure timely production of reporting for senior management related to regulatory exams and internal audits
  • Suitable candidates will have an excellent academic background, preferably in, but not limited to a Bachelor’s Degree in economics or finance
  • Attention to detail, project management and organizational skills will be key in balancing daily deadlines with timely review and implementation of regulatory guidance
  • Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines
  • Proficiency in Microsoft Office applications, especially Excel and PowerPoint
20

Analyst Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume Examples & Samples

  • Provides direct support to AVP & Director Corporate Compliance, HIFC CCO and HIFC Senior Managers, RC RBWM
  • Satisfy MFDA Policy 2 requirements for Account Supervision
  • Report all material and significant breaches or potential breaches of regulations or compliance
  • Participate in special compliance projects and training efforts
  • Minimum of 2-3 years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
  • Bachelor’s degree in business, finance, accounting, law, or related field or equivalent experience
  • Mutual funds and Branch Managers Course (IFIC, ICB or CSI) is required. CFP or financial planning knowledge is considered an asset
  • Experience dealing with laws, regulations and regulatory compliance requirements related to the MFDA and retail mutual fund sales will be considered an asset
21

Business Analyst Regulatory Compliance Resume Examples & Samples

  • Strong working knowledge of the practices and procedures of medical practices, and other healthcare related facilities is mandatory
  • Excellent written and verbal communication skills a must
  • Excellent problem solving, interpersonal communication and project management skills a must
  • Ability to identify, coordinate and schedule critical tasks
  • Ability to perform software and technical assessments in concert with both internal and external business representatives
  • Ability to work effectively both independently and in a team environment
  • Agile Methodology Skills - Strong Experience in Agile Methodology. Estimations in Agile, breaking specs to epics & user stories, Sprint Planning support, Retrospective & Scrum meetings
  • Certified Scrum Product Owner (CSPO) or PMI Agile Certified Practitioner (PMI-ACP) a strong plus
  • Minimum 5 years’ experience developing business requirements within product development
  • Must possess a detailed understanding of user requirements and effective and accurate implementation of technical specifications
  • Must have the ability to aid in the identification, coordination and scheduling of critical tasks
  • Bachelor’s degree or higher in Information Systems, Computer Science, or related field strongly preferred
  • Currently working in an industry related to eHealth strongly preferred
  • Background with other software companies with high focus on growth based and innovative software products a plus
22

Analyst, Regulatory Compliance Resume Examples & Samples

  • Develop compliant nutritional information and ingredient statements, utilizing nutritional analysis software
  • Leverage JMS systems to develop compliant allergen statements and other regulated labeling information
  • Review and document claim validation to substantiate claims
  • Provide peer-review of the technical label information, as needed
  • Build a working knowledge of US and/or Canadian regulations
  • Serve as a regulatory resource for the brand and initiative teams
  • At least 6 months of nutrition/dietetics, regulatory, and/or food science experience is required
  • Prior experience in nutritional analysis software is a plus
  • Canadian food regulation and/or Pet food regulation experience is a plus
  • Strong mathematical background is a plus
23

Regulatory Compliance CTR Analyst Resume Examples & Samples

  • Monitoring day to day Bank Secrecy Act, Anti Money Laundering cash transactions that meet the Currency Transaction Report filing requirements
  • Identify reportable transactions and accurately file all requires Currency Transaction Report reports and Currency Transaction Report exemptions
  • Review system generated Currency Transaction Report alerts that may require reporting based on Bank Secrecy Act, Anti Money Laundering regulatory requirements
  • Gathering data necessary to determine whether activity is in the scope of Currency Transaction Report reporting
  • Conducting due diligence on customers
  • Ensure problem escalation, mitigation, and preventative measures are consistent with regulatory requirements
  • Bank Secrecy Act, Anti Money Laundering knowledge working with Currency Transaction Report and Monetary Instrument record keeping
  • Review system generated alerts to assess presence of illicit activity that may require reporting based on Bank Secrecy Act, Anti Money Laundering requirements, conduct research as required, and document detailed results in written format
  • File multiple Currency Transaction Reports for customer relationships identified
  • Identifies suspicious activity monitoring, including data collection, monitoring, research, analysis, and compilation of evidence to effectively support Bank Secrecy Act, Anti Money Laundering objectives
  • Analyze and interpret monthly key risk indicators and statistics to identify operational issues requiring further attention
  • Assess the effectiveness of systems, processes and tools used to monitor Currency Transaction Report risks and identify opportunities for improvement
  • Recommend enhancements to the Bank Secrecy Act Department manager to ensure ongoing improvement and evolution of governance programs and practices regarding Currency Transaction Report reporting
  • Monitor the moderate complex accounts to identify suspicious activity and the avoidance of Currency Transaction Report reporting
  • Provide day to day information regarding the operational functions of the Currency Transaction Report process
  • Scrub business line data to ensure that all Currency Transaction Report transactions are filed and recorded
  • Conduct annual Currency Transaction Report exemption reviews
  • Ensure proper record retention of all Currency Transaction Reports and exemption documentation for years
  • 2 or more years Banking in Bank Secrecy Act and Anti Money Laundering. (Preferred)
  • 2 or more years General working knowledge of banking operations, including but not limited to the following: core banking systems, transaction processing, policy and procedural workflows of products and services. (Preferred)
24

Analyst, Regulatory Compliance Resume Examples & Samples

  • Reviewing high volumes of daily AML/ATF alerts, accurately identify false positives and be able to conduct client assessments to determine risk to ensure regulatory requirements and internal standards are met
  • Collaborating with business partners to identify high risk clients and ensure client identification information is kept up to date, undertaking enhanced due diligence measures
  • Investigating, closing or escalating UTRs as required using administrative record-keeping systems and interaction with business partners
  • Assisting with the development and review of AML/ATF reports for senior management and to identify gaps, trends, and opportunities for improvement
  • Assisting with the ongoing maintenance of the SLFC AML/ATF Policies and Procedures Manual
  • Investigating ad-hoc business or Money Laundering Reporting Officer (MLRO) client due diligence requests
  • Staying current on AML/ATF regulatory requirements and sharing this knowledge with business partners
  • Participating in various AML/ATF initiatives and tasks as required
  • A minimum of 2 years of progressive experience in regulatory compliance or governance, risk and controls in the financial services industry
  • Interest in regulatory compliance, AML/ATF regulation
  • High degree of accuracy and attention to detail
  • Good time management skills, with the ability to prioritize and meet deadlines
  • Works well in a team
  • Highly motivated self-starter with the ability to work without close supervision
  • Proficient knowledge of Microsoft Office and internet/web navigation
  • Good knowledge of the business operations of SLF and particularly SLF Canada
  • CAMS certification (or working towards)
  • University degree preferred within related field
  • Bilingual (English/French/Chinese)
  • Prior experience with transaction monitoring or administrative record-keeping systems
  • Understanding of AML/ATF regulatory requirements
  • LI-BY1