CAO Operations Resume Samples

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AA
A Armstrong
Aletha
Armstrong
1440 Rohan Crescent
San Francisco
CA
+1 (555) 923 4596
1440 Rohan Crescent
San Francisco
CA
Phone
p +1 (555) 923 4596
Experience Experience
Los Angeles, CA
CAO Operations
Los Angeles, CA
Robel, Nienow and Gorczany
Los Angeles, CA
CAO Operations
  • Developing process flows for strategic initiatives and assisting in the development of target operating models
  • Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes
  • Responsible for talent development, including: recruiting, on the job training, coaching, performance management and issue resolution
  • Assist with UAT planning; write and review test scripts, manage UAT testers; manage the defect resolution process and participate in testing at times
  • Provide the Technology input to create User Stories as they build their Agile development plans
  • Provide Technology input to create User Stories as they build their Agile development plans
  • Analyze processes and workflows to improve existing and implement new process/flow solutions
Chicago, IL
CAO Operations Analyst
Chicago, IL
McKenzie-Terry
Chicago, IL
CAO Operations Analyst
  • Assist clients with GEMS process and content, develop and execute test plans / test scripts, assist in managing the overall project governance
  • Develop, track, analyze, and publish project reports, resource management reports, project summaries, scorecards and program/project performance trends
  • Manage the WRM process, create op models for the process, and lead the monthly operate release process
  • Provides Control and Compliance Support
  • Maintains and provides Training
  • Assists with RDI Onboarding
  • Assists with SDM Admin duties
present
New York, NY
CAO Operations Specialist
New York, NY
Swift, Koepp and Beer
present
New York, NY
CAO Operations Specialist
present
  • Relationship Management
  • Manage business partner expectations and build a good rapport
  • Knowledge of external reference data providers –BLOOMBERG, REUTERS, etc. will be an advantage
  • Create new instruments for various Equities, Fixed Income and Equity Derivatives products in Reference Data system
  • Participate/Coordinate in special projects such as; data clean up, process improvement analysis, metrics reporting
  • A proactive approach to problem solving, taking ownership of issues and having the determination to follow things through
  • Flexible and willing to stretch
Education Education
Bachelor’s Degree in Confidentiality
Bachelor’s Degree in Confidentiality
University of Memphis
Bachelor’s Degree in Confidentiality
Skills Skills
  • Strong documentation skills to clearly articulate alert disposition
  • Proficiency in MS Word and Excel
  • Adaptable, flexible, and willing to work in a dynamic environment
  • Able to meet goals and quotas
  • Document proposed target state offering; coordinate with Vendor Management, Operations and Tech partners to ensure all gaps vs. the current offering are comprehensively documented
  • Strong analytical/time management skills
  • Strong sense of accountability and ownership over “quality” and end-to-end best practices
  • Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up
  • Ability to understand the Corporate standards with respect to the identification of our direct clients and related parties; socialize these adopted standards into the holistic WCOB KYC due diligence process
  • Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control
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1 CAO Operations resume templates

1

CAO Operations Resume Examples & Samples

  • Understanding of ACCM products, services and markets
  • Highly motivated, energetic self-starter who takes ownership
  • Good organizational skills - manages & prioritizes multiple tasks across different time horizons within deadlines
  • Understanding of the end to end product (Clearing and Collateral) life cycle
  • Investigative mindset, able to see issues at both a high-level and in detail, and understand applicability across the business
  • Strong analytical, problem solving & process re-engineering skills
  • Excellent Excel, Word, PowerPoint skills
  • Strong team player with excellent partnering and influencing skill
2

CAO Operations Resume Examples & Samples

  • Lead the global Desktop Procedures team for the development of KYC On-boarding, KYC File Renewal and Remediation procedures
  • Ensure all procedures are complete, correct and fully communicated to all KYC on-boarding teams globally
  • Provide guidance and direction for questions from on-boarding teams regarding how to execute/complete the KYC standards as required for all client on-boarding’s, renewals and remediations
  • Develop a strong working relationship with COB Global team members, AML Compliance and Quality Assurance
  • Liaise with internal teams discuss AML/KYC requirements and convey KYC approval status
  • Assist with audits and AML/KYC related issues
  • Assist with departmental projects as needed
3

Business Management, CAO Operations Resume Examples & Samples

  • Manage Real Estate requirements in all regions; tracking footprint and seats, organizing and executing moves, documenting strategy and progress towards the location strategy in a fast-paced, quickly changing environment
  • Track headcount and financials and develop reports for senior management
  • Assist in driving overall strategic agendas and prioritization process
  • Help to develop materials and drive town halls, off-sites, and weekly management meetings
  • Support creation of executive level presentations on strategy, budget, project delivery, controls, risks, etc
  • Provide senior manager management reporting, communication and client reporting, focusing on the overall business unit performance against objectives; proactively highlight issues and risks to the objectives, derive solutions and drive remedies to completion
  • Department Logistics - coordination for administrative functions within the CAO Operations organization
  • Vendor Strategy -participate in vendor strategy for CAO Operations working with sourcing team to lead contract initiation, bidding, RFP reviews, selection criteria and vendor selection; coordinate the review and approval of vendor statement of works
  • Special Projects - participate in initiatives as assigned by senior management team including presentations, ad-hoc analysis, and support
  • 3+ years of related experience; finance, business management and/or compliance related
  • Clear communication skills, and the ability to articulate complex issues concisely
  • Strong Excel and PowerPoint skills are essential
  • Leadership, relationship-building and influencing skills to drive agenda’s across a number of functions
4

CAO Operations Resume Examples & Samples

  • Management of Accounts Receivable/Payable spreadsheet
  • Monthly manual depository reconciliations to 3rd party statements
  • Chasing non receipts of funds
  • VAT/Corporate tax team partnership and build out tax logic workflows
  • Regulatory/Insurance reporting
  • Monthly YTD Income and Expense reporting for actuals/accruals
  • Future plans - Drive strategic delivery of target state billing system, working closely with the commodities project /tech leads and providing our ‘build’ requirements
  • Good knowledge of UK/Swiss Tax laws
  • Nostro / GL / Depository reconciliations
  • Strong excel skills (advanced)
  • MIS /Reporting preparation and distribution
  • Control mindset
  • Good client service skills
  • Expected to be able to work under pressure in a fast paced environment for extended periods and meet deadlines
  • Be flexible and adaptable in working hours, especially for month end tasks
5

CAO Operations Resume Examples & Samples

  • Financial Benchmarks: Driving development of a global and firm-wide governance,
  • Oversight and control framework that covers a broad range of financial benchmarks
  • Beyond LIBOR and Foreign Exchange rates. This requires working with Senior
  • Business Sponsors, Compliance, Legal, Business Control Officers and external advisors
  • Conflicts of Interests: Driving the on-going development and evolution of the global and firm-wide Conflicts of Interest control framework, by working with senior business sponsors and business control officers across the entire range of CIB businesses
  • Office of Legal Obligations: Support the definition and rollout of a framework to create and maintain a sustainable mapping of policies functional owners and supporting documentation of the firm’s legal obligations. Any new or unforeseen project or programme that may be tasked to the group
  • Provide support to the programme lead across large scale CIB wide programs addressing key concerns raised by regulators. Examples include: supporting the required formal governance frameworks, alignment of resources, issue management etc
  • Active engagement and partnership with senior LOB and Functional stakeholders impacted to ensure execution of deliverables is successful
  • Presentation and communication of keys program status updates ( and supporting details) to Senior Management or Control forums
  • Demonstrate thought leadership in area program is addressing
  • Fostering a culture of collaboration and information sharing to ensure silos are broken down and synergies can be created and best practice shared
  • Detailed knowledge and experience of at least one LOB within CIB (ideally Markets given current portfolio of work), preferably in Business Management, Control Office or Compliance functions
  • Working knowledge of control infrastructure (e.g. RCSA) and exposure to regulatory concerns in the LOB’s
  • Proven execution skills and experience on complex business focused programs demonstrating excellence and efficiency
  • Excellent communication skills both written and verbal with the ability to convey complex messages simply
  • Ability to work autonomously and take the initiative to develop proposed solutions where there may be an element of ambiguity
  • Energetic, self motivated and effective under pressure - must enjoy the challenge of working within a fast-paced, changing and demanding working environment
  • Good judgment, maturity and poise to enable interaction with senior level staff
  • Strong ability to prioritise, organise and project manage
  • Expertise in Excel and PowerPoint
6

CAO Operations Resume Examples & Samples

  • Performs quality evaluations on defined samples of completed KYC recrods
  • Partner with AML Compliance to build a strong understanding of regulations that outline how the KYC process is designed
  • Build strong working relationships with Quality Control Team, Compliance, Audit, KYC Officers and business segments
  • Track and review Quality Assurance observations with the Line of Business and Quality Control management team
  • Manage multiple deadlines in a fast paced environment
  • Formulate recommendations to further enhance the overall Due Diligence process
  • Perform root cause analysis and identify solutions and best practices to support quality of KYC Due Diligence in alignment with Global KYC Standards and guidance
  • Assess the need for process/ procedural changes and escalation as appropriate
  • Assist in the implementation of new policies and procedures as appropriate
  • Maintain a continuous improvement philosophy, conceptualizing the vision for future enhancements to the Quality program
  • Participate in and Lead team discussions on the calibration of findings and build consensus prior to finalizing records
  • Review QA Testing results with appropriate management on a regular basis as prescribed by the function
  • Maintain/escalate QA/Testing reporting metrics for inclusion in monthly reporting requirements
  • Self motivate and partner with the QA team to maintain high performance
  • Maintain confidentiality of sensitive client information
  • Commitment to performance management
  • Contribute to meeting quality and production results as a member of a high performing team in a fast paced dynamic environment
  • Possess strong analytical skills, high level of verbal and written communication skills
  • Possess the ability to successfully build internal and external relationships with individuals of all levels
  • Comfortable with handling difficult conversations in a pragmatic but direct fashion
  • Challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective
  • Understand the regulatory and legal landscape related to AML / KYC
  • Relevant experience in AML/KYC, Compliance, and/or Risk Management
  • Strong understanding of AML/KYC regulatory requirements
  • Ability to meet quality and performance metrics and service level agreements
  • Demonstrated ability to raise issues or information to relevant stakeholders or management with respect to the control environment and to present the issue or information in a concise and effective manner
  • Builds a sense of community, contributing to a positive team environment and modeling a global, diverse mindset and inclusive behavior
  • Strong interpersonal skills and ability to influence others for results
  • Strong project management skills and ability to meet deadlines in a fast paced environment
  • Proven ability to communicate effectively both verbally and in writing
  • Experienced in providing innovative and proactive solutions
  • Proficient with Microsoft Office including Microsoft SharePoint
7

CAO Operations Resume Examples & Samples

  • Analysis and planning of the Markitwire enhancements, including testing & global co-ordination
  • Governance& reporting of Markitwire related projects, tracking to internal and external deadlines
  • Global co-ordination and tracking of Markitwire testing cycles
  • Progress, issue tracking & resolution
  • Communication to stakeholders including - technology, operations, legal, compliance, treasury and other support groups
8

CAO Operations Resume Examples & Samples

  • Business Requirement Documentation based on the relevant business analysis
  • Review and approve Functional Specification Documentation
  • Definition of testing strategy
  • UAT management
  • Release management
  • Business Analyst skill is a must
  • Project Management skill is a plus
  • Knowledge on various regulation is a plus
  • Experience in technology business analysis is a plus
  • Product knowledge on Equities and derivatives is a plus
  • Experiences in a line role is a plus
9

CAO Operations Resume Examples & Samples

  • Assist with strategic direction for asset pricing across the firm and ensuring requested changes are aligned with the strategic vision
  • Maintain the Global Asset Pricing policy and recommend best practice pricing methodologies & hierarchies, e.g. the recommended ‘Gold’ vendor hierarchy
  • Review change initiatives to ensure compliance with Global Accounting & Regulatory changes, e.g. IFRS7, FRS29, FAS157, SSAE16 etc
  • Represent Asset Pricing in client due diligence overviews and in completion of RFP’s for potential new clients
  • Partner with business and tech leads to explore existing requirements and offerings
  • Document proposed target state offering; coordinate with Vendor Management, Operations and Tech partners to ensure all gaps vs. the current offering are comprehensively documented
  • Build network of relationships within the pricing community across the firm
  • Assess pricing treatment & vendor coverage for new instrument types
  • Actively participate in the Global Pricing Committee monthly meetings
  • Strong communication skills and proven ability to develop collaborative relationships with business partners are essential
  • Business Analysis and Requirement Writing experience is essential
  • Demonstrated Subject Matter Expertise in pricing of exchange traded products, debt instruments, Funds, Fx and Interest rates
  • Strong knowledge of and experience with data vendor pricing products and capabilities
  • An experienced individual who has held previous roles in Middle and or Back ideally in an environment where Pricing was performed
  • Strong data management skills
  • Prepare presentations and reporting for Senior Management and clients
  • Ability to think strategically but have strong attention to detail
  • Proven analytical, organizational and planning skills
  • Ability to interrogate data, draw conclusions and present recommendations
  • Strong written and presentation communication skills
  • Demonstrated problem resolution skills and ability to assess and prevent Operational Risk
10

CAO Operations Resume Examples & Samples

  • Perform ongoing formal testing of completed KYC records to ensure standards are met
  • Review the quality of completed KYC records using pre-defined test scripts which are based on KYC and Quality Assurance standards
  • Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate)
  • Identify key issues, risks, trends, observations and provide reporting of results to key stakeholders
  • Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes
  • Present findings via formalized feedback loop process, track and monitor corrections to identified critical defects
  • Present complex and sensitive issues to senior management in a persuasive manner
  • Work with Global Partners to ensure consistency with the Global QA framework and governance approach
  • Consider regulatory requirements and best practices to implement changes to process
  • Effectively communicate with key points of contact to ensure the fluid sharing of information and feedback across pertinent teams
  • Maintain the highest level of confidentiality throughout the QA process, disclosing only pertinent information to key stakeholders
  • Review discrepancies or newly discovered trends with QA Managers in CAO for proper disposition and potential amendments to procedures
  • Experience within Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
  • Knowledge of JPMC KYC standards, guidelines, policies and procedures and CIB KYC requirements
  • Strong research, analytical and comprehension skills, with ability to analyze large amounts of data
  • Proven ability identifying issues/defects and recommending solutions
  • Demonstrated experience adhering to controls and compliance standards
  • Bachelor’s degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience
  • Strong Communication skills including written, verbal, and interpersonal
  • Results-oriented Team Player
  • Ability to multi-task and meet deadlines against a high volume work schedule
  • Must be detail oriented, well organized, and a self starter
  • Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and PowerPoint
  • Working knowledge of MS office & MS SharePoint
11

CAO Operations Resume Examples & Samples

  • Analyse, investigate and research alerts comparing our account holders and their transactions against Global Screening Lists
  • Conduct review to determine if a true match to a suspect name
  • Disposition and fully evidence all alerts, including supporting data and rationale within the case management system in a timely manner
  • Build relationships with global partners, GFCC (Global Financial Crimes Compliance) and Lines of Business
  • Function as a key contributor with demonstrated knowledge of screening issues, as well as broader functional knowledge
  • Participate in the development of goals and execution of strategies within the function or department
  • Support testing to ensure operational readiness for new feeds/projects
  • Contribute to development and update of procedural documentation
  • Experience of banking processes, products and systems preferred
  • Prior knowledge/experience of Sanctions, PEP’s and Negative Media would be an advantage
  • Good research and analytical skills
  • Strong interpersonal and verbal/written communication skills
  • Proficient in MS Office (with a focus on excel, word and power point)
  • Adept at multi-tasking and meeting deadlines in high-pressure environment, driven by regulatory requirements
  • High level problem solving ability coupled with the ability to recommend and make decisions autonomously
  • Excellent documentation skills to clearly and accurately articulate alert disposition
  • Familiarity with the firm's internal systems and processes would be a plus
  • To work effectively as part of a team and to contribute to key deliverables
12

CAO Operations Resume Examples & Samples

  • Ensure the accurate collection, storage and reconciliation of all registration related records, new and withdrawn, for covered individuals in the EMEA region, for CF30 FCA registration and Certification
  • Liaise closely with HR, Global Security and Exam vendors in respect to new joiners, leavers & transfers
  • Inquiry management & Investigation process for in flight requests
  • Collation, analysis and distribution of Operational Metrics / Key Performance Indicators
  • Interact and collaborate with internal support groups (Tech, Ops, Compliance, Legal, HR) to achieve business priorities
  • Support business resiliency & contingency process across regional department
  • Assist in the development and enhancement of processes to deliver highly effective services through best practices and training
  • Business Control Committee/Stakeholder Governance
  • Project / Change Management support
  • Documentation of controls / procedures /process flows
  • Some experience in either, Operations, Legal, Compliance or Risk within the Financial Services industry is preferable
  • Client centric focus - Work as a trusted client partner and advocate
  • Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control
  • Exceptional standards of data organization and maintenance – must be detail oriented
  • Able to work to high standards of accuracy and efficiency
  • Able to work both independently and as part of a team at all times
  • Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint )
  • Strong and positive personality
  • Execution skill – Able to deliver results/ meet deadlines under pressure
  • Build effective relationships quickly & able to influence at all levels – role often requires individuals to communicate and liaise with senior individuals
  • Must be detail oriented and able to produce high standards of work under pressure with a desire to become subject matter expert
  • Some experience in the legal, Compliance, Operations or Risk within the Financial Services industry is preferable. Understanding of the SUP10a FCA supervisory framework an advantage
  • Due to tight reporting deadlines, candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet obligations
13

CAO Operations Resume Examples & Samples

  • Participating in execution of a strategy; implementing tactical solutions to meet goals for a functional sub-group or a department
  • Developing process flows for strategic initiatives and assisting in the development of target operating models
  • Contributing to the translation of business requirements into functional design
  • Communicating issues effectively with Business Leads and Project Managers through project implementation
  • Engaging with the line operations team throughout implementation of projects
  • 3-5 years experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance/AML and KYC subject matter
  • Proactive, strong attention to details
  • Proven project management experience with documenting and writing business requirements and project plans
  • Experience with facilitating meetings among stakeholders on various levels within the organization
14

CAO Operations Resume Examples & Samples

  • Relevant experience in either a Risk and Controls, AML, Compliance, operations or project management organization
  • Advanced understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business, inherent and IT risks in an integrated manner
  • Inquisitive and proactive in identifying risks and proposing solutions
  • Proven experience working well individually and in teams across geographical locations, sharing information, supporting colleagues and encouraging participation
  • Proven ability in meeting deadlines in high-pressure environment
  • Demonstrated ability being proactive in identifying risks and proposing solutions
  • Ability to adapt to a rapidly changing business environment, quickly assesses situations, and capitalizes on change
  • Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner and keeping colleagues apprised of your progress
  • Proficient in MS Office (Outlook/Word/Excel/PowerPoint)
15

CAO Operations Alert Operations & Client List Screening Resume Examples & Samples

  • Collect and document data, including; alert, investigation, or SAR history, KYC information, relevant account and transaction data, plus any other required information to assist the initial investigation
  • Analyse, investigate and research CLS alerts comparing our account holders and their transactions against Global Screening Lists and conduct a review to determine if a true match to a suspect name
  • Review and analyse underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear the alert
  • Build relationships with GFCC and GSC units, and effectively communicate and transfer information for case investigations
  • Function as a key contributor with demonstrated knowledge of Sanctions/AML/KYC issues, as well as broader functional knowledge
  • Contribute to development and update of procedural documentation and risk/efficiency initiatives
  • Experience of AML, Sanctions, PEP’s and Negative Media would be an advantage
  • Experience of private banking processes, products and systems is preferred
  • Working knowledge of BSA/AML, and other AML regulatory policies, with a good understanding of AML typologies as well as the ability to apply and explain regulatory concepts
  • Exceptional research and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately
  • Strong documentation skills to clearly and accurately articulate alert disposition outcome
  • Strong problem solving ability coupled with the ability to recommend and make decisions autonomously
  • Adherence to controls and standards
  • English required. French would be highly desirable
16

CAO Operations Resume Examples & Samples

  • Identifying and translating the needs of the Business into structured and quality centric Business Requirements
  • Liaising with Technology groups to deliver the requirements in the required format to facilitate both Agile and Waterfall developments
  • Supporting the Program and Project Managers in the management & delivery of the associated plans
  • Effectively communicate the Holistic Program aims and objectives with stakeholders to help ensure joined up planning & strategy
  • Liaise with business and project stakeholders, key business users and subject matter experts to understand, document and prioritise business requirements across impacted areas
  • Lead/Participate in meetings, offering constructive options to ensure information is shared and issues addressed
  • Develop complete and accurate 'As Is' business models and determines the impact of the requested changes
  • Identify & deliver opportunities for technology improvements as part of developing the future state model
  • Own the technology definition & solution design for the end to end Holistic Operating Model
  • Understand from a technology perspective the capabilities, linkages, risks & challenges associated with the current and the future state model
  • Participate in workshops and presentations where required, including overseas travel
  • Provide the Technology input to create User Stories as they build their Agile development plans
  • Support User Testing, PVT and Live Monitoring as and when enhancements are deployed
  • Track key issues and risks; provide transparency to management and business partners
  • Hold Business Requirements Document tollgate reviews with key stakeholders
  • Obtain signoff of documented business requirements from key sponsors and stakeholders
  • Collaborate with business owners and Technology / delivery workstreams to ensure clear communication of business objectives and requirements and develop optimal solutions and target business model
  • Actively identify opportunities to improve and streamline business processes and then drive process re-engineering
  • Partner with UAT and Technology on Issue Management in relationship to Business Requirements and impact to business if issues cannot be remediated
  • Work with other related projects to understand and manage project dependencies
  • Assist in the preparation of user acceptance test plans; analysis and resolution of issues
  • Lead Ops Readiness activities - development / updating of Standard Operating Procedures, Controls, Business Metrics, Training and service documentation
  • Post implementation - manage any operational issues through to resolution; hold post implementation review with all functional groups to identify lessons learnt and drive continuous improvement in process
  • Proven analysis skills evidenced by previous successful project completions
  • Proven experience interacting directly with business stakeholders and end users - strong verbal and written communication skills; strong meeting facilitation skills
  • Strong ability to analyse and document complex business processes
  • Ability to lead, influence and motivate cross-functional teams and interact with all levels
  • Ability to be flexible, follow tight deadlines, organize and prioritise work
  • Ability to identify the business' strengths and weaknesses, and recommend areas for improvement
  • Result oriented attitude with strong track record of high quality deliverables
  • End to end experience of the project lifecycle
  • Good technical knowledge of business
  • Ability to adapt tools and processes to project needs and changing expectations
  • A good understanding of KYC processes and the associated KYC Systems Application Flows
  • Bachelor’s degree or equivalent, professional certification or equivalent work experience
17

CAO Operations Resume Examples & Samples

  • Liaise with business and project stakeholders, key business users and subject matter experts to understand scope and prioritise business requirements across impacted areas
  • Lead/Participate in meetings, at the operational and project level, providing continuous feedback on project status; ensure information is shared and issues addressed; offering constructive options to ensure project tracks to original expectations
  • Produce detailed project plans that will be the base document to define roles, responsibilities and milestones; ongoing management of the phases of the project and maintenance of the plan and other reporting documentation
  • Identifying resources and/or scheduling conflicts; including the management of change control
  • Functioning as an escalation point to keep all parties aware of overall project impact, facilitating management decisions at the earliest opportunity. Also, recognizing key issues and risks and facilitating teams to solution or escalate to senior management
  • Supporting business units in the development and execution of plans for a successful implementation
  • Managing post-conversion support functions
  • Provide Technology input to create User Stories as they build their Agile development plans
  • Collaborate with business owners and Technology/delivery workstreams to ensure clear communication of business objectives and requirements and develop optimal solutions and target business model
  • Support Ops Readiness activities - development /updating of Standard Operating Procedures, Controls, Business Metrics, Training and service documentation
  • Proven Project Management skills evidenced by previous successful project completions, leading and supporting complex projects through the full life cycle
  • Thorough understanding of project requirements, project delivery process, testing success factors, and implementation guidelines
  • Ability to lead, influence and motivate cross-functional teams and interact with all levels; ability to recognize issues and influence and implement change
  • Very experienced in the use of Microsoft Power Point
  • Good knowledge of Microsoft Project
18

CAO Operations Alert Operations Operations Controls Manager Associate Resume Examples & Samples

  • Positive self-starter with pro-active approach, strong analytic and problem solving skills, excellent time management and prioritization skills
  • Previously worked as an Associate within a line of business, risk, compliance operations, or a project organisation
  • Recent experience working in a corporate Audit, Regulatory, Risk and Controls environment including risk identification, control evaluation, testing, and controls substantiation
  • Proven ability in meeting deadlines in high-pressure environments
  • Demonstrated ability to be proactive in identifying risks and proposing solutions
19

CAO Operations Specialist Resume Examples & Samples

  • Regular maintenance of securities that require coupon, rate fixing and/or factor updates on a daily basis from sources like Bloomberg, Reuters etc
  • Monitor rejects Queue and clears them on a timely basis
  • Relationship Management
  • Perform research through Bloomberg and Reuters to find missing or additional information required to complete set up or maintenance while providing support from 8am to 8pm EST
  • Knowledge of external reference data providers –BLOOMBERG, REUTERS, etc. will be an advantage
  • Focus on quality and controlled environment
20

CAO Operations Client List Screening L Operations Manager Resume Examples & Samples

  • Lead daily meetings with staff to provide updates on operational developments, product enhancements, system improvements and/or issues
  • Represent CCB & AM programs on weekly operations metric reviews
  • Represent the CCB stream on weekly escalation calls with the business
  • Maintain a high level of understanding of line-of-business-specific guidelines and ensure analysts apply the appropriate logic to the alert dispositions
  • Develop strong partnership with business and operations teams
  • Demonstrate a strong operations and client service mindset
  • Communicate with VP and ED on all staff and operations developments
  • Ability to exercise sound judgment and make effective decisions; strong written and verbal communication is essential
  • Ability to prioritize, handle multiple tasks simultaneously, and work well under pressure in a team environment
  • Provide ad-hoc coverage to inquiries from both the business and operations teams as needed
  • Effective problem-solving skills with ability to solution challenges with minimal supervision
  • Work closely with analysts to develop and harness their respective contributions to the success of the team
  • Oversee the performance of each team member; guide and direct analysts to achieve maximum productivity levels while simultaneously producing high quality levels
  • Establish strong relationships with team members and provide support for their growth and development
21

CAO Operations Resume Examples & Samples

  • Kick-off remediation / renewal and liaise with LOB Case Lead organization / Sales Officers for required documents and sign-off
  • Complete remediation / renewal efforts and projects to clean up data and documentation and coordinate with other areas as needed (COB, Compliance, Sales, Client Service)
  • Analyze processes and workflows to improve existing and implement new process/flow solutions
  • Chinese language (Simplified & Traditional) reading and writing skills are mandatory
  • Minimum 2-4 years of KYC experience, preferably in Corporate Investment Banking
  • Experienced in client Due Diligence, risk assessment and vetting of negative news
  • Knowledge of screening and research tools such as World-Check, OFAC, LexisNexis and Factiva
  • Strong working experience with Microsoft Office Suite including Word, Excel and PowerPoint
22

CAO Operations Resume Examples & Samples

  • 5+ years of Project Management & Business Analysis experience in a combined business, operations and technology environment within the Financial Services industry
  • Flexible individual who can easily and efficiently transition across topics and disciplines. Adept at multi-tasking and meeting deadlines in high-pressure environment
  • Advanced communication skills and the ability to synthesize work products into executive summaries and/or briefs and reports
  • A proven ability to take the initiative while building partnerships
  • Experience in tracking and ensuring implementation of lessons learned on a firm-wide basis
  • Strong change management capabilities with experience in both tactical and strategic programs
  • Ability to define and track project deliveries through to implementation
  • Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape
  • Adept at data organization and maintenance – must be detail oriented
  • Able to deal with ambiguity and work to high standards of accuracy and efficiency
  • Strong working knowledge of Microsoft Excel; Word, Visio, PowerPoint, Project and other reporting tools
23

CIB CAO Operations Manager Spain VP Madrid Resume Examples & Samples

  • Coordinate, in the location, the CIB and the non-CIB Operations team partnering with the Business and the CIB and non-CIB Operations regional management
  • Ensure the operational environment supports the execution of the Business strategy effectively and efficiently, meeting service delivery and financial goals
  • Maintain control of the environment in respect of JPM policies and the local regulatory rules
24

CAO Operations Resume Examples & Samples

  • Due Diligence case request set up and delivery into the case management system for research consumption
  • Properly identify risks and escalate derogatory/high risk findings to Senior Management; risks include but not limited to – PEP, High Risk Global Jurisdictions and Specially Designated Nationals (SDN) / Office of Foreign Assets Control (OFAC) matches
  • Perform reconciliations of incoming requests between source systems and case management application
  • Must have at least one year of experience in a professional work environment
  • Ability to consistently meet production goals while maintaining high quality standards
  • Strong verbal and written communication skills to articulate and document alert dispositions, report summarizations and escalations
  • Advanced skills with Microsoft Word and Microsoft Excel
  • Legal background
25

CAO Operations Resume Examples & Samples

  • Current need REQUIRES written and verbal fluency in Spanish and/or Portuguese Language for the Latin American team
  • Strong verbal and written skills to clearly articulate and document alert disposition
  • Strong verbal and written communication skills for report summarizations and escalations
  • Proficient in MS Word and Excel; strong typing skills
26

CAO Operations, Due Diligence Operations Resume Examples & Samples

  • Research, document and analyze background information on JPMorgan’s prospective and existing clients through public record databases primarily in China, Taiwan, Hong Kong, or Malaysia and Indonesia; research includes: negative media, PEP & sanctions, court records and filings in English and Chinese/Bahasa
  • Ability to identify & deem relevancy of public records, as it relates to customer information
  • Chinese language (Simplified and Traditional) reading and writing skills is mandatory
  • Must have at least 1-3 years work experience in professional work environment
  • Knowledge of Compliance, Anti-Money Laundering, KYC/Due Diligence and/or investigations preferred
  • Research, analytical and comprehension skills, with ability to analyze and summarize large amounts of data
  • Knowledge of “Boolean Search” logic techniques and familiarity with public records is a plus
  • Detailed, well organized, self-starter, capable of working under minimal supervision
  • Able to multi-task and meet deadlines in high-pressure environment while maintaining quality output
  • Proficient in MS Office. Strong typing skills
  • Prior project management experience helpful
  • Bachelor’s degree preferred; relevant course work in criminology, law or logic a plus
27

CAO Operations Resume Examples & Samples

  • Interpretation of SAR QT standards, guidelines, policies and procedures
  • Based on interpretation of FinCEN, Filing Unit and SAR QT standards, make risk based determination through QA (quality analysis) whether cases were properly closed by filing unit investigators
  • 2-4 years of experience conducting AML investigations, SAR filings and analysis and review of financial transactions across multiple lines of business
28

CAO Operations Resume Examples & Samples

  • Collect and document data, including alert, investigation, or Suspicious Activity Report (SAR) history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information to assist the investigation
  • Build relationships with AML Investigations units, effectively communicating and transferring information for case investigations
  • Participate in individual and department goal development and execute on tactical strategies for goal attainment
  • Previous experience in AML, compliance or related position preferred, or relevant course work in criminology, law, logic as well as auditing and other business courses
  • Adept at multi-tasking and meeting deadlines in high-pressure environment
  • Results oriented team player
29

CAO Operations Resume Examples & Samples

  • Act as a key liaison with various groups, including GFCC, Corporate KYC Operations and the LOB
  • Act as a resource to team and other stakeholders on AML/KYC due diligence matters
  • Review testing results of QA team to ensure accuracy and completeness
  • Manage team KPIs (key performance indicators) to ensure consistency in quality and timeliness of completion
  • Track and analyze team quality control issues related to testing and guide to resolution accordingly; escalate as appropriate
  • Perform ongoing formal testing of completed work cases to ensure controls / standards are met
  • Review the quality of completed work cases to pre-defined test scripts which are based on quality assurance standards
  • Consider regulatory requirements and best practice to implement changes to process
  • Review of all discrepancies or newly discovered trends with QA Managers in CAO for proper disposition and potential amendment to procedure
  • 7+ years of experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
  • Strong knowledge of JPMC KYC standards, guidelines, policies and procedures and due diligence requirements across all regions
30

CAO Operations Resume Examples & Samples

  • Evaluating J.P. Morgan client’s KYC files to develop a substantial understanding of the entity structure, business and risk profiles, expected activity and account history
  • Conducting real-time and ongoing screening of Negative Media, Politically Exposed Persons and/or Sanctions
  • Determining unusual account activity through transaction analysis and monitoring transactions flagged by Mantas or manual referrals
  • Reviewing potential reputational or transactional risks to the firm and escalating them to the LOBs and/or Global Financial Crimes Compliance (GFCC)
  • Working in partnership with all LOBs, country MLROs and regional GFCC Investigations teams
  • Participating and leading initiatives on behalf of CAO Operations and the Singapore Corporate Centre
  • Operate in collaborative team environment, conducting both client screening or transaction monitoring as required and assigned by the team
  • Utilize cross-functional exposure for comprehensive reviews and decision making when disposing or escalating potential risks and function as a key contributor with demonstrated knowledge of AML/KYC
  • Identify opportunities for improvement and drive the implementation of initiatives and operational process changes with a focus on innovation
  • Strive to maintain individual and team throughput and quality targets and ensure work meet deadlines
  • Follow and promote a strong controls mindset
31

CAO Operations Resume Examples & Samples

  • Collect and document data, including alert, investigation, or Suspicious Activity Report history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information to assist the investigation
  • Function as a key contributor and demonstrate knowledge of AML issues as well as broader functional knowledge; and
  • 1+ years experience in back-office broker dealer required with the ability to read and interpret statements and account activity
  • AML, KYC or related experience preferred
  • Ability to consistently meet service level agreement quotas and deadlines is required
  • Exceptional research and analytical skills, with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately
  • Proficiency in MS Word and Excel. Experience with Pivot tables and VLOOKUPs preferred
32

CAO Operations Resume Examples & Samples

  • CAO Operations – Disclosure Of Interest Operations is a corporate utility function
  • The group performs daily monitoring of the firm’s positions and trades in Equity and Equity linked products, and prepare disclosure filing forms where pre-defined threshold limits are crossed
  • DOI analyst’s key book of work are both business as usual jurisdictional monitoring / filing and change management initiatives focusing on moving from a legacy (DOI 1.0) to strategic (GPAS) processing platform which will carry control and efficiency saves
  • All staff need to maintain an agreed average throughput for daily BAU production with less than 5% monthly supervisory repair rate and less than 4% monthly Quality testing defect
  • On daily basis, Analyst work with supervisory reviewer who reviews the accuracy and quality of the analyst’s monitoring and filing reports. On weekly basis, Supervisory reviewer work with the analyst on the quality and throughput trending and work together for further improvement. On Monthly basis, Manager review the analyst monthly performance. All the current and future initiatives will be progress tracked and discussed in the monthly meeting. Ad-hoc meeting to discuss the progress of initiatives is scheduled as needed
  • This role requires doesn’t require previous regulatory reporting experience
  • Strong analytical skills, attention to detail with a willingness to learn are essential to succeed in the role
  • Strong excel skills to perform data analysis and detailed investigation is advantageous
  • Product knowledge of equity products is helpful as is understanding of trading / settlement flows in APAC markets
  • The ability to question the status quo of the existing process and suggest changes will differentiate performance
33

CAO Operations Resume Examples & Samples

  • Perform testing to ensure Alerts/SAR filing quality by reviewing SARs sampled and testing the SARs against internal standards
  • Assist in the reviews of Non-SAR cases, Transaction, Client and Corporate streams
  • Identify and document issues to QA senior reviewers and/or management who will in turn provide to the respective filing units
  • Help identify up and downstream controls to help design test scripts for execution
  • Identify trends and quality testing observations and effectively report summary results to management
  • Function as a key contributor with demonstrated knowledge of AML/Fraud investigative and SAR experience, as well as broader functional knowledge
  • Partner with colleagues and stakeholders to ensure global testing practices and documentation are consistent
  • Participate on special ad-hoc projects as needed
  • 3+ years experience in Compliance, Anti Money Laundering and Investigations
  • 1-2 years of quality testing experience in a financial services environment
  • Knowledge of the laws applicable to money laundering in Asia Pacific countries/territories and Suspicious Activity Report (SAR)/Suspicious Transaction Reports (STR) requirements
  • Familiarity with the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC, FinCEN and regional regulatory requirements
  • Proven experience assisting in the design of quality testing scripts
  • Strong documentation skills and the ability to articulate clearly the results of testing activities
  • General understanding of the financial markets, and specific equities and derivatives knowledge
  • Excellent analytical, written and verbal communication skills with a proven ability to explain QT review findings to both senior managers and analysts
  • Proven record of time management
  • Proficient in the Microsoft suite of products (Word/Excel/Access)
  • Strong interpersonal skills & team player
  • Adapt to a rapidly changing environment and multi-tasking
  • Results and deadline driven
34

CAO Operations Resume Examples & Samples

  • Coordinate and prepare meeting materials, documenting minutes and ensuring clear ownership of action items
  • Provide full-time, dedicated support to multiple reference data domains in their efforts to define and certify CDEs to drive adoption of strategic reference data across LOBs/functions
  • Develop new or leverage existing metrics to track progress of the CDE lifecycle for individual CDEs across all reference data domains
  • Liaise with Reference Data Technology and other Technology partners to share updates on overall adoption progress, best practices, and tools/capabilities to support adoption
  • Collaborate with the Reference Data CDO Data Analysis & Remediation Team (DART) to understand domain-specific data quality issues; assess implications for pace of progress on CDE Lifecycle within or across data domains
  • Minimum 3-4 years project management experience
  • Exceptional reporting (PowerPoint) and analytical (Excel) skills
  • Attention to detail and ability to work independently
  • Ability to prioritize and manage expectations
  • Ability to thrive in a changing work environment
35

CAO Operations Resume Examples & Samples

  • Support RCSA projects, prioritize and identify key messages to present to management to drive change
  • Ensure GCO Controls programs are executed holistically and that critical handshakes between processes are identified and assessed for risk
  • Provide strong thought, leadership and communication in relaying GCO Controls information to global colleagues, stakeholders and staff
  • Execute against GCO Controls workstreams: risk and control self assessments, change management program across process migration, system migration, and document management (e.g. procedures and guidance documents, SLAs, IAS charters, and Resiliency Plans)
  • Understand and comply with regional and regulatory requirements pertaining to GCO when executing the testing of resiliency plans, SLAs, IAS charters, and system access management
  • Identify control gaps within GCO wide programs and implement effective controls to close the gaps identified
  • Conduct gap analyses between differing GCO processes, at both a high and detailed level
  • Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to
  • RCSA leads and LOB stake holders
  • Effectively partner with GCO stakeholders, Oversight and Controls and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements
  • Share information, support colleagues and encourage participation
  • Bachelor’s degree and or relevant work experience require
  • 7+ years of relevant experience in AML, Compliance, operations, and project organization
  • Advanced understanding of internal control concepts
  • Ability to evaluate and determine the adequacy of controls
  • Experience in assessing end to end processes to identify operational risk
  • Ability to work independently or within teams
  • Proven ability in meeting deadlines in a high-pressure environment
  • Must be proactive in identifying risks and proposing solutions
  • Ability to adapt to rapidly changing business environments
  • Experience meeting project deadlines
  • Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
  • Proficiency with MS Office (Outlook/Word/Excel/PowerPoint) advanced user knowledge of excel required
36

CAO Operations Resume Examples & Samples

  • Perform analysis on completed reports to verify controls/standards are met
  • Understand OFAC and AML standards and guidelines to determine whether control issues have been satisfactorily addressed or require escalation for further review by management
  • Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance and make recommendations for addressing process and procedure-related deficiencies
  • Evaluate regulatory requirements against departmental resources, goals, and objectives to identify effective alternatives that are practical and appropriate
  • Verify accuracy related to current OFAC/AML process and investigate reliability of data related to the Quality Assurance Process
  • Review quality of completed cases/reports, based on quality testing standards, the goal of the operation process, and the nature of the cases
  • Deliver detailed analysis of findings to senior management
  • 2-4 years of experience reviewing and analyzing data or reports for accuracy and adherence to procedures
37

CAO Operations Resume Examples & Samples

  • Perform ongoing formal testing of completed reviews to ensure standards are met
  • Review the quality of completed reviews using pre-defined test scripts which are based on KYC standards and FCRR procedures
  • 5+ years of experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
  • Strong knowledge of JPMC KYC standards, guidelines, policies and procedures and due diligence requirements
  • Preferred experience/background with FCRR Operations process & procedures
38

CAO Operations Resume Examples & Samples

  • 5+ years of related experience including finance, business management and/or compliance related
  • Demonstrated experience forecasting, tracking and planning financials (headcount, expenses, P&L)
  • Ability to multi-task and prioritize competing demands
  • Leadership, relationship-building and influencing skills to drive agenda's across a number of functions
39

CAO Operations Resume Examples & Samples

  • Reviewing alerts around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions looking for known or suspected money launderers, terrorists or drug dealers
  • Performing due diligence on Politically Exposed Persons (PEPs) and Special Persons of Interest (SPOIs) in addition to screening clients against sanction and negative media profiles
  • Internal/external written and verbal communication of issues, directing searches, reviewing, reporting upon and documenting the results
  • Reviewing alerts to determine if a true match to a suspect name will include: the results of periodic systematic accountholder screenings, real-time review of online transactions and the review of specific issues escalated from business units
  • Reviewing, inputting and triage of internal referrals of suspicious customer activity
  • Perform at a 100% quality rate while balancing high-throughput requirements
  • Will perform additional duties as requested
  • Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up
  • Must be a current Year-Up intern
  • 1-3 years experience in financial compliance, customer contact or service operations preferred
  • Individual must be results driven and have attention to detail, maintain a sense of urgency and ability to prioritize/multi-task
  • Strong sense of accountability and ownership over “quality” and end-to-end best practices
  • Strong analytical/time management skills
  • Able to meet goals and quotas
  • Strong communication skills are a must – verbal and written
  • Adaptable, flexible, and willing to work in a dynamic environment
  • Proficiency in MS Word and Excel
  • Knowledge of AML/KYC compliance including the USA Patriot Act, Bank Secrecy Act, OFAC and related AML regulations preferred
40

CAO Operations Resume Examples & Samples

  • Manage a project team tasked with defining and ensuring implementation of established objectives
  • Partner with colleagues across lines of businesses to plan and manage strategic and tactical projects and change initiatives
  • Communicate issues and progress effectively with Senior Management through project implementation
  • Coordinate and direct cross-functional team activities
  • Research and document current environment and applying appropriate changes to support the business request/needs
  • Managing work streams, small projects or other program initiatives, with moderate to low supervision
  • Contribute to the translation of business requirements into functional design
  • Escalate project issues and risks appropriately
  • Participate in execution of a strategy; implement tactical solutions to meet goals for a functional sub-group or a department
  • Apply independent thought and action on important department activities
  • Capture and communicate lessons learned from a project and applying them to future business requirements
  • Bachelor’s degree, plus 5-8 years of operations, technology, financial or risk management experience
  • Minimum 3-5 years Program Management work experience or experience in managing a team or group of Project Managers & Business Analysts
  • Anti Money Laundering, Compliance or Regulatory experience a plus
  • History of success working in a team environment
  • Strong decision making capabilities and the ability to identify problems and propose solutions, while acting with a sense of urgency
  • Ability to influence and drive organizational change, and effectively escalate and resolve issues
  • Strong analytical, interpersonal and presentation skills, including oral and written communication skills and attention to detail
41

CAO Operations Resume Examples & Samples

  • 10-12 years’ experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance, KYC and Screening
  • Outstanding client management, partnership building and leadership skills
  • Direct experience of dealing with multiple stakeholders at one time
  • Ability to deep-dive and investigate issues to see a successful resolution and broker the solution to management
  • AML/OFAC or Compliance experience highly desirable
  • Ability to speak and write proficiently in Spanish and/or Portuguese a plus
42

CAO Operations Resume Examples & Samples

  • Bachelor’s degree in Business Administration, Finance, Accounting or related discipline
  • 5-7+ years of experience in Controls, Compliance, Data or Risk position, preferably in the financial services industry
  • Experience in data analysis, metrics design/development and reporting
  • Management experience leading teams – includes people and performance management
  • Excellent verbal, interpersonal and written communication skills and the ability to present to any level of management
  • Self motivated individual that demonstrates initiative
  • Experience in process improvement
  • A high-level of attention to detail and quality assurance
  • Proven ability to be able to multi-task, as well as assess and change priorities
  • Able to deliver projects consistently, problem solve and think strategically under pressure
  • Team player with ability to build strong cross-business relationships – proven flexibility, adaptability, and reliability
  • Highly organized, extremely detailed and control orientated
  • Excellent PC Skills including MS Excel, Word, and PowerPoint
  • Understanding of regulatory and compliance environment and lifecycle is a positive
43

CAO Operations Resume Examples & Samples

  • Relevant proven training management experience is essential, preferably in the financial services industry
  • Significant training project management experience required of running similar program
  • Proven record of successful of development and delivery of training courses and materials
  • Proactive, independent, self managing and self-motivated
  • Good leadership skills and demonstrated accountability for delivery and decision making
  • Excellent communication and personal skills with ability to clearly convey information and adjust style to intended audience
  • Team player with strong interpersonal and influencing skills
  • Enthusiasm with ‘can-do’ attitude essential
  • Knowledge of Compliance, Regulatory, and Firmwide Data is preferable
44

CAO Operations Resume Examples & Samples

  • Interpret KYC and AML standards and guidelines to determine whether control issues have been satisfactorily addressed or require escalation for further review by management
  • Verify accuracy related to current KYC/AML process and investigate reliability of data related to the Quality Assurance Process
  • Review quality of completed cases, based on quality testing standards, the goal of the operation process, and the nature of the cases
  • Interface with senior management
45

CAO Operations Resume Examples & Samples

  • 1 to 2 years working experience in a professional environment
  • Interest in Compliance, Anti-Money Laundering, KYC/Due Diligence and/or investigations with Anti Money Laundering, Compliance or Regulatory experience a plus
  • Keen sense of corporate awareness with an understanding of banking operations, business and corporate support structures
  • Aptitude to understand different business models, product sets, and risk factors across the various lines of business including Private Banking and Investment Banking
  • Research, analytical and comprehension skills, with ability to analyze and summarize data
  • Detailed, well organized, self starter, capable of working under minimal supervision
  • Asian language reading and writing skills (e.g. Chinese, Bahasa, Japanese or Korean) strongly preferred
46

CAO Operations Resume Examples & Samples

  • Interpretation of AML Risk standards, guidelines, policies and procedures
  • Make risk based determination through Quality Analysis (QA) whether alerts were properly cleared by CAO Operations Alerts Analysts
  • 2-4 years of experience in Alert Operations
47

CAO Operations Resume Examples & Samples

  • 2-3 years experience in Financial Services
  • KYC/Due Diligence/AML knowledge with expertise in Compliance, Risk, Fraud and/or Investigative research background preferred
  • Knowledge of public data research including Lexis Diligence & internal systems & applications
  • Understanding of Due Diligence practices as they relate to negative media, PEP & Sanctions
  • Ability to translate technical data and information into business reports and presentations
  • Exceptional research and analytical skills with the ability to analyze large amounts of data and disposition appropriately
  • Excellent organization, written and oral communication skills
  • Strong documentation skills to clearly articulate results of testing
  • Proficiency in MS Office, documentation and metrics
  • ACAMS certification is a plus
  • Spanish/Portuguese language is a plus
48

CAO Operations Resume Examples & Samples

  • Producing detailed plans for the all phases of projects utilizing Microsoft Project that will form the base document to define roles, responsibilities and milestones; on-going management of these phases of the project and maintenance of the implementation plan and other reporting documentation
  • Leading/participating in meetings at the operational and project level, providing continuous feedback on project status; offering constructive options to ensure project tracks to plan and on target expectations
  • Identifying resources and/or scheduling conflicts; changing and control of project scope
  • Functioning as an escalation point to keep all parties aware of overall project impact, facilitating management decisions at the earliest possible time. Also, recognizing key issues and risks and facilitating teams to solution or escalate to senior management
  • Supporting business units in the development and execution of plans for successful implementation
  • Produce Executive Reporting to update Steering Committees, various Risk and Compliance Committees, and for the individual work-streams to report progress against key project milestones, risks, issues, and comprise the dashboard view at a program level of how the program is performing against its overarching strategy
  • Ensure that any requirements for technical build are initiated, prioritised, and tracked through the appropriate line of business Application Development teams to meet program objectives and target dates
  • Manage and monitor the project’s funding and its actual and forecasted financial performance against budget as appropriate
  • Managing post-implementation support functions post-implementation to ensure smooth transition and customer satisfaction
  • Business Travel – while not expected to be frequent or extensive, geographic boundaries are unlimited and will be based on business need whether for off-sites or due diligence reviews
  • Knowledge of Compliance within a complex financial institution desirable
  • Must have successful history in delivery of complex, cross line of business projects
  • Expertise in managing project resources
  • Expertise in project management discipline and techniques (PRINCE2 / Six Sigma / PMP)
  • Knowledge and proficiency of the JPMorgan Project Delivery Framework (PDF)
  • Strong team building and management / influencing skills
  • Expert verbal and written communication skills
  • Ability to influence and motivate cross-functional teams and interact with all levels
  • Ability to think and act globally, seeking harmonisation and consistency but with appreciation of local and line of business needs
  • Ability to recognize issues and influence and implement change
  • Advanced knowledge level of Microsoft Project
  • Advanced knowledge of Microsoft PowerPoint, and the ability to develop and deliver presentations to all levels of management; as well as the ability to perform ad hoc analysis and produce meaningful operational metrics to help drive performance and achievement of business objectives
  • Thorough understanding of project requirements, project delivery processes, success factors, and implementation guidelines
  • Experience with implementation planning, scheduling, and reporting
49

CAO Operations Resume Examples & Samples

  • Demonstrate strong independent responsibility and extensive knowledge in working with international AML compliance-related issues, including foreign correspondent banking clients, and products/services employed by such entities and country specific nuances
  • Possess an in-depth understanding of AML transaction typologies inherent in such clients and large multinational corporations and exercising sound judgment and observe the highest degree of confidentiality in handling the information received while discharging their responsibilities
  • Investigate & resolve strategic Money Laundering/Terrorist Financing (ML/TF) risks, including typology, geography, product, customer/entity type and other ML/TF risk categories by independently interpreting data, understand the nature of activity and potential risks in client transactions and exercise independent and sound judgment in their decisions & conclusions
  • Overcome investigatory challenges and be resourceful when dealing with international languages, and limited public source information or data
  • Conduct periodic internal account/customer reviews, complete analysis of transactional information to identify potentially unusual or high risk activity and comprehensively document steps taken throughout the investigative process
  • Using public source search resources, determine risk levels associated with top transactors and their beneficiaries and originators (taking into account various risk factors such as jurisdictional, industry, relationship with client etc.). Based on their experience and judgment, determine if additional sources of data should be reviewed
  • Conduct a thorough investigation to establish the presence of AML transactional typologies through an extensive review of transactions, determine any correlations or anomalies in the data based on reasonable expectations and prior experience and ascertain if activity between originators and beneficiaries have valid economic purpose based on their investigation & findings
  • Review & interpret transactional activity to determine if the activity is high risk, which requires analyzing the relationship between JPMC client and originators & beneficiaries of transactions and highlight the presence of indirect correspondent banking activity
  • Make a judgment on the risk, based on all findings (such as the nature or location of the business, the dollar values or transaction volumes involved, historical information and other pertinent information sourced through public sources); Determine if any unusual or high risk activity needs to be referred to AML Investigations for further review and assessment if it is reportable to regulators
  • Review transactions to establish if these client accounts are being utilized for activity conducted on behalf of Politically Exposed Persons
  • Independently produce complete and accurate reports of their investigations, findings, decisions and recommendations for use by LOB and KYC Officers
  • 1-3 years of experience in AML, KYC, Due Diligence, Risk, Fraud, Compliance, or similar operational areas in Financial Service preferred
  • Knowledge of BSA/AML, and other AML regulatory policies, with a strong understanding of AML typologies, geography, products, customer type and expected type of activity in order to effectively identify risk and unusual activity
  • Proficiency in investigative techniques and pattern recognition and previous success in complex analysis and investigation with unstructured data populations
  • Understanding of the banking industry, especially correspondent banking
  • Exceptional research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc) and to identify trends and potential high-risk activity, and to document conclusions appropriately
  • Language skills preferred
  • Strong and adaptable team player, driven and willing to work hard in order to achieve objectives
  • CAMS or equivalent certification preferred
50

CAO Operations Analyst Resume Examples & Samples

  • Provides Control and Compliance Support
  • Works on SharePoint Requests/Needs
  • Answers Level 2 Help Desk questions
  • Assists with RDI Onboarding
  • Facilitates the daily Production call
  • Maintains the Open Issue Log tracker
  • Assists with the Annual Business Unit and General Ledger Account Purges
  • Supports Business Resiliency
  • FRD/GEMS Website Support
  • Maintains and provides Training
  • Supports Certifications
  • Assists with SDM Admin duties
  • Represents the team in group client meetings to facilitate issue resolution
  • Position has the authority to implement operational changes to resolve issues. This activity encompasses gauging the severity of the issue and its impacts, determining an appropriate solution, and implementing the resolution
  • Independently assess when and what type of messaging is needed for issues, changes to the system, or other system details and craft communications to key parties
  • Manage the WRM process, create op models for the process, and lead the monthly operate release process
  • Conduct significant data mining and analysis to support recommendations and necessary action items
  • Develop, track, analyze, and publish project reports, resource management reports, project summaries, scorecards and program/project performance trends
  • Assist clients with GEMS process and content, develop and execute test plans / test scripts, assist in managing the overall project governance
  • Support management of projects on an ongoing basis, evaluating progress and quality, managing the issue resolutions process and taking corrective action or escalating the issue when appropriate
  • Bachelors degree in MIS, Finance or Accounting
  • 3 plus years professional experience with at least 1 year of related finance and accounting experience
  • Strong problem solving ability and analytical skills required
  • Strong technical skills such as Access, Excel, PowerPoint, Visio, SQL and SAP knowledge desired
  • Must be flexible (capable of team work and independent effort) within a virtual team that encompasses different locations, countries, and time zones
  • Proactive, independent and self-managing
  • A team player and adaptable to changing environment with good interpersonal skills
51

CAO Operations Resume Examples & Samples

  • Minimum Five years of relevant work experience
  • Experience/understanding of business process reengineering and business modeling concepts, business systems development and analysis
  • Strong analytical skills and writing skills, to include solid experience in writing functional and technical specifications
  • Program/Project management
  • Securities Industry knowledge a plus
  • Working in an Agile Environment
  • MS Word, Powerpoint and Excel
  • Working knowledge of SQL and relational databases
52

Associate Client Reference Data CAO Operations Resume Examples & Samples

  • Lead various reporting initiatives within Client Reference data team end to end
  • Play a key role in supporting data management initiatives within Firmwide Data Office
  • Support ad-hoc requests from senior managers, effectively communicating key messages and articulating meaningful insights digested from large datasets
  • Act as a partner to senior business heads, anticipating needs and providing value add insights; understand the context in which analytics are being requested and provide thought leadership rooted in a deep understanding of the underlying data
  • Leading meetings with senior stakeholders and subject matter experts to define and gather requirements
  • Understand and identify appropriate systems and processes through close liaison with process owners and technology partners, and ensure development of solutions in line with business requirements by working closely with the end state technology team
  • Production and execution of Daily, Weekly and Monthly MIS as a BAU process
  • Drive automation of current reporting process via available tools (e.g. SharePoint, MS Access, Excel VBA, Business Objects, SQL Server and Qlikview)
  • Help with External Party data Domain Book of Work including Data Quality Management, Data Book Administration
  • Bachelor’s degree with 7-8 years’ experience in Business Intelligence and MIS reporting with a minimum of 1-2 years in operations or reference data
  • Strong technical skills as relates to business intelligence tools (SQL, Business Objects, Excel, MS Access) and experience in creation of management reports utilizing Business Objects
  • Strong analytical and problem-solving skills, with the ability to understand business and technical functions, process information quickly, and assess impacts to requirements presented
  • Excellent relationship management skills, with strong communications and interpersonal skills. History of success working in a team environment
  • Experience in agile methodology and liaising with technology to deliver Change (from requirements documentation though testing and release of the change)
  • Analyzing large data sets to identify trends and present findings to Sr. management and stakeholders
  • Flexibility to handle multiple tasks, changing priorities and track record of
  • Strong organization and prioritization skill with ability to monitor tight deadlines or unexpected requirement changes
  • Ambition to succeed and continue to grow in a change function
  • Work to tight deadlines, and deliver high quality products
53

Associate Client Reference Data CAO Operations Resume Examples & Samples

  • Support various reporting initiatives within Client Reference data team
  • Drive automation of current reporting process via available tools (e.g. SharePoint, MS Access, Excel VBA, Business Objects, SQL Server and/or Qlikview)
  • Bachelor’s degree with 5-7 years’ experience in Business Intelligence and MIS reporting with a minimum of 1-2 years in operations or reference data
  • Strong technical skills as relates to two or more business intelligence tools (SQL, Business Objects, Excel, MS Access) and experience in creation of management reports utilizing Business Objects
  • Flexibility to handle multiple tasks, changing priorities and track record of delivery under pressure
54

CAO Operations, Reference Data, CDO Associate Resume Examples & Samples

  • Manage communication of status updates to stakeholders and Senior Management through scorecards, and reporting of RAG ratings, key messages, issues, risks and open decisions
  • Attend Domain Working Group (DWG) meetings and pre-meetings with select DWG stakeholders to understand progress; provide a cross-domain view to DWG stakeholders to ensure consistency in decisions and definitions across data domains
  • Attend relevant Firmwide Data Management (FDM) and Reference Data Operations (RDO) meetings; communicate FDM and RDO targets, definitions, milestones, and timelines to DWGs and their stakeholders
  • Provide guidance to Data Domain Managers, Data Domain Leads, and/or Data Stewards within individual reference data domains on how to use the DataBook tool to define and track certification of CDEs and other relevant definitions
  • Identify potential issues/roadblocks within DWGs and escalate to relevant stakeholders, including the Data Domain Program Head, for resolution
  • Bachelor’s degree and experience managing relationships and collaborating with multiple stakeholders across LOBs/functions to achieve set targets
  • Strong program management and communication skills, especially in a cross-LOB/function role
  • Familiarity with reference data, end-to-end reference data flows, and reference data domain-specific expertise is preferred but not mandatory
55

CAO Operations Resume Examples & Samples

  • Execute the delivery of a wide variety of metrics and scorecard reports for the Alert Operations & Client List Screening organization within tight, clearly defined timelines
  • Truly understand the data in order to drive new ad hoc report development and generation
  • Propose, develop and lead the implementation of quality improvement ideas designed to enhance the speed, efficiency and accuracy of the Alert Operations & Client List Screening metrics reporting process
  • Analyze large sets of daily, weekly, and monthly data for emerging trends
  • Generate value adding reporting for country, regional, and global stakeholders
  • Monitor the health and stability of data flow from various data sources into the global strategic tool
  • Bachelor's Degree or relevant financial sector experience
  • Strong ability to translate business requirements into systematic metrics reporting requirements
  • Superior Microsoft Excel skills are mandatory, including proficiency in the writing and use of macros
  • Capable of working with large data sources and ability to consolidate into concise, easy to understand charts/tables/graphs which can be used by senior management
  • Ability to identify issues, seek solutions and gain consensus regarding problem / issue resolutions
  • Accuracy and a strong attention to detail is essential
  • Strong communication, influence and relationship building skills. Ability to work with line of business and colleagues in different regions
  • Aptitude for working under high pressure and to deliver the requested reports on time with 100% accuracy
56

CAO Operations Resume Examples & Samples

  • Significant Minimum 2 years experience in AML/KYC. Expertise should include Compliance, Risk or Fraud
  • Strong knowledge of public record databases, including Lexis-Nexis
  • Detailed, well organized, self starter, capable of working under minimum supervision
57

CAO Operations Resume Examples & Samples

  • Perform analysis on completed KYC Due Diligence reports to verify controls/standards are met
  • Question and investigate the reliability and integrity of data, the validity of conclusions, and the appropriateness of assumptions made
  • Review quality and compliance of completed cases, based on quality testing standards, the goal of the Due Diligence process, and the nature of the case
  • Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance. Report results to management
  • Make decisions based on audit principles, risk management practices, verifiable data, professional standards, internal policy and governmental guidelines
  • Consider regulatory requirements, departmental resources, and Due Diligence goals and objectives to identify alternatives that are practical and appropriate, in addition to effective
  • Pave the way for continuous improvement in the Due Diligence process, and serves as a change agent
  • Escalate control issues to management
  • Interface with internal Audit as appropriate
  • Experience with Financial Services industry. AML/BSA, compliance or investigative background preferred
  • Knowledge of public data research including Lexis-Nexis & internal systems & applications
  • Understand Due Diligence practices as it relates to negative media, PEP & Sanctions
58

CAO Operations Resume Examples & Samples

  • Develop an in-depth understanding of KYC technologies and strategies
  • Liaise with business partners to understand the KYC Operations process in order to drive internal technology and development initiatives
  • Work with key stakeholders from the KYC Ops Team as well as LOBs to draft Business Requirements; Engage with the line operations team throughout implementation of projects; Research and document current environment and apply appropriate changes to support business needs
  • Partner with Technology teams to assist in translating business requirements to functional requirements
  • Contribute to prioritization calls, advocating for enhancements to benefit the KYC Ops Teams
  • Think strategically about enhancements to the process, driving changes to promote efficiency, quality, controls and governance
  • Assist with UAT planning; write and review test scripts, manage UAT testers; manage the defect resolution process and participate in testing at times
  • Draft or update procedures and job aids
  • Create training materials and conduct training
  • Communicate progress effectively with Senior Management on status calls
  • Actively engage in project requirement meetings
  • 1-3 years experience as a Business Analyst/Project Manager in reference to business requirements, enhancement of programs, and quality testing
  • Experience in KYC subject matter a plus
  • Experience with Agile project management framework as well as knowledge of JIRA
  • Strong ability to identify problems and propose solutions, while acting with a sense of urgency
  • Strong PC Skills including Microsoft Excel, Project, Access, Word, PowerPoint, Visio and other reporting tools
59

CAO Operations Resume Examples & Samples

  • Manage a team of investigators with responsibility for all aspects of production, including: case assignment, supervisory review, analysis of individual and team quality production and other metrics, as well as oversight and team readiness for new, or updated, transaction monitoring
  • Critically assess investigator skill sets, production throughput and quality as well as evaluate composition of current and future case inventory to ensure that cases are completed within standard timeframes
  • Responsible for talent development, including: recruiting, on the job training, coaching, performance management and issue resolution
  • Bachelor degree or equivalent experience required
  • Expertise: Demonstrable, in-depth knowledge and experience with high production BSA, AML, OFAC and other AML Investigative processing with strong
  • Retail banking knowledge, particularly experience with branch referral and bank deposit product processing
  • Analytical: Exceptional research and analytical skills, with experience in collecting, analyzing, and synthesizing information
  • Communication: Excellent written and verbal communication skills
  • Strong PC Skills including MS Office (Outlook/Word/Excel/Access/PowerPoint)
  • Experience managing ten to thirteen person operational investigative teams
  • Relevant AML/OFAC certifications a plus
60

CAO Operations Resume Examples & Samples

  • Gather and analyze all pertinent client information identified from the screening unit/screening Results
  • Ability to understand the Corporate standards with respect to the identification of our direct clients and related parties; socialize these adopted standards into the holistic WCOB KYC due diligence process
  • Complete the CLS Level 3 templates using public and internal sources
  • Ensure due diligence system is updated properly based upon information sourced
  • Enter completed template repository to monitor relationships as well as associated country summaries
  • 1+ years previous experience in financial compliance or related position preferred
  • Bachelor's degree or equivalent work experience (3+ years in compliance)
61

CAO Operations Resume Examples & Samples

  • Ensure CAO Ops Controls programs are executed holistically and that critical handshakes between processes are identified and assessed for risk
  • Support the CAO Ops Issue and Action Plan closure process by evaluating appropriateness of Control remediation
  • Provide strong thought, leadership and communication in relaying CAO Ops Controls information to global colleagues, stakeholders and staff
  • Execute against CAO Ops Controls work streams: risk and control self assessments, change management program across process migration, system migration, and document management (e.g. procedures and guidance documents, SLAs, IAS charters, and Resiliency Plans)
  • Understand and comply with regional and regulatory requirements pertaining to CAO Ops when executing the testing of resiliency plans, SLAs, IAS charters, and system access management
  • Identify control gaps within CAO Ops wide programs and implement effective controls to close the gaps identified
  • Conduct gap analyses between differing CAO Ops processes, at both a high and detailed level
  • Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to RCSA leads and LOB stake holders
  • Effectively partner with CAO Ops stakeholders, Oversight and Controls and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements
  • 3+ years of relevant experience in AML, Compliance, operations, and project organization
62

CAO Operations Resume Examples & Samples

  • Partner with the various functions including Compliance, Operations and Technology to document data issues and perform analysis of data needs
  • Work across various businesses - such as CIB, Asset Management, CCB -partnering with technology & operations contacts responsible for source feeds to determine root cause of data issues, obtain corrected data and determine action plan to correct issue going forward
  • Assist in driving the agenda to build out a strong data management presence across the APAC region
  • Experience in Data Management, Operational or LOB Middle Office function with a key focus on ensuring data quality
  • Experience in project management / change management
  • Experience in defining/documenting new processes ensuring the appropriate level of controls in place
  • Strong problem solving and decision-making skills. The candidate must be able to identify issues, seek solutions and gain (near) consensus regarding outcome
  • Strong data analytic skills with ability to dive into details and understand the data provided by the LOB to the Compliance Infrastructure
  • Ability to take a step back and view the bigger picture, ability to balance strategic objectives with the need to make interim tactical choices in order to sustain progress
  • Strong communication, influence and relationship building skills. Ability to work with line of business and technology staff
  • Team player adaptable to changing environment, with good interpersonal skills
  • Knowledge and experience using Microsoft Project, Excel, Microsoft PowerPoint, Visio etc