Compliance Testing Resume Samples

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B Rodriguez

Bobbie

Rodriguez

23680 Kraig Ville

Phoenix

+1 (555) 233 8244

23680 Kraig Ville

Phoenix

Phone

p +1 (555) 233 8244

Experience Experience

Boston, MA

Compliance Testing

Boston, MA

Hirthe-Nikolaus

Boston, MA

Compliance Testing

Manage the reporting of key metrics for Investment Management’s Compliance Program to senior management
Review work performed, findings, conclusions, corrective action plans and workpaper documentation for completeness and to ensure Firm testing standards are met
Ensure assigned testing responsibilities are performed timely with high level of quality workpaper documentation and reports
Define test step objectives, perform “Compliance Review” planning, execute test methodologies, and draw proper conclusions from evidence gathered
Develop audit and testing methodologies, including interviews, observations, analytics, re-performance, walk-throughs, and attribute sampling
Support CT Management in developing the annual US Residential Real Estate test plan for Mortgage Originations and Servicing Test programs
Evaluating and documenting results of test work; and

San Francisco, CA

Compliance Testing Reviewer

San Francisco, CA

Grimes, Stracke and Powlowski

San Francisco, CA

Compliance Testing Reviewer

Establish good working knowledge and relationships with a wide cross section of businesses and functions and key stakeholders therein
Prepare review reports, document observations and test results and work papers
Complete the testing sheet and work paper, and input the testing results into the review program
Participate in Compliance testing reviews planning and develop a test program
Execute reviews based on the Review Program, to ensure that Citi maintains “Pristine” Controls against Regulatory Risks
Support or perform a CAP validation review and validation
Produce high quality Work Papers and Documentation

present

Detroit, MI

Manager Compliance Testing

Detroit, MI

Rohan-Morar

present

Detroit, MI

Manager Compliance Testing

present

Assist examiners in identifying and documenting gaps in processes to assist the Business Units with departmental and compliance efforts
Responsible for reviewing and assisting with the development of corrective action plans
Responsible for reviewing examiner work products and ensuring sound conclusions are clearly and concisely documented
Manage and oversee the examination process for the following regulations including, but not limited to
Responsible for participating in program planning and development
Work with the examination team and Business Units to ensure accurate and timely implementation of corrective actions plans
Provide leadership and specialist knowledge to examiners on Compliance matters to ensure a culture of compliance

Education Education

Bachelor’s Degree in Business

Drexel University

Bachelor’s Degree in Business

Skills Skills

Strong knowledge of banking regulations, including the rules and regulations of the FRB, OCC, FDIC and CFPB
At least 10 years experience with a financial services firm and/or self-regulatory organization in a role that relates to banking products and services
Strong knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940
A background in asset management compliance is a strong
Excellent interpersonal and communication skills with the ability to interact effectively with internal and external stakeholders, including regulators and senior management
Strong analytical and investigative skills
Strong organizational and project management skills and attention to detail
Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines
Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities
Ability to build relationships of trust with members of the Compliance department and employees in the business unit and support & control functions

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Compliance, Compliance Testing Group Resume Examples & Samples

Design work programs and work with team members to execute reviews within assigned budgets, and meet tight deadlines to evaluate compliance with rules and regulations
Review work performed, findings, conclusions and corrective actions required in organized work papers
Communicate with business management on findings and obtaining consensus on corrective actions required
Team with colleagues around the globe, to share findings and refine processes
5 or more years of auditing experience or other investigative work in the compliance area in the financial services industry, either working for another broker dealer, a law firm, a big 4 firm or a regulator
Integrity, motivation, intellectual curiosity and enthusiasm
Financial Instruments Product Knowledge (ACT, CFA, Prmia or FRM qualifications would be useful)
Fluency in English language, both orally and in writing
Understanding of accounting

Anti-money Laundering Compliance Testing Resume Examples & Samples

Assist with the development, implementation and execution of risk-based Compliance testing to review and assess the effectiveness of the Firm’s AML policies and procedures and controls
University degree educated or equivalent with strong academic credentials
Professional experience in an Anti-Money Laundering group and/or testing role (e.g. Internal Audit) at a large financial institution and/or bank government agency (e.g. FCA)
Ability to work effectively on multiple reviews with different individuals at the same time
Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast-paced environment
Excellent interpersonal skills necessary to work effectively with colleagues across regions and business units; able to question and challenge established processes

Compliance Testing Resume Examples & Samples

Participate in the annual compliance risk assessment and assist in formulating Investment Management Compliance’s testing program based on risk assessment results
Assist with the development, implementation and execution of risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing corrective action plans for gaps identified from testing
Communicate and report to compliance and business unit management on test findings, and obtain consensus on corrective actions required and potential enhancements to policies and procedures
Review work performed, findings, conclusions, corrective action plans and workpaper documentation for completeness and to ensure Firm testing standards are met
Team with Investment Management testing personnel around the globe to ensure consistent implementation and adherence to Firm testing policies and procedures and to share findings and refine processes, as needed
Monitor and review new/changing rules and regulations to identify potential areas requiring testing to evolve in line with the compliance environment
Represent Investment Management Compliance on the Firm’s Compliance Testing Committee
Liaise with internal audit to leverage their reviews for compliance testing and coordinate other internal/external audits/reviews, as needed
Manage the reporting of key metrics for Investment Management’s Compliance Program to senior management
Assist with coordinating with Operational Risk for Investment Management’s annual SSAE 16 assessment and manage deliverables for Investment Management Global Compliance
7 to 10 years experience in similar role in investment management
Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA regulations
Ability to work independently, as well, as in a team and manage multiple priorities
Must have excellent written and oral communication skills

Senior Compliance Officer Compliance Testing Practices Resume Examples & Samples

Possess the ability to learn and attain an expert level of competence with the application of the Corporate Compliance Testing Standards related to Compliance Testing reports and the documentation of testing workpapers
Develop and implement an effective Quality Assurance program that will assess the adequacy of the testing team to ensure testers fully and accurately execute against required corporate testing standards, including documentation standards
The incumbent will possess a strong knowledge of the iCAPs system, the tracking of issues through closure, ensuring the timely opening of iCAPs, and the evaluation of data to ensure iCAPs can be approved for closure
Support overall Compliance Testing Team goals to issue test reports in a timely fashion and within quality standards
The Manager will also complete projects assigned by the Cards Testing director
Perform special projects as assigned by the Cards Testing Director and or by the Consumer Testing Unit Managing Director
Possess ability to recognize and assess control environments, key risks, and applicable consumer regulations
Perform reporting duties, including senior management reporting, that will assist in the tracking and reporting of results related to the completion of the Compliance Test Plan. Perform issues trending analysis and other reporting as needed
Knowledgeable of auditing standards
Knowledgeable of functions and processes within the Cards industry
Knowledgeable of federal and state Cards regulations
Strong leadership skill
Knowledgeable and capable of developing and executing a strong Compliance Testing Quality Assurance Program
Work collaboratively with the Compliance Testing members and other Risk and Control partners Strong communication and influencing skills during negotiation processes with clients
BA/BS or equivalent required
10+ years of Cards related experience preferred
7+ years related Compliance, Audit and/or Control oversight work experience required, preferably within Cards

Compliance Officer Compliance Testing Practices Resume Examples & Samples

Strong understanding of auditing or Compliance Testing goals and objectives
Experience with Compliance testing or auditing within a Cards environment
Possess the ability to learn and fully understand Corporate Compliance Testing Standards related to Compliance Testing and the documentation of testing work papers
Execute a Quality Assurance program that will effectively assess the adequacy of testing to ensure testers fully and accurately execute against required corporate testing standards, including documentation standards
Assist the QA manager with respect to testing team reporting, including senior management and corporate reporting, that will assist in the tracking and reporting of results related to the completion of the Compliance Test Plan
Strong experience in developing senior/executive level reporting and presentations

Compliance Testing Reviewer Resume Examples & Samples

Minimum five to seven (5-7) years of experience in the banking industry and/or in Big Four with banking engagement
Bachelor’s degree or/and a relevant professional qualification five to seven years (5-7) in compliance, control &/or audit/risk management role is desirable
Balanced approach to business issues, specially from a compliance perspective
Strategic ability to identify emerging compliance risks

Compliance, Compliance Testing Group, VP Resume Examples & Samples

Understand the various business divisions and applicable policies and procedures and securities rules and regulations
Create and edit detailed testing work programs to ensure compliance with regulatory local regulations and firm policies
Communicate observations and recommendations to Compliance and Business Management
Monitor the implementation of action items as applicable
Strong communications skills, both written and oral
Audit, compliance or prior regulatory experience preferred
Industry knowledge and minimum 6-8 years of relevant experience preferred
Attention to detail and strong organizational skills
Knowledge of rules and regulations preferred including FCA Rules and Regulations
Ability to review regulations and firm policy for the purpose of developing test working programs and identifying control gaps or deficiencies
Ability to work effectively with both junior and senior personnel across various departments (including compliance, legal, operations, technology and business)
Ability to work independently – self-starter, enthusiastic and highly motivated
Proficiency in all Microsoft Office applications including Word, Excel and Powerpoint

Compliance Testing Reviewer Resume Examples & Samples

Apply solid understanding of Compliance testing standards, Citi policies, and Regulatory Requirements in reviews
Pro-active engage with Product/AML Compliance Officers and Business personnel to ensure optimal coverage for planned Compliance Testing target review
Prepare, design Compliance Testing Review Program with regulations or Citi policies requirements
Execute reviews based on the Review Program, to ensure that Citi maintains “Pristine” Controls against Regulatory Risks
Complete the testing sheet and work paper, and input the testing results into the review program
Draft Compliance Testing Final Report by following the Global/Regional Testing Standards, and submit the report to Compliance Testing Head for review
Address, identify the potential issue or discrepancy in the implementation of regulatory requirements, AML policies and compliance controls
Pro-actively trace the corrective action plan with relevant departments to ensure the issues identified are resolved within target date
Manage the schedule of testing process to ensure the timely completion of testing plan, timely input the testing progress into the Regional Compliance Testing SharePoint
Interact within the compliance function and showing a unified voice to the business

Bank Compliance Testing Associate Resume Examples & Samples

Communicate testing results, present identified issues to the business, work with the business to develop and implement a plan of corrective action, and prepare written reports
Remain current on industry rules, regulations, and best practices to help ensure that the testing program meets regulatory standards
Bachelor’s Degree. MBA or CRCM certification is preferred
Previous experience with a bank government agency preferred (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the banking industry
Minimum of ten years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
Experience with Office of the Comptroller (“OCC”), the Consumer Finance Protection Bureau (“CFPB”), the Federal Deposit Insurance Corporation (“FDIC”), and the Federal Reserve Board (“FRB”) regulations, and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council (“FFIEC”) and the federal banking authorities (OCC, CFPB, FDIC, or FRB) including consumer laws and regulations and/or Transactions with Affiliates (Regulation W). Experience with mortgage, retail, institutional lending or FX businesses
Ability to handle a fast paced environment with minimum supervision and successfully meet established deadline requirements

Manager, CBA Compliance Testing & Monitoring Resume Examples & Samples

Provide oversight in the implementation of the first and second lines of defense Compliance monitoring programs
Conduct regular interaction with various business units and other stakeholders, to understand their roles and responsibilities in the mitigation of key regulatory risks
Provide assistance to staff in their development of monitoring activity procedures, designed to detect and mitigate regulatory violations using a risk-based approach
Assist in the preparation of the final report, facilitation of management discussion, and ensuring appropriate remediation plans and dates are obtained from management on a timely basis
Identify key compliance controls and develop test scripts for design and operating effectiveness testing
Identify potential opportunities for regulatory process and control modifications within the engaged business
Hire, train, mentor, develop and retain superior Compliance staff; provide advice, guidance and support to Compliance staff as required
Provide direction to team members to ensure achievement of overall department and Bank priorities
Assist with special projects, as required

Gf-compliance Testing Reviewer Resume Examples & Samples

8 - 10 years in the financial services industry or in Big Four with financial institution engagement
4 - 6 years in compliance, control &/or audit /risk management role
Bachelor’s Degree or professional qualification
Strong Execution skills

Compliance Testing, Aml-team Lead Resume Examples & Samples

Be responsible for handling compliance testing plan within the firm and for external vendors to assess the effectively of the AML policy and procedures
Communicate the test results to senior management
Liaise with different stakeholders including but not limited to business partners, external vendors, internal test teams, etc.
Have solid compliance testing experience is highly preferred
Sound knowledge and understanding of AML regulations is a MUST

Analyst Compliance Testing Unit Com A Resume Examples & Samples

Assist in planning inspections and reviews by assessing key risks pertinent to the business, gathering records and analyzing the information to identify control issues
Execute inspections and reviews according to CTU protocols. This involves reviewing applicable policies and procedures, testing the adequacy of control systems, identifying the root cause of issues and presenting the testing results to business management as well as compliance
Document testing results into an on-line proprietary system
Support business unit management by researching questions or handling compliance related issues as they arise and escalating when appropriate
Work with management to ensure alignment of individual achievements, behaviors and actions with compliance-related business unit goals and objectives
Interact with personnel in multiple areas - CTU, business unit compliance, business units and other control areas such as internal audit and risk management
Coordinate functional activities in support of CTU activities
3 plus years of compliance, compliance testing, opertions, audit or other control function experience and/or relevant analytical skills
Highly developed written and oral communication skills. Ability to communicate to all levels of an organization
Expertise in broker-dealer, investment adviser and/or mutual fund/variable product rules and regulations preferred
Ability to work independently as well as in a team and manage multiple priorities
Ability to coordinate with other control functions, such as internal audit and risk management
Experience working with medium to large sized financial services firms with diverse business lines is preferred
BA/BS degree is preferred
FINRA registration (Series 6 or 7) is a plus

Corporate Loan & Deposit Compliance Testing Resume Examples & Samples

Maintain superior knowledge of compliance laws and regulations. Conduct testing to analyze, advise and communicate new/amended laws or regulations to LOB management. Serve as a subject matter expert and provide guidance to the LOBs in carrying out their compliance obligations
Maintain good working relationship with assigned LOBs and serve as a liaison between Compliance Testing and LOB management and staff
Communicate with functional managers during the development of testing procedures to ensure that compliance-related policies and procedures are being followed and updated as required
Evaluate through Compliance Tests the development and implementation of policies, procedures and processes to minimize compliance risks
Advise business leaders and staff within various Business Units of testing results. This includes participating in meetings with business units and risk groups to provide regulatory guidance
Evaluate new products, marketing and changes to business flow and procedures and analyze initiatives for compliance risks
Evaluate emerging compliance risks using a proactive approach and forward thinking analysis
Evaluate and review compliance training for departments and BB&T University personnel as needed
Evaluate consumer complaint responses
Assist the Testing Manager in the management of regulatory examinations and internal audit
Assist with other special projects as needed
Four years of financial institution experience in compliance, lending or equivalent experience
Good working knowledge of standard software applications such as Microsoft Office
Competent knowledge of consumer compliance laws and regulations, with emphasis on lending compliance
Ability to communicate with all levels of management
Ability to manage implementation of regulatory requirements with assigned LOBs
Self-starter and independent thinker
Ability to travel as needed, occasionally overnight
Seven or more years of compliance experience at a large financial institution
Completion of the American Bankers Association’s Compliance School or CRCM certification
Operational and regulatory knowledge of financial institutions (banks, loan companies, broker/dealers, registered investment advisors, investment banks preferred)

Corp Latam Compliance Testing Associate Based Resume Examples & Samples

Execution of the LATAM Testing Program
Testing of businesses impacted by Regulatory Changes
Support the other members of the team in the reviews
Audit or relevant Industry Qualifications or a University Degree
Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business and Compliance partners

Corp-latam Compliance Testing Resume Examples & Samples

Act as a Lead reviewer in the tests assigned
Proven compliance experience or other related experience e.g. legal, risk management, audit , Operations Controls or similar
Demonstrate an ability to interpret regulations and regulatory requirements and assess operational Compliance with those requirements
Have excellent written skills and be able to construct and deliver Compliance Testing Reports to senior management
Have a good appreciation of the regulations applicable to CIB, particularly new and upcoming regulations, specifically knowledge of Dodd-Frank and EMIR

Corp-latam Compliance Testing Resume Examples & Samples

Be a team player, able to work with other team members across Compliance
Have good organizational skills with an ability to manage, prioritize, work under pressure and meet tight deadlines
Be comfortable interacting with, and presenting to, senior business management and control functions
Demonstrate clear and concise verbal and written skills
Have flexibility regarding working hours

Compliance Testing Associate Resume Examples & Samples

2 year Accounting or Business degree or equivalent work experience preferred
0-2 years relevant business experience preferred
Pension experience and knowledge of IRS Compliance Testing and Limits preferred
Strong problem solving, research and analytical skills
Must have PC skills and be familiar with Microsoft office products, including a strong Excel skillset
Must be able to handle multiple tasks concurrently
4 year Accounting or Business degree or equivalent work experience preferred
2-5 years of relevant business experience preferred
5+ years of relevant business experience preferred
Pension experience and knowledge of IRS Compliance Testing and Limits required

Compliance, Compliance Testing Group Resume Examples & Samples

Gather data, perform analyses and document results
Meet tight deadlines
Knowledge of financial products, markets and regulatory policies
Experience in the financial services industry, either working for another broker dealer, law firm, big 4 firm or regulator

Compliance, Compliance Testing Group Resume Examples & Samples

Knowledge of the Investment Company Act of 1940 and related compliance and testing experience
Knowledge of the asset management business
Excellent interview and presentation skills
Experience in the financial services industry, either working for another investment manager, broker dealer, law firm, big Big 4 firm or regulator
Fluency in French, Spanish, Portuguese, German, Italian, Japanese, Korean, or Mandarin Chinese a plus

Manager of Compliance Testing Resume Examples & Samples

Minimum of eight years experience in both mortgage and/or consumer lending compliance
Minimum three years management experience with demonstrated ability to effectively lead other professionals
Direct experience and proven ability in partnering with the businesses in converting regulations into technical requirements. Must possess direct business knowledge to provide input and direction on how to implement a regulation versus solely communicating what is required
Bachelor's Degree required
Requires knowledge of mortgage lending operations, finance and regulatory compliance in the financial services industry
Demonstrated technical expertise in federal consumer lending regulations (TILA, RESPA, HMDA, ECOA, Flood Disaster Protection Act, FCRA, Fair Debt Collections, and other consumer protection laws and regulations), federal examination procedures, and compliance risk management
Proven leadership and management skills with demonstrated ability to build a group and realize goals
Ability to effectively achieve both business and compliance goals by providing balanced solutions to regulatory requirements
Communication skills, verbal and written, capable of expressing complex issues to a broad audience
Demonstrated ability to effectively achieve both business and compliance goals by providing balanced solutions to regulatory requirements

Information Technology Compliance & Testing Resume Examples & Samples

Provide advice to IT application owners on the implementation of strong IT general computer controls (GCC) over applications in-scope for control verification
Perform design effectiveness testing (DET) and detailed operational effectiveness testing (OET) of IT GCC
Perform deep-dive testing for non-standard/complex IT controls
Perform Quality Assurance Reviews of control documentation and DET and OET testing performed by the IT Line
Advise IT Line on appropriate remediation of control matters/issues identified during DET and OET testing
Perform risk analysis for control matters/issues identified during DET and OET testing
Monitoring and Management reporting on the status of IT control documentation and testing and issue remediation
Provide training and support for IT Line regulatory coordinators and control owners
Degree in Information Technology Management, Management Information Systems, Accounting, Business, Finance or a related field
Experience in IT SOX control testing or IT Audit
Experience in design and implementation of IT General Computer Controls
Outstanding project management skills
Excellent sense of ownership, high initiative and the ability to work with minimal supervision and escalation
Proficient organizational, analytic, and negotiation skills. Ability to work with people at all levels in the organization, including senior management
Proficient in Microsoft applications

Gfcc Compliance Testing Resume Examples & Samples

Lead the development and production of monthly, annual, and ad-hoc presentations for Senior Management, Key Stakeholders, Global Regulators, etc
Manage a Reporting Associate
Enhance and execute the GFCC Testing communication strategy; inclusive of periodic newsletters, monthly section/region/corporate calls, monthly GFCC Testing Forum meetings, and other ad-hoc meetings
Develop and execute data analysis using data mining techniques to identify trends and produce actionable metrics
Maintain, revise and/or enhance procedures, written guidance, and job aids
Manage responses to Audit and Regulatory Exam requests for documents and information
Manage creation and tracking of the Testing team’s training requirements
Apply consistent approach to the project management of annual and ad-hoc initiatives within the team globally
Experience - minimum of 4 years of diverse problem solving / strategic initiative / project management
Project management skills – able to manage multiple workstreams involving multiple partners and groups and be able to make decisions autonomously; adept at prioritization and meeting deadlines
Analytical skills – the candidate must have experience in collecting, analyzing, and synthesizing data
Computing skills – excellent and efficient skills using MS Excel and PowerPoint tools (absolutely required)
Communications skills – an outstanding ability to communicate effectively and confidently (both oral and written)
Strong interpersonal skills – possess an ability to interact with colleagues at all levels in a peer-like way, and achieve goals without direct control over resources
Teamwork skills – work well in an unstructured environment with the ability to adapt quickly to change. Candidate must possess openness to an environment of active developmental feedback from peers
Flexibility / Initiative – self-starter, capable of working under minimum supervision with ability to manage multiple requests for information and handle confidential and sensitive information in a professional manner
Client management skills – the candidate must be able to demonstrate a history of ability to closely partner with senior and line managers and other stakeholders on regulatory engagements
Management Consulting experience in the financial sector
Experience building MS Access Database
Experience in internal audit, operational risk management, or other control function
Experience with and/or knowledge of BSA, AML, Sanctions, ABC and other jurisdictional AML regulatory requirements and standards applicable to a global financial services firm
Relevant AML/Sanctions/ABC certifications a plus

Rohq Compliance Compliance Testing Compliance Reviewer Resume Examples & Samples

Two to seven years in the financial services industry or in a reputed Accounting firm with financial institution engagement
Experience in compliance, control &/or audit /risk management role is desirable
Bachelor’s degree with professional qualifications as applicable
Balanced approach to review exceptions
Ability to speak one’s mind and be able to stand firm, while balanced, on key issues specially when confronted with senior management with opposing views

Compliance Testing Reviewer Resume Examples & Samples

Participate in Compliance testing reviews planning and develop a test program
Assess the risk level of exceptions identified, and communicate with the related parties for disposition of the exception, propose solutions and help process/control owner develop corrective action plan (CAP)
Monitor test plan progress on an ongoing basis and ensure the Annual Plan of Reviews is executed
Establish good working knowledge and relationships with a wide cross section of businesses and functions and key stakeholders therein
Identify all relevant regulations applicable to the identified compliance risks to be covered in a review and prepare detailed review scope and an SRPs
Engage business/functional stakeholders in reviews – administer queries, obtain samples, data, responses and information around test steps laid down in SRP
Collaborating on Corrective Actions with businesses and monitoring/tracking/validating CAPs laid down in integrated CAP system
Prepare review reports, document observations and test results and work papers
Support or perform a CAP validation review and validation
Required - 8 years experience in Banking or Markets
Risk/Compliance/Control assignments in Banking or Markets (preferred)
Management roles in financial services in the domain of compliance/operational risk/control (preferred)
Minimum 3 Years in Audit/Compliance/Control roles (preferred)
Fluent in communication and strong interpersonal skills
Skills to work with data for mining and analysis purposes
Ability to effectively engage with senior business partners will be an essential
MS Word and MS Excel

Compliance Testing Associate Resume Examples & Samples

Perform the compliance testing, and any applicable refunds, on an assigned case load
Perform earnings calculations for corrective contributions, corrective distributions and late remittances
With applicable guidance, provide verbal/written communications to clients regarding plan operational errors, compliance testing, contribution allocations and overall compliancy of the Plan
Interpret and communicate general plan provisions and IRS regulations to others with various levels of experience
Act in a consulting capacity to clients and internal team members
Perform illustrations as requested by internal and external contacts
Escalate issues within the escalation standards
With applicable guidance, act in a consulting capacity to clients and internal team members
Assist and counsel Associates with questions as needed
Evaluate alternative solutions and consult other team members and management with resolutions
Perform the compliance testing, and any applicable refunds, on an assigned case load of the more complex plans
Provide expertise and verbal/written communications to clients regarding plan operational errors, compliance testing, contribution allocations and overall compliancy of the Plan
Interpret and communicate complex plan provisions and IRS regulations to others with various levels of experience
Guide and lead project teams to identify areas of improvement( for example; workflow, efficiencies)
Prepare and conduct internal training as required
Assist and counsel Associates and Consultants with questions as needed

Compliance Testing & Monitoring Resume Examples & Samples

At least 5 or more years of Compliance desk review, auditing experience or other investigative work in the financial industry
Excellent analytical skills with the ability to review large volumes of information and data and highlight/investigate potential exceptions
Excellent project management skills and attention to detail
Knowledge of financial products such as equities, fixed income, interest rates and currencies and their derivatives
Knowledge of Asian regulations and compliance background preferred
Understanding of information technology systems for supporting banking and markets businesses as set out above
Fluent in English a must and Chinese preferred

CIB VP / AVP, Compliance Testing Resume Examples & Samples

Conduct compliance testing at offices in the Americas region
Visit each office in the region once a year (or more as necessary), and conduct compliance testing on up to 14 compliance themes (local laws and regulations, “priority areas”, etc.)
Prepare a testing report for each testing conducted
Understand the Americas offices’ compliance status and the compliance framework
Review and understand the offices’ Compliance Committee Minutes
Participate in the Compliance Committee of each office by telephone conference
Follow up on the compliance status of each office by conducting telephone conference regularly
Compile the results of 1 and 2 above, circulate a monthly report containing the results in the Division and share information with related divisions as necessary
Support the Americas offices by providing up to date knowledge and advice
Conduct other related tasks
1-3 years of work experience in compliance
Minimum 1 year of testing experience
Audit (or Testing) experience is required
Supervisory/managerial experience is preferred
Ability to work cooperatively with other members of the team and the division
Ability to travel (15%-20%)

Global Compliance Testing, Senior Consultant Resume Examples & Samples

Participates in internal and external groups to provide and receive advice on industry trends
Consults with partners regarding daily decisions that could pose risk and conflict with existing policy. This includes analyzing and reviewing the results of Compliance Risk Assessments in determining appropriate testing
Operates independently; has in-depth knowledge of Compliance risk avoidance
May lead projects, mentor junior level employees and review the work of others
10 or more years of compliance, risk management experience or equivalent related experience

Compliance Testing & Risk Assessment VP Resume Examples & Samples

Lead the design and delivery of a portfolio of Compliance Tests / Reviews to monitor compliance with Regulation and internal policy. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources
Provide guidance, training and advice on Compliance testing policy and procedures, including for example in relation to scoping, sampling, documentation and themes arising across different test checks
Assist with Quality Assurance on completed Compliance tests
Participate in testing related global projects (for example the design of global testing "protocols" for certain areas to ensure a consistent global approach)
Help design and review the Compliance testing programme: help design the evolving programme, liaising closely with the EMEA Compliance coverage teams and relevant global teams
Help oversee and guide more junior team members
Knowledge of US swap dealer rules would be beneficial (but not essential)
Previous experience of wholesale banking related matters
Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions in data)
Detail oriented and good memory skills
Ability to remain focused under pressure
Ability to perform multiple tasks simultaneously

Anti-money Laundering Compliance Testing Resume Examples & Samples

Review work products of more junior team members
Professional experience in an Anti-Money Laundering group and experience of Compliance testing (or equivalent, e.g.. Internal Audit) at a large financial institution and/or regulatory authority
Detailed understanding of the financial crimes regulatory regime
Knowledge of what constitutes an effective Compliance Framework and market best practice
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license, or certification within 15 months of hire

VP of Compliance Testing Resume Examples & Samples

10+ years of experience with a Financial Services firm and/or Self-Regulatory organization in a Compliance, Legal or Audit role
Bachelor's Degree in a related field
Strong knowledge of institutional Equities and/or FICC Sales & Trading businesses
Background in Advisory / Line-of-Business Compliance, particularly Equities or Fixed Income Compliance
Knowledge and experience with the Volcker Rule of the Bank Holding Company Act and swap dealer rules, including the rules and regulations of the CFTC and the SEC

CIB Compliance Testing Resume Examples & Samples

Assist in maintaining the annual Compliance Review program schedule
Assist in the annual update of the Compliance Risk Matrix
Draft and issue Compliance Review Announcement letters to key stakeholders
Conduct field testing of areas identified as requiring testing
Compile and maintain adequate supporting workpapers
Participate in the interview of and discussion with key stakeholders for areas under review
Discuss preliminary findings/issues with internal stakeholders and participate in active correspondence with key individuals to identify an appropriate action plan
Track and validate corrective action within internal tracking systems
Draft Compliance Testing Reports and participate in the discussion of recommendations with relevant parties
Assist in the preparation of materials required for regulatory exams and/or internal/external audits
Participate in planning discussions on future program enhancements
Assist in the annual bank-wide BSA/AML and OFAC risk assessment processes
Draft the annual Identity Theft Red Flag risk assessment and maintain adequate supporting workpapers
Manage ad-hoc projects, as required
The ability to work effectively and independently, to conduct research on various requirements and industry standards as necessary, and to handle multiple reviews and deliverables concurrently
A minimum of three years of compliance and/or financial services audit, operations experience or equivalent
A Bachelor's degree in business, finance, or a related field or equivalent experience
Strong communication, analytical, organizational and planning skills
Knowledge of commercial banking business products, operations, systems and organization
An understanding of key regulatory compliance requirements applicable commercial banking

CIB Compliance Testing Resume Examples & Samples

Develop and maintain the Volcker Rule Compliance Testing Program, including making necessary updates, as required
Complete monthly update reports related to Compliance Committee Volcker Rule Working Group
Draft and issue Compliance Testing Reports and participate in the discussion of recommendations with relevant parties
Participate in regular discussion with members of the Compliance Committee Volcker Rule Working Group, including escalation of issues as necessary
Assist in Compliance Reviews of other requirements
An understanding of key regulatory compliance requirements applicable to the Volcker Rule including various proprietary trading exemptions under the rule
Knowledge of commercial banking business/trading products, operations, systems and organization
A minimum of three (3) years of compliance and/or financial services audit, operations experience or equivalent
A Bachelor's degree in business, finance, a related field or equivalent experience

Bank Group Compliance Testing Professional Resume Examples & Samples

Complete reviews on time and on budge
Manage team of testers
Bachelor’s Degree JD, CPA, MBA or CRCM certification is preferred
Experience with Office of the Comptroller (“OCC”), the Consumer Finance Protection Bureau (“CFPB”), the Federal Deposit Insurance Corporation (“FDIC”), and the Federal Reserve Board (“FRB”) regulations, and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council (“FFIEC”) and the federal banking authorities (OCC, CFPB, FDIC, or FRB) including consumer laws ( for example: Ability to Repay, Truth In Lending Act, Equal Credit Opportunity Act) and regulations and/or Transactions with Affiliates (Regulation W). Experience with mortgage, retail, and institutional lending or FX businesses

Bank Group Compliance Testing VP Resume Examples & Samples

Perform compliance testing with applicable federal banking rules and regulations as well as bank policies and procedures covering banking products. Escalate and work to close any issues identified
Track of the status of the corrective action plans agreed upon with the business
Maintain detailed and organized documentation of work product
Coordinate with other professionals in the organization, including compliance advisory teams, FHC Monitoring and Testing Group and Internal Audit
Document testing results using the workpaper documentation system
Prepare well written reports
Complete reviews on time and on budget
Minimum of seven (7) plus years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
Experience managing testing a team
Previous experience with a bank government agency (e.g., OCC, FRB, CFPB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the banking industry
Highly developed investigative skills – inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal)
Excellent communication (oral and written), interpersonal and PC skills
Familiarity with workpaper automation a plus (OpenPages)

VP, Compliance Testing, Cib-india Resume Examples & Samples

Oversight of the quality of testing, reports and documentation for all testing performed by the APAC team
Timely execution of the Regional Testing program
Testing of businesses and processes impacted by Regulatory changes
Management of open issues arising from testing and ensuring that associated action plans are addressed
Co-ordination with Corporate functions globally in order to ensure that testing meets corporate standards
Working closely with CIB audit and Corporate Compliance to ensure the effectiveness of the compliance testing program
Co-ordination and oversight of Audit, Regulator and Client enquiries and reviews relating to Compliance testing
Involvement in Practices departmental projects

Compliance Testing Resume Examples & Samples

Leverage strong communication skills to interact with Compliance and business and Finance senior management
Coordinate reviews with the firm’s Internal Audit group
Auditing and testing experience
A high degree of financial literacy and accounting knowledge is required
Excellent analytical and time management skills
Experience in the financial services industry with a preference for experience working with asset management firms, a broker dealer, Big Four firm or regulator
Understanding of information technology systems and standard system implementation methodologies

Compliance Testing Head Resume Examples & Samples

Experienced risk/control/compliance/internal audit professional with a strong understanding of both the institutional and consumer businesses as well as AML
15+ years of experience and 10+ years in a managerial role required
Bachelor’s degree required or MBA strongly preferred as well as fluency in a second language
Proven skills in leadership, including strategic planning, project management, personnel development and organizational skills in a large global financial services organization
Experience in developing, executing and leading regulatory reviews or internal audits
Experience assessing regulatory areas to develop annual testing plans
Ability to gain an understanding of corporate and product specific policies/control environment, as well as key regulatory requirements
Strong leadership skills and prior experience in direct management of a large and diverse group of professionals
Proven track record of strong industry and regulatory relationships
Excellent writing skills and the ability to succinctly convey information to senior business and Compliance management

SVP FCC Compliance Testing Technology Resume Examples & Samples

Minimum of fifteen years proven and progressive financial services operations, compliance and/or audit senior management experience gained in a large international financial institution
Minimum of a Bachelor's degree in business, related field or equivalent experience; Master's degree and/or CISA preferred
Proficiency in Spanish a plus
Well-developed managerial, communications, negotiation, analytical, organizational, project management and strategic and/or operational planning skills
Broad scope of knowledge of assigned businesses, including products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to assigned business(es)
Proficiency with the concept of ‘big data’ and technical architecture of large financial firms, pertinent mainframe systems, and software packages
Broad scope of knowledge of different types of risk and applicability to Compliance Risk
Good understanding of the regulatory and financial crimes framework within North America and Latin American countries
Depending on the individual role, professional certification (e.g., CAMS, CANNON Trust, CISA, CRCM, CCRP, CIA, CFSA, CFCS, etc.) is desired

VP Team Manager Compliance Testing Technology Resume Examples & Samples

Good managerial, communications, analytical, organizational, project management and planning skills
Strong proficiency in automated tools and techniques such as Spotfire, Cliqview, dbms, acl, excel, etc
Proficiency with banking systems, databases and banking products
Depending on the role, required professional certification may include: CAMS, CANNON Trust, CISA, CRCM, CCRP, CIA, CFSA, CFCS etc

Compliance Testing Resume Examples & Samples

Degree in Accounting or Finance
At least 2-7 years of combined compliance and/or supervisory experience with prior examination or audit experience for banks, investment banks
Deep understanding of risk assessment and monitoring and testing methodologies and techniques
Ideally with global markets product knowledge
Excellent interpersonal, written and verbal communication skills are essential
Aptitude in displaying and communicating data analysis
FINRA Series 7, 63. Regulator [and Volcker/Dodd Frank compliance] experience preferred

Compliance Testing CIB Associate Resume Examples & Samples

Execution of the EMEA Compliance Testing Program
Testing of businesses impacted by Regulatory changes
Management of open issues arising from testing and ensuring associated action plans are addressed
Working closely with Internal Audit and Corporate Compliance to ensure the effectiveness of the Compliance Testing program

Americas AVP Seniortechnical Compliance Testing Resume Examples & Samples

Creates business process flows and performs analysis to identify data integrity weaknesses
Strong communications, analytical, interpersonal, organizational, and planning skills
Working knowledge of assigned businesses, products, operations, systems and organization and understanding of all significant regulatory compliance requirements applicable to the business
Experience with forensic data testing, design, and interpreting data queries

VP Team Manager Compliance Testing Technical Resume Examples & Samples

Some domestic travel may be required in relation to individual assigned reviews
Minimum of seven to ten years proven and progressive financial services audit, operations and/or compliance experience or equivalent, preferably in a large bank environment
Bachelor’s degree in business, information systems, related field or equivalent experience; Master’s degree preferred
Experience with forensic data testing design and interpreting data queries

Compliance Officer Compliance Volcker & Title VII Compliance Testing Resume Examples & Samples

Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements
Assist in developing a review work plan based on the results of the annual compliance risk assessment
Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations
Escalate potential issues and exception items noted during the review process to senior management
Prepare and distribute reports to senior management detailing review findings and recommendations
Assist in the development of a compliance program to conduct independent testing of the Bank's Title VII and Volcker Rule compliance programs in order to monitor the business’ ongoing compliance with these rules, identify non-compliance in a timely manner and oversee remediation activities
Assist in the continued development of a Title VII and Volcker Rule compliance program across Scotiabank, where necessary, and help ensure compliance with the Act’s requirements and associated policies and procedures
Assist in the continued implementation and oversight of the Title VII and Volcker Rule Compliance Programs through verification of the Bank’s adherence to applicable rules and regulations through onsite surveillance, testing and training. Identify and investigate weaknesses in relevant policies, procedures, systems and training and recommend corrective action
Coordinate with various support and control groups within the Bank, such as Legal, Risk, Operations, IT, to help ensure compliance testing and internal controls regarding title VII and Volcker Rule requirements
Assist in the review all examination reports along with internal audit reports to ensure that the business responds with appropriate action to address any recommendations and deficiencies cited in the examiners’ reports, monitoring progress to resolution
Assist in the evaluation of the effectiveness of surveillance and monitoring of internal controls for Title VII and Volcker Rule purposes
Assist in ensuring that potential violations of Title VII and Volcker Rule requirements are investigated in a timely manner and that appropriate corrective action taken, if necessary
Assist in the review and revision of existing management framework as needed to ensure clear delineation of responsibility and accountability for compliance with Title VII and Volcker Rule compliance programs
Assist in the development of education and training programs relating to Title VII and Volcker Rule requirements
Maintain an awareness of, and monitor the regulatory environment for, emerging legislation and policy statements, along with relevant trends and industry best practices applicable to Scotiabank’s US banking operations, through review of regulations and guidance issued by various US federal and state regulatory agencies, publications, participation in industry associations, contact with regulatory agencies, and work with other members of Scotiabank’s Global Compliance Group
A minimum of 2-5 years of compliance, legal, audit or regulatory support experience/background with investment or commercial bank or with a law firm or consulting firm providing advice to investment or commercial banks or supporting a capital markets or derivatives trading operation. A minimum of 1 year of testing experience
An understanding of compliance and testing best practices
Familiarity with the requirements of DFA and associated proposed regulations relating to SDs, including the Volcker Rule
Familiarity with applicable NFA, CFTC, SEC and FRB regulations
Strong analytical and investigative skills
Highly organized and capable of dealing with complex projects
Ability to manage multiple compliance reviews and projects at the same time and meet timely deadlines

Assistant VP-compliance Testing Resume Examples & Samples

The candidate shall be an integral member of the Compliance Testing team responsible for leading and managing regulatory compliance reviews covering all legal vehicles, businesses and functions across the country franchise (GCG/ICG/Markets all Legal vehicles), for compliance with specific planned regulatory guidelines issued by various regulatory bodies and internally by Citi, in India, Sri Lanka and Bangladesh, through targeted reviews planned recommended by country compliance as well as the Regional and Global Compliance Testing chain
The position reports into the Compliance Testing Head-India Subcontinent
Performance Compliance testing reviews planning and develop a test program
Execute the test program, and document the test results in line with the global Citi compliance testing standards
Assess the risk level of exceptions identified and communicate with the related parties for disposition of the exception, propose solutions and help process/control owner develop corrective action plan (CAP)
Establish good working knowledge and relationships within country product compliance as well as seniors in the businesses and functions and key stakeholders in the country franchise
Identify all relevant regulations applicable to the identified compliance risks to be covered in a review and prepare detailed review scope and an SRP
Engage business/functional stakeholders in reviews–administer queries, obtain samples, data, responses and information around test steps laid down in SRP
Engage with business/functional stakeholders over interviews and walkthroughs and make assessments of compliance risks based on business responses
Prepare reports, document all testing observations and test results in Test work papers as per Global Testing Standards
Perform a CAP validation review and validations
Overall 6-7 Years of experience in Banking or Markets Business in business/compliance/audit/control related roles
Self-driven and ability to work on projects with tight deadlines
Analytical approach to problem solving
Fluent in conversing in English and good flair for spoken and written communication skills
Ability to display strong team skills
Min 3 Years in Audit/Compliance/Control roles with team leadership experience
Experience 2-3 years experience in Risk/Compliance/Control assignments/Operational Risk/in Banking or Markets
2-3 years experience in a Big 4 in Financial Services industry
Ability to effectively engage with senior business managers
Analytical approach and Good understanding of Risk Mitigation and formulation of effective controls around regulatory risks
Ability to comprehend regulatory guidelines and formulate testing steps and test the processes per global audit standards
Good working knowledge of Word and MS Excel)

Compliance Testing Resume Examples & Samples

Develop and implement monitoring programmes across the Corporate Banking & Securities, Asset & Wealth Management, Global Transaction Banking divisions in the region, and drive and perform tests based on such programmes
Develop and implement scope documents, key operating procedures and summary reports related to monitoring programmes in line with industry best practice
Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing and Business Line compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance
Train and develop staff onsite
Maintain solid working relationships with Business Line Compliance, Front Office, Operations, and other control groups throughout the region
Conduct in depth consultative risk based reviews of specific compliance topics to ensure the successful integration of monitoring programmes across multiple jurisdictions
Remain current on industry rules, regulations and best practices to help ensure that the examination program meets regulatory standards
Help to make effective use of information systems
Work on special projects and targeted reviews, as necessary
Ensure that agreed actions for issues found in compliance reviews are completed in a timely manner
Preferably the candidate has 7 years plus, of experience gained within a legal, compliance, operations, audit or regulatory background within the financial services industry
Strong investigative skills – inquiry, analysis, interviewing, testing (including forensic testing)
Experienced in training and developing junior staff; including the ability to mentor, coach, and develop direct reports to ultimately benefit the capability of the team
An understanding of the legal and compliance issues of an investment bank
Excellent computer literacy, specifically Microsoft Office. Intermediate to advanced level Excel required including use of pivot tables, vlookups, countifs, other formulae and drafting various charts
Candidate should be comfortable dealing with large volumes of data and making effective use of information systems
Additional language skills would be advantageous due to the regional focus
Be action oriented with a strong focus on completing tasks with accuracy and efficiency while working independently and with minimum direction
Strong analytical, organizational and leadership skills

Compliance Testing Resume Examples & Samples

Conduct compliance reviews under the direction of the Americas Head of Compliance Testing and the Head of Bank Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements applicable to banking products and services
Assist in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing, the Head of Bank Testing and the Head of US Bank Compliance. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance
Advise team members with respect to applicable regulatory requirements to ensure testing is adequately designed to identify potential control gaps and non-compliance with laws and regulations applicable to banking products and services
Strong knowledge of banking regulations, including the rules and regulations of the FRB, OCC, FDIC and CFPB
At least 10 years experience with a financial services firm and/or self-regulatory organization in a role that relates to banking products and services
Strong knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940
A background in compliance testing or audit is strongly preferred
A background in asset management compliance is a strong plus

Planning Specialist Compliance Testing Resume Examples & Samples

You will be involved in Facilitates tactic development through production partners and marketing managers, and ensuring timelines are met
Performs art and copy proofing, link validation, and facilitates creative approval process from legal
Facilitates tactic development through production partners, and marketing managers across multiple channels
Ensures production timelines are met and escalate challenges to marketing manager
Performs art proofing at multiple stages to the specific standards held for each product and/or channel
Researches and resolves budget inquiries
Facilitate list escalation with R&A, originator, marketing manager, and campaign analyst to secure resolution and approval
Accountable for obtaining legal and compliance approvals and closing out in required systems
Proof creative at additional stages to include multiple channels. (Channels to be defined in SOPs)
Provide necessary corrections to the appropriate parties
Graduate with 3-4 years of relevant experience
Experience in campaign planning tools and digital marketing
MS Office , HTML
Proven written and verbal communication skills

Compliance Testing Executive Director Resume Examples & Samples

Staff management, including for example
Design and review the Compliance testing programme: help design the evolving programme, liaising closely with the EMEA Compliance coverage teams and relevant global teams
Oversee and guide more junior team members, including assisting with scoping and Quality Assurance
Contribute to global discussions on testing matters and sharing best practices; and
Participate in testing related global projects (for example the design of global testing “protocols” for certain areas to ensure a consistent global approach)
Design and deliver a portfolio of Compliance Tests / Reviews to monitor compliance with Regulation and internal policy. Ensure the Firm takes a risk based approach and proportionate approach to scoping tests and complete testing efficiently to make the best use of available resources
Strong people management and leadership skills
Confidence to use own initiative and apply judgment in an in-house context
Excellent presentation and interpersonal skills - ability to communicate clearly and concisely both in person and in writing
Excellent analytical and numerical skills
Knowledge of some of the areas covered by the testing team (Sales & Trading, Investment Banking, Research)
Prior experience of Compliance testing would be useful but not essential
Knowledge of US CFTC Swap Dealer rules would be beneficial (but not essential)

Wealth Management Compliance Testing Governance Officer Resume Examples & Samples

Provide governance and oversight of testing plan progress including the timeliness of compliance testing report issuance and issue remediation tracking
Assist in the root cause analysis and determination of issues and themes identified through Compliance testing
Assist in the evaluation of existing and provide recommendations to enhance the compliance testing management reporting metrics
Evaluate and provide recommendations to enhance the compliance training program for relevant Compliance Testing staff as well as other important Compliance initiatives and processes
Oversee the development and recommend process improvements to the overall testing program including branch and AWL reconciliations, maintenance of the various Compliance Inspection Programs, policy and procedure reviews, and branch office scheduling coordination
Oversee the management of internal and external regulatory and control requests and commitments for the Compliance Testing team
Participate in various Compliance management and committee meetings as appropriate
Prior Compliance, Internal Audit, Risk and Control experience preferred
Strong organizational, writing skills and pays attention to detail
Possess excellent verbal and written communication skills
Ability to multi-task special projects with daily responsibilities

Director of Compliance Testing Resume Examples & Samples

10+ years of Legal, Regulatory or Compliance experience within or supporting large Financial Services institutions or with a Financial Services regulator
Undergraduate Degree in a related field
Extensive experience in conducting Compliance inspection, review or testing activities
Experience in designing and implementing Risk-based testing or Audit plans
Strong knowledge of the Securities Laws or CRA laws in the US or Europe
Experience in a multinational organization
Experience in managing or leading projects or teams

Compliance Consultant, PCG Compliance Testing Resume Examples & Samples

Drafts modifications to existing policies and procedures under direct supervision. Policy and procedures changes impact the entire broker/dealer
Generally examines low to moderate-risk control and supervision processes of internal business units. Assesses firm processes and adherence to existing policies by interviewing associates, evaluating metrics, and reviewing the work of other associates
Identifies and recommends the solutions needed to improve any deficiencies detected in low or moderate-risk processes or policies under direct guidance of supervisor
Prepares and delivers reports of internal testing under direct supervision
Colloborates with policy and process owners to determine appropriate escalation for resource needs as determined necessary
Routinely interacts with Chief Compliance Officers, Compliance Directors, Supervision Directors, Compliance Managers and associates, Technology Strategy and Alignment department
English grammar and interpersonal communication
Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies
Basic principles of banking and finance and securities industry operations knowledge
Basic financial markets and products knowledge
Verbal and written English grammar
Reviewing materials for compliance with rules and regulations
Researching compliance issues
Gathering information and preparing oral and written reports
Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels
Establish and maintain effective working relationships at all levels of the organization
Maintain confidentiality
Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance

Financial Crimes Compliance Testing Resume Examples & Samples

Assist with the development, implementation and execution of risk-based Compliance testing to review and assess the effectiveness of the Firm's AML policies and procedures and controls
Define test scope and design specific testing steps for each applicable area of review
Manage the execution of reviews conducted by more junior members of the team
Communicate test results, present identified issues to the business, work with the business to develop and implement a plan of corrective action and prepare written reports
Coordinate with other professionals in the organization, including Compliance advisory teams, other Compliance Monitoring and Testing Groups and Internal Audit
Professional experience in an Anti-Money Laundering group and experience of Compliance testing (or equivalent, e.g.: Internal Audit) at a large financial institution and/or regulatory authority
Previous demonstrable experience of managing and developing junior staff
Impeccable written communication skills: able to describe complex issues accurately and succinctly
ACCA, ACA or CIA qualified

Regional Head of Compliance Testing, ED Resume Examples & Samples

Have at least 10+ years of experience either in the audit. internal audit, compliance, risk capacity
Have good understanding of general compliance, FCC and regulatory environment at a regional level
Have excellent stakeholder management skills

Compliance Testing Reviewer Resume Examples & Samples

Execution of Compliance Testing reviews based on an annual plan modified periodically for emerging trends in regulatory/Compliance risks
Lead and/or participate in Compliance Testing reviews. Activities include: planning/ scoping the review, developing/ modifying a test program where required, executing test steps, and discussing potential findings with relevant stakeholders
Review/ assess the risk level of exceptions identified, and communicate effectively with the related parties
Propose solutions and help process owner develop corrective action plans (CAPs), ensuring that CAPs adequately address the issues and risks
Produce high quality Work Papers and Documentation
Monitor progress and validate CAPs from reviews performed by the team
LI-W
Bachelor’s degree with professional qualifications as applicable. Certifications in assurance (CA, ACA, CIA, CPA, CISA or similar) and ICG products lines (CFA, FRM etc.) are a plus
Solid experience in the financial services industry or in a reputed Big Four/ Accounting firm with financial institution engagement
Experience in compliance, control &/or audit /risk management role is required
Strong knowledge and experience in Investment/ Corporate Banking Compliance related fields, including one or more of the following areas, is highly preferred

Compliance Testing Resume Examples & Samples

Minimum of 8 years relevant experience in compliance
Control room experience - highly preferred
Strong risk assessment, control and testing skills and preferably audit related experience
Audit related certification preferred (such as CPA, CIA, CAMS, or similar)
Relevant experience of a wide range of business activities, product lines and regulatory topics
Ability to work with and also to lead different cultural groups and build consensus
Excellent communication skills both oral and written in English

Senior Manager Volcker & Title VII Compliance Testing & Controls Resume Examples & Samples

Management Oversight and Support
Manage the daily operations of the enterprise independent testing function and ensure that all issues are escalated to the Director on a timely basis
Provide guidance to compliance staff in the development of a compliance testing program
Provide support to compliance staff by ensuring adequate oversight of testing procedures and ensure testing methodology/knowledge are communicated
Manage and supervise the generation of testing policies and procedures for the enterprise wide testing program
Development of key risk and key performance indicators for the overall Dodd Frank compliance program
Development of education and training programs
Escalation, Reporting and Remediation
Escalate potential issues and exception items noted during the testing process to senior management
Prepare and distribute reports to senior management detailing findings and recommendations
Work with all internal stakeholders on remediation of findings and escalate to senior governance committees as appropriate
Internal Controls & Management Framework
Review and remediate gaps in the internal controls in the compliance program as a result of independent testing
Assist compliance management in the development of education & training programs
Assist in the continued implementation and oversight of the Title VII and Volcker Rule Compliance Programs through verification of the Bank’s adherence to applicable rules and regulations through onsite surveillance, testing and training
Identify and investigate weaknesses in relevant policies, procedures, systems and training and recommend corrective action
Assist compliance management in the review and revision of existing management framework as needed to ensure clear delineation of responsibility and accountability for compliance with Title VII and Volcker Rule compliance programs
Support compliance management in the development of education and training programs relating to Title VII and Volcker Rule requirements
Provide leadership and guidance to the Senior Compliance Officers with regard to policy and operational issues while providing them with the opportunity to perform their responsibilities on a day to day basis and to ensure collaboration between staff and other compliance functions

AFC Compliance Testing / Assurance Resume Examples & Samples

Executes AFC Compliance testing reviews according to an annual testing plan that meets applicable regulatory requirements, expectations, and guidance
Conducts fieldwork testing and assesses whether any exceptions have been identified and the risk level of such exceptions
Ensures that reviews are completed in a timely manner and that a robust review has been conducted
Participates in periodic team meetings to report on the status of the testing reviews and pending questions, and to assist with tracking completion of reviews and implementation of remedial actions
Discusses potential findings with relevant stakeholders including the business or function being tested as well as the relevant members of the local Country AFC Officers and Line-of-Business Compliance
Proposes solutions and assists process owners to develop remedial actions that adequately address the identified issues and risks
Ensures testing result findings are properly escalated and that related remedial actions are monitored and adequately implemented in a timely fashion
Produces high quality records and supporting work paper documentation and ensures that all work papers are in order, ready, and accessible for future review; and
Undergraduate Bachelor’s degree or equivalent
Strong organizational skills and strong attention to detail
Excellent communication and interpersonal skills in order to work with a diverse group
High proficiency of Microsoft Word, Excel, and PowerPoint

Compliance Testing Group, Analyst Resume Examples & Samples

Leverage strong communication skills to interact with Compliance and business senior management
Auditing, testing, regulatory/law enforcement or trading experience
Fluency in French, Spanish, German, Italian, Japanese, Korean, or Mandarin Chinese a plus

Business Continuity Planning & Compliance Testing Resume Examples & Samples

5 years+ experience in an audit, compliance or regulatory role within the financial services industry
Advanced understanding of banking regulations (CBRC, PBoC and SAFE etc) in China
Understanding of Hong Kong regulations (HKMA and SFC) will be a plus
Advanced understanding of risk assessment, risk-control frameworks (e.g. COSO Internal Control) and internal control
Good understanding of Business Continuity Management and IT/Operations processes will be a plus
Strong communication skills in written and verbal communications: both English and Mandarin Chinese; Cantonese desirable
Strong stakeholder relationship management skills
Advanced resource and task planning skills
Excellent report-writing skills, with ability to create and organize varying forms of business information while developing it into cohesive, meaningful, professional reports and presentations

Compliance Testing Resume Examples & Samples

Assist the Compliance Testing Head to establish effective and optimal Test Plans for the country by ensuring that the Compliance Testing plans are risk based per the Global Compliance Testing Standards, covering key Compliance risk areas and trends based on inputs from the Business Seniors, Regional and Global Compliance and Product Compliance as well as other trends/themes from the auditor assessment
Under the supervision of Compliance Testing Head, lead/participate review planning discussions, including scoping of review
Identify all relevant regulations to be covered in a review
Develop the Review Program that has considered all key Compliance risks and controls
In addition proactive in identifying current events and issues and modify the Testing program, particularly in the assigned Testing program/area
Under the supervision of Compliance Testing Head, lead/participate in Compliance Testing reviews and execution of the test program, CAP review and validation, formal report issuance/publications, and issue capture and tracking through a global systems platform (currently iCAPS). This includes partnering with Business to ensure that CAPs adequately address the issues/risks
Monitor CAP closure due date incl. follow up to the respective Business (timely resolution), CAP review and validation, and issue/CAP closure in the global system platform (currently iCAPS)
Complete the Test Plan includes work-papers/test results in acceptable quality and accordance with the Global Compliance Testing Standards, and submits to the Compliance Testing Heads on timely manner
Ensure quality and consistency of reviews in accordance with the Global Compliance Testing Standards
Maintain positive interaction with other Testing, Control groups including Internal Audit, ERM, in Business Control
Timely escalation to Compliance Testing Head on any material development/changes
Maintain conducive flow of information as to keep others well-informed
Values diversity and works collaboratively with others to achieve common goal
Bachelor’s degree required, with at least 2 years of work experience in compliance audit, finance, and banking
Strong research and analytical skills are a must
Ability to process large amounts of information quickly
The candidate should be adaptable to change and willing to work in a fast paced environment
Proficient in MS Office (Word, Excel, and PowerPoint)
Fluent (read/write) in English is a must

Asset Management Compliance Testing Compliance Officer Associate Resume Examples & Samples

Research, plan and assist/lead detailed reviews, in accordance with the IM EMEA Compliance Testing program to assess compliance with applicable rules and regulations. These reviews should be undertaken in an accurate and timely manner
Be able to organize systems’ data and subsequently analyze it with the aim of drawing effective conclusions to support the testing work
Prepare clear and organized monitoring work papers to document and support work performed and conclusions reached
Prepare detailed and accurate reports of findings to include the agreement of practical and relevant recommendations for the business to address
Analyse and monitor testing data and compile management information relating to; reviews completed, issues identified, outstanding action plans and progress against plan. Where issues are not implemented in line with agreed timelines, escalate to the Team Manager or the AM Head of Testing
Work to enhance the visibility of the Testing team and establish key business relationships. Interact with all levels of business management and staff. Meet regularly with key business staff to remain informed of risks within the business and issues arising
Work with the Compliance Advisory teams to ensure up to date and comprehensive understanding of business areas. Use this knowledge to develop and execute the Testing programme
Work with the IM EMEA Testing Team Manager and the Global Asset Management Head of Testing to develop and update testing program and ensure that it remains fluid, risk-based / focused and up to date with both regulatory and business changes
Make suggestions to enhance testing procedures to the Team Manager and the AM Head of Testing
Work with the other regional Testing teams (North America, Asia and Latin America) in AM in developing consistent working methodologies where appropriate, and sharing output from the Testing reviews that have been conducted
Undertake ad-hoc projects at the request of the Team Manager or the AM Head of Testing
Pro-active, self-motivated and enthusiastic
Attention to detail with strong interpersonal skills required
Able to work independently with good time management skills and pro-active attitude towards accomplishing tasks
Report writing/written communication skills
Experience as a Compliance Officer, Risk Officer, Accountant, Internal Auditor, Quality Assurance Analyst, or Regulatory Examiner within the Securities Industry
Understanding and familiarity of EMEA investment management regulatory matters relating to retail and institutional businesses. Knowledge of the FCA and/or PRA rules would be beneficial
Excellent skills in the use of Excel, Microsoft Word and PowerPoint

VP, Compliance Testing, Private Bank Resume Examples & Samples

For assigned reviews, conduct scoping, execution and documentation of properly designed compliance tests using appropriate sampling methods and testing procedures
Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions
Working closely with GWM and Country Compliance Managers, and stakeholders in the business to ensure the effectiveness of the GWM compliance testing program
Approximately 5 to 8 years relevant Compliance experience or other related experience such as legal, risk management and audit
Excellent written skills with an ability to produce well written reports and present findings to senior management
Strong attention to detail and quality
Ability to interpret regulations and assess operational Compliance
Strong communication, interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnerships with business stakeholders, control functions and corporate partners
Highly self-motived, able to work independently under minimum supervision, and a good team player
Has flexibility regarding working hours due to the global nature of the role
Has relevant industry qualifications and an university degree
Expect to travel to other locations as required (~10%)

Global AML Compliance Testing Resume Examples & Samples

Experienced compliance professional with a strong understanding of Anti-Money laundering regulations and their application to financial services businesses
Experience in Compliance Testing, Internal Audit, External Audit (5-7 years)
Self-starter who is organized and has the ability to work independently, with minimal supervision
Strong ability to manage priorities to meet deadlines
Experience in dealing with cross-border and international business and standards for Consumer-focused banking, lending, investments and insurance products globally
This individual will provide pre-completion testing expertise tailored to the specific projects under review to confirm the project artifacts and implementation (if applicable) align with the regulatory request
This role will engage with AML Testing Leads and others involved in the AML projects for which pre-closure testing is being conducted

Global AML Compliance Testing Resume Examples & Samples

Assist in liaising with the GAML PMO, project owners, Businesses, regional / product AML/ABC/OFAC (AML) Compliance, Internal Audit and Compliance Testing during the course of the review
Participating in AML pre-completion testing reviews
Conducting testing that validates the completion of the project milestones and the effectiveness of controls supporting the process or function under review. This includes preparation of work paper documentation and drafting issues, in accordance with Global Compliance Testing Standards
Participating in AML project meetings related to current and/or upcoming pre-completion testing
Supporting regulatory, audit or third party activities related to AML pre-completion Testing
A compliance professional with an understanding of Anti-Money laundering regulations and their application to financial services businesses
Experience in completing projects with risk/compliance testing components
Experience in Compliance Testing, Internal Audit, External Audit (3+ years)
Strong team player that collaborates with peers and business owners
Strong ability to manage work load to meet deadlines

Associate Global Financial Crimes & Anti-corruption Compliance Testing Resume Examples & Samples

Manage a portfolio of GFCC & GACC related reviews to determine if business processes, procedures, and controls are designed appropriately and operating effectively
Experience – 7+ years of relevant Compliance experience or other related experience such as risk management, audit, or similar control-related experience / Experience with the APAC regulatory environment
Project management skills – Able to manage multiple workstreams involving multiple partners and groups and be able to make decisions autonomously / Adept to multi-tasking and meeting deadlines in high-pressure environment
Experience in case based work: investigations, alert disposition, and/or SAR writing
Experience with and/or knowledge of Global (APAC, EMEA and Americas) regulatory environment
Experience in the use of integrated technology and data analytics for testing efficiency and effectiveness
Language skills preferred (one or more of): English, Mandarin, Cantonese, other Asian language

Asset Management Compliance Global Wealth Management Compliance Testing VP Resume Examples & Samples

Country expertise: In-depth knowledge of the local regulatory environment, regulatory structures, local regulatory and market contacts, local market practices, industry groups, culture, languages, etc
Product expertise: In-depth knowledge of a specific product/service, its structure, purpose, target clients, risks, deal/trade/process flow and settlement, exchanges, etc
Core expertise: In-depth knowledge and application of firm-wide policies and regulatory requirements across multiple products, services and jurisdictions
Work with Business, Legal, Risk, Audit and Compliance management to identify and assess risks relevant to the Compliance Testing program
Develop testing scopes, objectives, work programs, scripts, and other documentation in accordance with global testing procedures
Assess data samples (including systems data) to determine if practices adhere to applicable policies, procedures, laws, regulations and regulatory expectations and draw effective and precise conclusions
Identify potential concerns and control issues, and real or apparent breaches of laws, rules, regulations and internal policies
Retain appropriate documentary evidence to support the test steps and conclusions
Discuss findings with key stakeholders, determine the root cause of issues, and ensure stakeholders develop and implement appropriate corrective action plans and provide advice and best practice recommendations in respect of handling issues identified
Write clear and concise compliance testing reports that appropriately summarize the results of testing illustrated in the work papers and other supporting documentation
Establish collaborative working relationships with Compliance team members locally and globally and participate in Compliance working groups
Monitor issues arising from testing and the associated action plans to ensure corrective action is fully implemented
Liaise closely with Internal Audit and Corporate Compliance to ensure the effectiveness of the Compliance Testing program and to ensure the rotational testing plan addresses required testing frequencies
Coordinate Quality Assurance, Audit, and/or Regulator reviews related to Compliance Testing; Manage responses and any compliance issues that may be raised via such reviews
Monitor industry trends and anticipate key areas of focus and attention by regulators
Involvement in departmental projects, BAU workload, and the production and distribution of management information
Bachelor’s degree or equivalent required; A compliance, accounting, financial or legal qualification would be an asset
Proven financial services experience, preferably with experience in and knowledge of Private Banking products and services
Previous experience conducting regulatory examinations, compliance testing, or audits of complex financial institutions is highly desirable
Knowledge of AML regulatory policies and experience with case-based work: investigations, alert dispositions, and/or SARs writing would be an asset
Attention to detail and control/quality awareness
Self-starter, problem solver, good judgment, discreet and inquisitive
Strong interpersonal skills, especially the ability to communicate effectively with key stakeholders at all levels, both internally and externally
Good organizational and planning skills
Fluency in English (verbal, written) is required, and any other language is an asset

Compliance Testing Group, Securities Division Resume Examples & Samples

Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
Knowledge of financial products, markets, and regulatory policies
Knowledge of Microsoft Word and Excel is a must, and knowledge of Access and PowerPoint is useful
Fluency in French, Spanish, German, Italian, Portuguese, Japanese, Korean, or Mandarin Chinese a plus

Compliance Testing CIB, Director Resume Examples & Samples

Have at least 5-8 years of experience either in the audit. internal audit, compliance, risk capacity
Have good understanding and knowledge in the corporate investment banking, asset management space
Have good understanding of equities and FICC products, as well as regulatory environment at a regional level
Candidates with a forensics background is a plus
Excellent proficiency in English is a MUST

Global AML Compliance Testing Resume Examples & Samples

Experienced compliance professional with a strong understanding of Anti-Money laundering regulations and their application to financial services businesses (5+ years in a managerial role)
Experience in Compliance Testing, Internal Audit, External Audit (10+ years)
Experience interacting with regulators
Strong leadership and talent development skills
Proven ability to manage a diverse and disparate team and rationalize existing resources
Strong ability to manage team priorities to meet deadline

Senior Director, Compliance Testing Resume Examples & Samples

Overseeing and enhancing a Compliance testing function on a global basis, including the management of a team of 5 Compliance Officers based in New York and London
Overseeing the various Compliance testing activities, documenting the findings in reports to senior management, and agreeing following-up remedial actions
Validating the control testing performed by the business and analytical groups regarding the Risk and Control Matrix
Overseeing and enhancing the email surveillance strategy for Ratings
Contributing to various risk assessment and reporting processes designed to highlight potential compliance risks
Reviewing Risk Reports created by other groups, in a manner designed to identify risk themes or trends that should be actioned, or that should otherwise form the basis for future testing or monitoring activity
Defining those countries where independent Compliance reviews are required by local regulation, and developing and implementing a framework designed to ensure that any local reviews are carried out, documented and followed-up in a consistent fashion
Assisting in producing documentation and information requested in connection with regulatory exams and investigations
Coordinating testing and monitoring activities with Internal Audit so as to ensure an efficient and appropriately risk-based use of resources
10+ years of directly relevant experience in a compliance, regulatory, legal or audit capacity within or supporting large financial services institutions, or with a financial services regulator
A minimum of 3 years’ experience specifically focused on carrying out Compliance inspection, review or testing activities, at a regulated financial institution
Experience in directly managing teams or groups
Experience in designing and implementing risk-based testing or audit plans
Native-level proficiency in the English language, both orally and in writing
Strong knowledge of the securities laws or CRA laws in the US or Europe
Graduate degree in business or law
Experience in meeting with and presenting to regulators in an exam or investigation context
Experience in matrix-style reporting organizations
A strong “executive presence” that will facilitate interaction and build confidence at a very senior level with management and regulators
Strong attention to detail, coupled with excellent analytical and investigative / problem-solving skills
An ability to exercise sound judgment and escalate issues appropriately
An ability to constructively and positively interact with all levels of staff in an international environment
An organized and disciplined approach to project management, including the ability to manage multiple and competing priorities
A collaborative, inclusive nature in resolving differences, solving problems and advancing priorities

Compliance Testing, VP Resume Examples & Samples

Testing and/or auditing experience is required with strong analytical and organizational skills
Corporate/commercial banking experience is required
Excellent interpersonal and communication skills with strong writing/reporting skills
Ability to work cooperatively with other members of the team and the Department; ability to prioritize group/entity/department goals
Able to travel up to 10%

Compliance Testing & Monitoring Resume Examples & Samples

Identify a portfolio of first level controls executed by the various business lines
With the assistance of Compliance management, devise testing that is appropriate to each business line
Help develop a process document to be used when carrying out these reviews
Schedule reviews
Create and execute reporting media
Recommend corrective actions where needed
Perform management reporting and maintain documentation of completed work
Well-rounded experience in institutional financial products and services (3+ years minimum)
Understanding U. S. financial regulatory framework
Ability to absorb business concepts that are new to this person
Technological savvy
Ability to adopt to new and changing systems
Scheduling and follow up
3+ years with a bank, broker dealer with emphasis on Compliance/regulation
Investment banking familiarity
Trading and Capital Markets exposure
Project management/maintenance background
Familiar with Excel and Word programs
French a plus but not required

Compliance Testing & Monitoring Tester Resume Examples & Samples

Planning, executing, and reporting results of testing performed
Identifying issues and monitoring corrective action plans to completion
Working with stakeholders to ensure corrective action plans adequately address risks and are completed on time
5-7 years Compliance experience in large financial services firm

Compliance Testing & Monitoring Financial Crimes Compliance Testing Resume Examples & Samples

Executing FCC reviews as part of the CTM plan
Overseeing a team of FCC Compliance Testers, which will include reviewing work papers, helping to create test scripts, assessing issues identified and corrective actions, reviewing final reports, and monitoring progress toward completing test plan
Escalating issues, as needed, to ensure matters are appropriately addressed and corrective action plans are completed on time
Compliance testing or Audit experience

Senior Compliance Officer Financial Crimes Compliance Testing & Monitoring Resume Examples & Samples

Assisting the Americas CTM Head with developing the FCC portion of the annual risk-based CMT plan
Supporting FCC Testers during fieldwork and interactions with the businesses
7-10 years Compliance experience in large financial services firm

ICG Markets Compliance Testing SME Resume Examples & Samples

Participate in the Compliance Testing Annual Planning Process, as the Business specialist for ICG “Markets” topics
Develop and enhance Standard and Targeted Review Programs related to ICG “Markets” products to ensure that Compliance Testing Reviews focus on key risk and provide specialized input on local regulatory requirements, ICG “Markets” policies. Present those programs in global forums to be utilized globally
Work independently to lead ICG “Markets” reviews and be expert providing guidance in reviews led by other team members covering ICG “Markets” businesses / products, to ensure complying with the Compliance Testing Annual Review Test Plan
Maintain an active role in the identification of emerging risk or assessing trends, using all the global and local information available for ICG “Markets” products. Maintain close contact with the ICG “Markets” Senior Management to communicate results of the identified risk; promoting preventive and corrective actions to address them
Minimum 5 years of overall industry experience with a background in Markets
Experience in Compliance, Risk or Audit, preferably gained in an international financial institution
Background and understanding of relevant markets / FINRA regulations and applicability to various capital markets products
Understanding of audit / CT methodology, risk and control analysis is a plus
Strong oral and written communication / negotiation skills, with the proven ability to influence opinion, articulate/substantiate review findings and defend these if challenged by local senior business management
Soft skills, flexibility and multitasking to comply with tight schedules and strict due dates
FINRA series 7 is a plus

Compliance Testing Group Resume Examples & Samples

Multi-task – have the ability to work on several different reviews with different individuals at the same time
Knowledge of the securities business and sales practices
Auditing, testing, accounting, regulatory/law enforcement or trading experience

Compliance Testing Global Markets Resume Examples & Samples

Conduct compliance reviews under the direction of the Americas Head of Compliance Controls Testing in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks
Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Controls Testing and Line-of-Business compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance
Prepare and distribute reports to senior management detailing review findings and recommendations. Periodically report on significant activities conducted and planned for the upcoming period. Review all banking-related reports prior to vetting the report with other stakeholders
Ensure that all findings and recommendations are entered into Compliance Controls Testing’s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
Strong knowledge of institutional equities and/or fixed income sales and trading businesses
10+ years’ experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
A background in compliance testing or audit is a strong plus
A background in Advisory / Line-of-Business Compliance is a strong plus, particularly Equities or Fixed Income Compliance
Knowledge and experience with the Volcker Rule of the Bank Holding Company Act and swap dealer rules, including the rules and regulations of the CFTC and the SEC, are a strong plus (but not required)
Strong organizational and project management skills and attention to detail

Sanctions Compliance Testing, Associate Resume Examples & Samples

Assist in conducting testing of BTMU branches globally to ensure compliance with the Bank’s OFAC Global Standards and adherence to applicable Sanctions regulations
Assist in drafting work plans and test scripts designed to test BTMU branches globally adherence to the Bank’s OFAC Global Standards
Assist in preparing reports summarizing the objectives, scope, findings and conclusions of completed test reviews
Assist in the validation of Management Action Plans designed to address remediation efforts and testing review findings
Support general compliance activities and other duties, including special projects as assigned
Manage other compliance reviews, projects, or related duties as required by Team Leader
At least 5 years of experience within the financial crimes area of a global bank or financial services industry preferred
Experience with performing compliance testing, quality control/assurance processes or internal/external audits
Minimum of 3 years of experience performing testing or exposure to quality control or quality management functions and results
Some knowledge of sanctions compliance laws and regulations
Working with compliance testing scripts and/or experience with performing testing reviews or audits
Experience in working in diverse testing teams
BA/BS Degree; ACAMS Preferred

Global Financial Crimes Sanctions Compliance Testing Resume Examples & Samples

Develop and implement a risk based testing plan and methodology to review BTMU branches globally based on the Bank’s OFAC Global Standards
Lead the Testing and Monitoring Team with testers based in New York and the Regional Compliance Offices globally
Develop Action Plans to address remediation efforts and testing review findings
Responsible for maintaining the global sanctions testing program of the OFAC Global Standards and developing work plans and reports to be issued to executive management
Establishes and maintains an annual test plan for the primary business of oversight, including opportunities to broaden coverage through blended reviews with differing areas with specific expertise
Responsible for establishing and maintaining appropriate testing forums, testing schedules, and status reporting of all testing activity
Oversee the drafting written reports prepared by the Team Leader which summarize the Objectives, Scope, Findings and Conclusions for each assigned review
Establish appropriate testing management routines and working sessions to ensure proper awareness of testing status and results. Shares knowledge and leverages own skills within and across GFCD
ACAMS Preferred
At least 10 years of experience within the financial crimes area of a global bank or financial services industry preferred
Minimum of 7 years of experience leading testing efforts or exposure to quality control or quality management functions and results
Working knowledge of sanctions compliance laws and regulations and the ability to discern moderate to complex requirements
Experience in leading, managing and developing diverse international teams

Gf-compliance Testing Review Manager Resume Examples & Samples

Managing the HK Compliance Testing team
In addition to HK, the candidate may be required to assume geography oversight for Greater China and Korea markets. This would include the supervision of the country leads, ensuring consistent review standards across the teams and managing stakeholder engagements, as required
Establish and execute effective reviews in accordance with the Global Compliance Testing Standards covering key Compliance risk areas and trends based on inputs from Regional and Global Compliance and Product Compliance as well as other trends/themes from the various Compliance/AML Risk Assessments
Responsive to current events and issues and modify the Testing program where required to address topical emerging issues
Lead &/or participate in Compliance testing reviews and discussions, including planning/scoping of review and execution of the test program, and formal report issuances/publications. Identify all relevant Regulations applicable to the identified compliance risks to be covered in a review
Monitor Test Plans progress
On an on-going basis, review the scope, coverage, work-papers/test results and reports from the review teams, before each review is concluded to ensure quality and consistency of reviews
Interact with other Testing Control groups like IA, ORM and the various In-business Control groups
‘Marketing’ the Compliance Testing function to improve its visibility and perception
The candidate should have an experience 10-12 years at least in Compliance, Risk or Audit activities
In depth knowledge of banking with specialization in one of the Businesses in particular
Good at building good working relationships and influencing change
Professional maturity and confidence in expressing a point of view with senior management

Project Manager, Compliance Testing Resume Examples & Samples

Bachelors degree required
Minimum of five years, with (3) or more years of experience in audit/testing, compliance, or a similar function with a specific understanding of internal controls
Knowledge of consumer regulations, including pertaining to the financial sector
Excellent analytical skills and the ability to discern the practical application of regulatory and legal requirements
Professional certification within the fields of compliance or audit preferred
Broad knowledge of Discover business processes, procedures, and systems preferred
Knowledge of internal auditing standard & requirements preferred
Lean, Six Sigma and/or demonstrated process improvement expertise a plus

Senior Analyst, Compliance Testing Resume Examples & Samples

Enter results of findings into testing tracking system or complete assessment worksheets and reports
Perform compliance loan reviews and/or compliance assessments on mortgage servicing activity
Perform review of business unit policies and procedures to determine compliance with regulatory standards
Assist with the development of new test procedures
Identify and escalate issues and trends to management
Receive and evaluate feedback on findings from business channels; track business channel responses
Assist in ensuring sampling strategies are accurate, executed appropriately and are reflective of compliance risk
Collaborate with Business Units, Legal and Compliance partners to resolve identified issues
A United States Social Security Number is a requirement for obtaining login credentials and a mandatory requirement for this position
According to government regulations, your SSN is required when trying to access a Federal computer system. HUD requires your SSN and mother's maiden name to verify your identity before processing the registration form to issue you an FHA Connection user ID. The information is being entered into a secure environment and will be used exclusively for the FHA Connection
High School Diploma, GED, equivalent certification, or military experience; a Bachelor’s Degree in a business-related field is preferred
Minimum five (5) years of mortgage banking experience (originations or servicing operations) required; experience in mortgage originations or servicing compliance preferred
Knowledge of banking laws and regulations
Computer proficient (MS Word products, database management)
Ability to prioritize workload and balance multiple duties
Possess strong analytical skills and extraordinary attention to detail

Gf-compliance Testing Reviewer Resume Examples & Samples

Establish effective and optimal Test Plans for the country by ensuring that the Compliance Testing plans are risk based per
Operational framework for Asia-Pacific Compliance Testing, covering key Compliance risk areas and trends based on inputs from the Business Seniors, Regional and Global Compliance and Product Compliance as well as other trends/themes from the CARA and KPMG risk assessment
Responsive to current events and issues and modify the Testing program where required to address topical pressing issues
Lead and/or participate in Compliance testing reviews and discussions, including planning/scoping of review and execution of the test program, CAP review and validation and formal report issuances/publications. Identify all relevant RRIs, together with their inherent risk rating applicable to the identified compliance risks to be covered in a review
Monitor Test Plans progress, test results and observations, adequacy of controls, CAP management ensuring that CAPs adequately address the issues/risks and are resolved timely and validated as required
Remain abreast of legal and regulatory changes in order to ensure monitoring and testing practices are up-to-date with the regulatory environment
Interact with other Testing, Control groups like IA, ERM and in Business Control
6-8 years in the financial services industry or in Big Four with financial institution engagement
4-6 years in compliance, control and/or audit/risk management role
Bachelor’s degree or professional qualification

Compliance Testing & Monitoring Financial Crimes Resume Examples & Samples

Planning, executing and reporting results of FCC/AML related testing performed
Working with stakeholders to ensure corrective action plans adequately address risk and are completed on time
Knowledge of AML systems a plus
Extensive depth of experience working in Financial Crimes Compliance

Compliance Testing Mexico Resume Examples & Samples

Minimum 10 years industry experience with AML background , Compliance and/or similar
Strong oral and written communication and negotiation skills, with proven ability to influence opinion
The candidates must be able to work effectively with local contemporaries and peers in other clusters
College/university education as well as an exceptional working track record will be deemed more

Compliance Testing Professionals Resume Examples & Samples

4-year Bachelor Degree required; CAMS or CIA certification preferred
For attorneys, New York Bar admission preferred
Minimum of 8 years of experience in regulatory compliance within a large financial institution
Hands-on experience developing, implementing and executing risk-based compliance tests or audits
Subject matter expertise in BSA/AML a plus
Detail-oriented and proven ability to multi-task and succeed in a deadline-driven environment
Our Consultants enjoy the flexibility and autonomy to choose the client projects that interest them, while continuing to build professional relationships within our global community of Consultant and business professionals. We offer a comprehensive compensation and benefits package including health and life insurance, a 401(k) savings plan which includes a discretionary company match, employee stock purchase plan, paid personal time off program, professional development and certification courses

Manager Compliance Testing Resume Examples & Samples

The Santander Consumer USA (SC) Consumer Compliance program provides oversight and establishes the framework for enterprise-wide consumer compliance activities, thereby cross-functionally driving consistency and standards throughout SC. The Consumer Compliance program supports implementation of compliance activities throughout SC, in line with SC compliance policy standards as well as state and federal regulatory requirements. The Manager of Compliance Testing shall be responsible for the daily management of Compliance Examiners and processes. The Manager will oversee the compliance testing examination process which is designed to assess compliance with internal policies and procedures, as well as federal and state laws and regulations related to the finance industry
Manage and oversee the examination process for the following regulations including, but not limited to
FDCPA
GLBA
UDAP
UDAAP
FCRA
FACTA
BSA/AML/CIP/OFAC
ECOA (Reg. B)
TILA (Reg. Z)
SCRA
EFTA
E-Sign
CAN SPAM
TCPA
Consumer Leasing Act (Reg. M)
National Flood Insurance Program
State Consumer Protection Laws and Regulations
Proactively manage, track, and analyze compliance testing examinations within SC
Responsible for ensuring examination output effectively identifies and remediates Compliance related matters for SC and SC’s respective Business Units
Provide leadership and specialist knowledge to examiners on Compliance matters to ensure a culture of compliance
Manage the day-to-day activities of a team of compliance testing examiners
Responsible for reviewing examiner work products and ensuring sound conclusions are clearly and concisely documented
Assist examiners in identifying and documenting gaps in processes to assist the Business Units with departmental and compliance efforts
Responsible for reviewing and assisting with the development of corrective action plans
Work with the examination team and Business Units to ensure accurate and timely implementation of corrective actions plans
Develop and deliver supplemental compliance training materials, as needed
Provide the examination team with on-the-job training
Engage in meetings to review examination processes and findings, discuss business processes, and develop and implement corrective action, as needed
Responsible for the daily enforcement of Compliance Testing policies, procedures, and process flows
Responsible for participating in program planning and development

Compliance Testing Resume Examples & Samples

Perform Quality Control assessments globally to evaluate Compliance Reviews over banking laws, regulations, corporate policies, and related control practices to ensure adherence with the Global Compliance Testing Standards
Instructing and coaching individual Compliance Testing management and staff in risk assessment methodologies, evaluating control design, designing test objectives, test execution, evidence evaluation, workpaper practices, and Report writing based upon the lessons learned from QC results and improvement actions needed for Compliance Testing practice
Draft Compliance Review programs for all aspects of Compliance Testing including credit cards, mortgage lending, and retail banking
Support efforts to update and maintain new Citigroup policies, standards, and “compliance test” training programs, based upon an ability to
Understand banking laws and regulations and properly correlate control requirements needed to ensure adherence
Define test step objectives, perform “Compliance Review” planning, execute test methodologies, and draw proper conclusions from evidence gathered
Develop audit and testing methodologies, including interviews, observations, analytics, re-performance, walk-throughs, and attribute sampling
Additional responsibilities may include, but are not limited to
Having sufficient knowledge of Citi’s Global Compliance Testing Standards and related GLMS Training programs in order to measure the Compliance Testing Reviews against those requirements
Participating on periodic global QC committee meetings to provide feedback and share the results of their region
Providing training to the Compliance Testing team members for their respective region based upon the results of their quality control work within a reasonable time period reinforcing Testing Standards and corresponding training course materials
May also be required for a conduct assessment of QC work performed by their peers in another regions
Senior associate in public accounting or equivalent workpaper practice techniques and reporting writing experience
Workpaper quality control assessment experience and an ability to perform audit flowcharting
Strong experience in instructing Testing team members on making corrections to workpapers and supporting documentation
Fully knowledgeable and capable of analyzing the execution of various compliance and control tests
Work collaboratively with the Compliance Testing members and other Risk and Control partners, providing compliance testing feedback and guidance related to proper documentation and testing practices
Strong communication and influencing skills during coaching processes with Testers
Strong Microsoft Word, Excel, Visio and PowerPoint skills for writing reports, presentations and performing data analysis
Self-starter and organized and have the ability to work independently, with minimal supervision
5 + years of audit related experience preferred
7+ years related Compliance, Audit and/or Control oversight work experience required for consumer banking or institutional banking
Preferred CPA, CFE, CIA or similar designation
Possible CRCM or strong knowledge of banking regulations
Preferred AML knowledge and ACAMS (or equivalent) certified

Compliance Testing Resume Examples & Samples

Work paper quality control assessment experience and an ability to perform audit flowcharting
Strong experience in instructing Testing team members on making corrections to work papers and supporting documentation
3 + years of audit related experience preferred
5+ years related Compliance, Audit and/or Control oversight work experience required for consumer banking or institutional banking
Preferred AML knowledge and ACAMS certified

Manager, Bank Compliance Testing & Monitoring Resume Examples & Samples

Bachelor’s Degree or equivalent experience (see below)
5 years, minimum, professional work experience in Financial Services (e.g. banking, mortgage, or similar)
5 years of experience in Bank Compliance, Bank Internal Audit or as a Bank Examiner
Strong knowledge of consumer compliance regulations (e.g. Dodd Frank, RESPA, Reg B, CC, E, Z, etc.)
Excellent attention to detail and the ability to work independently
Sound organization and prioritization skills
Experience with MS Office products, with intermediate level experience using Excel (e.g. testing, v-lookups)
Ability to travel 10%-25% (Average amount: 2 trips per year, e.g. to other Schwab Offices or conference)
Compliance Testing and Monitoring experience
Certified Regulatory Compliance Manager

Manager, Compliance Testing & Monitoring Resume Examples & Samples

Understand business processes, regulations, and controls and develop meaningful tests to ensure controls are operating effectively
Work with compliance, business, and technology partners to improve automated testing and monitoring capabilities
Identify process risks, existing and proposed controls, and assess inherent and residual risks
Perform operational deep dives on compliance-related processes and systems
Communicate testing plans, results, and next steps concisely and effectively across the organization
Manage several projects simultaneously with a sense of urgency
Facilitate multiple stakeholders to agree on appropriate solutions and verify that risks are mitigated appropriately. Verify that required compliance controls are baked into new products
Work with business, compliance, and legal partners to identify root cause of issues
Conduct and perform quality control relative to a variety of investigation types, including suspicious activity, sanctions, and enhanced due diligence
Participate in process improvement, identifying and implementing best practices in effective and innovative ways
5+ years of experience within audit, enterprise risk management (ERM), or compliance with the following regulatory and industry requirements and standards: BSA/AML (including Know Your Customer and Office of Foreign Assets Control provisions), Gramm-Leach-Bliley Act, Patriot Act, PCI DSS, EU Data Protection Act and Safe Harbor, and ISO/IEC 27001
Excellent written and verbal communication skills. You will prepare reports and make presentations to senior level management. You will interact with various levels of employees to collect and communicate information
Ability to multitask in a fast-paced, technical environment
Big 4 accounting firm experience is a plus
Sarbanes Oxley 404 implementation and testing experiences preferred
2-4 years of relevant work experience in a financial institution, money transmitter, regulated, audit, payments, e-commerce, or operational and risk management environment
Understanding of modern transaction processing environments is a plus
Graduate degree preferred

Country Compliance Testing Reviewer Resume Examples & Samples

3 – 5 years’ experience in areas related to Compliance, AML, Internal Audit or Control functions
Execution capabilities under limited timetables
A solid understanding of banking products, Compliance and AML or controls
Strong analytic skill, quantities and qualities, to address the compliance risk, root cause and impact linked with facts or observations detected in reviews
Effective negotiation skills orally and in writing, a proactive and 'no surprises' approach in communicating issues and reports of reviews
Strong interpersonal skills for interfacing with all levels of internal and external counterparties and management
Sound judgment on relationships among business development, regulatory risk and control environments
Open, constructive communication, sharing of ideas and suggestions, active listening, pro-active participation
Fluent Mandarin and English language skills (both written and spoken)

Centralized Compliance Testing, VP Resume Examples & Samples

Perform control evaluation reviews and testing in accordance the enterprise-wide testing program
Develop testing programs that 1) assess the design of the control structure and environment, and 2) test the existing controls to ensure they are functioning as management intended
Working either independently or as part of a team, execute testing programs and/or supervise the work of other Analysts that may be assisting on a review
Identify control and compliance issues, assess and document the related risk, and make reasonable recommendations for resolution
Ongoing communication with “clients” throughout the testing process to keep them apprised of progress and findings
Prepare written reports that summarize the Objectives, Scope, Findings and Conclusions for each assigned review
Conduct and document all work in accordance with established department procedures
Minimum of 5 to 7 years of experience in audit, regulatory examination, compliance testing, or similar capacity
Minimum of 3 to 5 years of experience within the banking and financial sector, with a focus on Federal and State laws, regulations, and supervisory guidance, risk management, or a combination of these disciplines
Strong presentation and written communications skills; ability to interact with and influence senior executive management across the organization in order to achieve best practices and optimal business outcomes
Demonstrated ability to attract, retain, develop, and motivate high performing professionals and teams
Demonstrated ability to develop and maintain cooperative, collaborative, and productive business partnerships
Strong academic credentials – minimum BA or BS degree from an accredited university, professional qualification such as Certified Regulatory Compliance Manger, Certified Internal Auditor, Certified Fraud Examiner, Certified Anti-Money Laundering Specialist or other related professional certification
Bilingual: Spanish, Portuguese or Japanese skills are preferred but not required

Compliance Testing & Monitoring Resume Examples & Samples

Executing reviews as part of the CTM plan
Overseeing a team of Compliance Testers, which will include reviewing work papers, helping to create test scripts, assessing issues identified and corrective actions, reviewing final reports, and monitoring progress toward completing test plan
Assisting the Americas CTM Head with developing the annual risk-based CMT plan
Supporting Testers during fieldwork and interactions with the businesses
Compliance testing or Audit experience required
AML experience a plus

Compliance Testing Resume Examples & Samples

Lead and support Compliance testing processes and activities, complex regulations/requirements i.e. SCRA, FDPA, RESPA, TILA in accordance with the Global Compliance Testing standards
Ensure assigned testing responsibilities are performed timely with high level of quality workpaper documentation and reports
Support CT Management in developing the annual US Residential Real Estate test plan for Mortgage Originations and Servicing Test programs
Work in partnership with Product Compliance Partners ensuring a collaborative risk assessment approach
Ability to develop Compliance Testing review programs and testing strategies
Effectively use data analysis to assist in the completion of testing activities
Maintain proactive communication with Senior Management including periodic updates on engagement progress and identified or potential issues
Bachelor’s degree preferred or relevant, equivalent experience
5+ years of consumer real estate lending compliance related experience preferred
5+ years related Compliance, Audit and/or Control oversight work experience required, preferably within Mortgage industry
Knowledgeable of functions and processes within the Mortgage lending industry
Knowledgeable of federal and state real estate lending regulations
Ability to obtain, evaluate and interpret information and reach logical, fact-based conclusions
Fully knowledgeable and capable of developing and executing on various compliance and control testing related activities
Work collaboratively with the Compliance Testing members and other Risk and Control partners
Sound communication and influencing skills during negotiation processes with clients and interactions with people at all levels of the organization

100

SOX Compliance & Testing Internal Title Resume Examples & Samples

Partner with the Process Owners throughout the business areas to ensure narratives, risks and controls are accurate and reflective of the current business process
Ensure required testing support is submitted in an organized and timely manner. Perform appropriate followup to ensure testing support meet the requirements for testing requirements
Provide oversight to our co-location team ensuring the point of contact role is effectively coordinating external audit request. Review weekly summary reports to ensure they accurately refect the age and status of open requests
Obtain, review, and interpret business processes to perform SOX testing
Prepare organized testing work papers inclusive of clear and concise comentary and cross references
Monitor the remediation date for deficiencies and obtain the support from the process owners ensuring they meet the required remediation standards
Document recommendations for test plan modifications that would improve processes, strengthen control points and/or testing procedures
Accounting degree required with at least 2 years of work experience
Knowledge of COSO Risk and Internal Control framework
Understanding of professional IIA performance standards in regards to planning, testing, sampling and documentation
Good understanding of accounting principles and financial statements
Well-developed technical skills in Word and Excel
Excellent communication skills with ability to interact with all levels
Logical approach to identifying and evaluating issues and problem solving
Developed organizational skills with the ability to prioritize multiple assignments

101

Compliance Testing Group, Associate / VP Resume Examples & Samples

Propose methods of testing and execute testing plans
Ability to work on several different reviews with different individuals at the same time
Team with colleagues around the globe to share findings and refine processes
Excellent interview, presentation and written communication skills
Excellent time management, analytical and communication skills
Auditing, testing, accounting, regulatory/law enforcement, or trading experience
Experience in the financial services industry, either working for another broker dealer, law firm, Big 4 firm or regulator

102

Senior Director, Compliance Testing Leader Resume Examples & Samples

Experience in Compliance testing in financial services is required; ten plus years’ experience is preferred
Demonstrated experience in developing and overseeing Compliance testing programs is required
Previous experience directly interacting with the Federal Reserve is required
Experience managing teams is required

103

Compliance, Associate, Compliance Testing Resume Examples & Samples

Establish collaborative working relationships with GFCC & GACC team members globally
Participate in assigned GFCC & GACC working groups
Approximately 5-7 years of relevant Compliance experience or other related experience such as risk management, audit, or similar control-related experience
Strong interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnership with business stakeholders, control functions and corporate partners
Highly self-motivated, able to work independently, and a good team player

104

Compliance, Associate, Compliance Testing Resume Examples & Samples

Timely execution of the Private Bank Regional Testing program
Working closely with WM and Country Compliance Managers, and stakeholders in the business to ensure effectiveness of testing execution
Establish collaborative working relationships with global Compliance teams
Approximately 5-7 years relevant Compliance experience or other related experience such as risk management, audit or similar control-related experience
Strong interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnerships with business stakeholders, control functions and corporate partners
Highly self-motived, able to work independently, and a good team player
Have a good appreciation of the regulations applicable in APAC and WM

105

VP Compliance Testing Resume Examples & Samples

Responsible for the development, implementation and overseeing the testing program of entity-wide processes to identify regulatory breaches and work with the business units to mitigate regulatory compliance risks
Responsible for providing oversight over the effectiveness of control activities to provide reasonable assurance that first and second lines of defense internal controls are designed and operating effectively to meet regulatory requirements and SC’s policies and procedures
Responsible for ensuring SC’s Compliance Testing Standards adhere to SHUSA Testing Standards. Owns Standards and conducts Annual Reviews. Recommends for approval to the SVP of Testing and Monitoring, the Chief Compliance Officer, and the Compliance Committee
Utilizes a risk-based approach to conduct Annual Testing Planning activities. Creates a 36-month and 12-month Annual Testing Plan. Presents Annual Testing Plan to the Compliance Committee for approval. Responsible for quality and timely execution of Testing Plan
Escalates any significant compliance risks, emerging issues and trends to SC’s CCO, business unit management, Santander United States Compliance Office (“SAN USCO”), and SC’s Compliance Committee as necessary
Reports the status of the testing plan to SC’s Chief Compliance Officer, Business Management, and appropriate management committees, including the Board of Directors
Supports a compliance culture, ensures strategic objectives are met, and all tasks are carried out with a high degree of professionalism
Interacts with other departments within the Second Line of Defense to stay abreast of changes in the regulatory environment (such as new or updated regulations) to ensure compliance testing programs are updated as necessary
Prioritizes ad-hoc reviews when emerging issues or risks arise
Leads positively in the management of relationships with regulators in all relevant jurisdictions, fostering an environment of mutual trust and respect
Assist in the preparation and facilitation of examinations conducted by various regulatory agencies
Provides leadership and specialist knowledge to business teams on Compliance matters to ensure a culture of compliance and partnership
Provides effective people management, including training, professional development, and coaching/mentoring where needed, to ensure retention, nurturing and continues professional development of talent
Sets performance objectives, appraisals and training to drive performance management
Ensures adequacy of staff resources (number, experience, knowledge) within areas of direct responsibility
Completes special projects as requested and possess the ability to manage multiple projects

106

Manager, Compliance Testing Resume Examples & Samples

Assess testing programs designed to evaluate compliance risk and control environment
Ability to identify compliance risks and work with business units on risk mitigation strategies
Identify compliance issues and monitor status of corrective actions taken by business partners to remediate concerns
Draft formal reports regarding compliance testing results
Maintain a high level of awareness and knowledge of regulatory compliance requirements
Supervisory Duties: Accomplish staff results by managing, coaching, and training employees
Bachelors degree required; Business, Finance, Accounting or related discipline preferred
At least eight (8) or more years of experience in audit/testing, banking, compliance, or a similar function with a specific understanding of internal controls and Testing/Auditing standard & requirements
Professional certification within the fields of compliance or audit (i.e. CAMS, CRCM, CPA/CIA, or similar)
Ability to make independent decisions on critical items and effectively manage complex or multi-functional compliance projects / assignments
Applied and working knowledge of consumer regulations, including fair lending, AML/BSA, OFAC and FCPA
Knowledge of Discover business processes, procedures, and systems, a plus

107

Global Compliance Testing & Governance Editor Resume Examples & Samples

Tracking issues found in the review of test reports, and periodically reporting QA metrics (e.g., “n” number of report ratings changed)
Enhancing the framework, standards and templates for the writing and format of Compliance testing reports
Contribute to the development and delivery of training courses
Developing management reporting to key senior stakeholders synthesizing and summarize key testing results, issues and metrics
Developing other reporting as needed summarizing key elements of the testing program and report findings
Manage processes governing all reports to ensure accuracy and maintain consistency between source data and reporting
Bachelor’s Degree in English, Journalism, Communications or another writing-intensive major
Financial Services industry experience
Minimum of five years of professional editing and writing experience. At least three years of the experience must have been focused on editing communications related to the financial services industry or Compliance-related industry trade publications
Understanding of audit or compliance testing standards
Content strategy and reporting experience
Ability to compile disparate information, synthesize and summarize into executive level reports
Technical proficiencies in MS Word, PowerPoint, Excel and SharePoint
Have excellent interpersonal skills and ability to work effectively and collaboratively with colleagues across regions and in other departments
Have strong written and verbal communications skills
Attention to detail and effective time management skills
Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
CPA/IA Certification/CA/ CRCM/CRCP

108

Volcker Compliance Testing, VP Resume Examples & Samples

Responsible for executing Volcker Compliance Testing in the Americas; to ensure compliance with regulatory requirements and applicable bank policies and procedures
Performs testing for selected organizational units with respect to Volcker using a continuous risk-based, independent and structured framework
Conduct appropriate IT general control testing and develop test scripts that assess the design of the control structure and environment; test the existing controls to ensure they are functioning as intended and review of testing results to ensure proper treatment and escalation of identified issues
Ensure timely issuance of the Testing Reports, Documents and analyzes identified exceptions and assesses criticality of compliance-related risk
Reviewing of remedial measures; ensuring the developed and implemented actions by business unit or branch management effectively addresses existing related risks, as well as prevent future occurrences
Other projects as required
7-10 years of experience in compliance and risk management or internal audit experience
Working knowledge of the Volcker Rule and the Dodd-Frank Act as well other U.S. Securities Laws & Regulations
Experience working in a global organization, particularly as concerns global markets activities and familiarity with systems for booking, reporting and recording of derivatives transactions
Solid understanding of Compliance Testing standards and methodologies
Experience with drafting and implementing testing scripts
Ability to work with minimal supervision, well organized with strong attention to detail
Requires strong analytical and written communication, Excel and Word skills

109

Compliance Testing Resume Examples & Samples

To provide Management with an independent and objective evaluation of activities and procedures to ensure firm activities are in compliance with all relevant laws and regulations in Japan as well as the internal rules of Morgan Stanley
Assist the Head of Testing in executing the annual compliance examination plan
Set and decide compliance examination scopes, tests and programs and identify and evaluate regulatory risks and control deficiencies
Assist to prepare and decide the appropriateness of compliance examination findings and recommendations and management responses
Ensure that compliance testing work is completed and documented in accordance with required standards
Prepare high quality draft Compliance Testing reports
Maintain good working relationships with business and functional heads
Good analytical and supervisory skills and a thorough knowledge of testing techniques and regulatory risks and controls within financial services
Strong drafting skills is essential
Able to work independently as well as in a team environment
Minimum 5 years of post-qualification internal or external work experience
Bilingual fluency
Good understanding of operations and products in financial industry

110

Director Compliance Testing Resume Examples & Samples

The Santander Consumer USA (SC) Consumer Compliance program provides oversight and establishes the framework for enterprise-wide consumer compliance activities, thereby cross-functionally driving consistency and standards throughout SC. The Consumer Compliance program supports implementation of compliance activities throughout SC in line with SC compliance policy standards and local and federal regulatory requirements. As a member of the SC Consumer Compliance team, the Director of Consumer Compliance will be responsible for providing assurance to their direct report that Business Units throughout SC are consistently applying best-practice consumer compliance policies, standards and procedures
Responsible for the development, implementation and overseeing monitoring and testing program of entity-wide processes to identify regulatory breaches and work with the business units to mitigate regulatory compliance risks
Develops annual compliance testing risk based plan based on risk assessment
Manages testing teams and execution of testing engagements of business units to ensure compliance with applicable laws and regulations
Manages the day-to-day activities of a team of compliance manager(s), associates, including performance management, time and attendance, etc
Plans entity-wide compliance tests -- Manages process to ensure development, design and maintenance of testing and/or monitoring programs to ensure compliance with applicable laws, common law, and regulations
Conducts Compliance Testing of high-risk, highly complex regulations ensuring transparency and internal compliance testing guidelines are met
Reviews and prepare compliance testing reports, communicates (verbally and written) findings and recommendations to line and senior management (EVP Level) reporting control weaknesses, compliance breaches and operational loss events & tracks open compliance issues identified during testing and monitoring through resolution
Manages engagements ensuring the staff maintains testing standards and transparency as well as to time constraints and schedule
Works with Business Units to ensure accurate and timely implementation of corrective actions plans
Conducts review of testing staff work papers ensuring testing standards are met, issues are founded and clearly documented and supported by fact and evidence
Conducts management meeting to discuss testing engagements as well as issue presentation and escalation which includes Management Committee levels
Assists in the preparation & issues Compliance Testing reports to executive level and business management, compliance officers as well as regulators
Performs other duties as assigned Supervisory Responsibilities: Provides leadership and direction through directors and/or managers and exempt staff. Carries out supervisory responsibilities in accordance with Santander’s policies and applicable laws

111

Gf-compliance Testing Senior Lead Resume Examples & Samples

Advise the Asia testing teams on AML/Sanctions/AB&C specific risks
Support the AML/Sanctions/AB&C Compliance Testing head in the overall program
Participate in QA discussions and develop plans to address deficiencies highlighted in QA reviews
Propose solutions and help process owner develop corrective action plan (CAP), ensuring that CAPs adequately address the issues/risks Ensure high quality Work Papers and Documentation from the team Monitor test progress and CAPs from reviews performed by the team
Interactions within the broader Anti- Money Laundering, Sanctions and AB& Compliance function
Developing skills of testing, analytical and proactive assessment of emerging risks/trends with a ‘big picture” view
Building and cultivating connections and partnerships across the business/function
12-15 or more years in the financial services industry or in a reputed Big Four/ Accounting firm with financial institution engagement
Knowledge and 8 years’ experience in AML Compliance(Retail or Corporate), including one or more of the following areas, is highly preferred
AML compliance advisory
Review of client due diligence files
Sanctions advisory
Suspicious transaction report (STR) filing and investigations
Implementation of AML programs and internal controls
Report writing experience in the context of audits or Compliance Monitoring and Testing reviews would be an added advantage
Certification from the Association of Certified Anti- Money Laundering Specialists (ACAMs)
Highly effective oral and written communication skills
Able to influence peers and senior management to accomplish shared goals
Strategic thinking and problem solving
Strong Execution and coordination skills
Ability to interpret AML/OFAC/AB&C compliance manuals and review other bank policy and procedure manuals as appropriate
Familiar with client due diligence and AML standards
Bachelor’s Degree with professional qualifications as applicable. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus

112

Compliance Testing Group Resume Examples & Samples

Perform forensic review of written and voice electronic communications to identify potential inappropriate conduct
Work closely with CTG?s global testing team, to identify potential compliance and reputational risks, and effectively escalate to appropriate individuals
Multi-task ? have the ability to work on several different reviews with different individuals at the same time
Bachelor?s Degree in Finance or Bachelor?s Degree with at least one year of paralegal or legal experience
Experience performing review of both written and voice electronic communications
Experience using communication review tools, such as Orchestria, Clearwell, etc

113

AFC Compliance Testing Reviewer Resume Examples & Samples

Assists the Americas Head of Controls in designing an annual testing plan (i.e., scoping and planning the reviews and developing/updating test program documentation including procedures and testing templates where required)
Assists the Americas Head of Controls in preparing periodic reports, management information, and other documents for senior management and external regulators (if required)
Assists with conducting off-cycle "deep dive" reviews, which may include performing a more detailed analysis of controls for targeted business or operational areas
3-5 years of relevant exerpience
Post-graduate advanced degree (e.g., JD, MBA, etc.) a plus but not required
Strong knowledge of AML / Sanctions / Fraud / Anti-Bribery & Corruption concepts, functions responsibilities, risk assessment processes and risk principles
Ability to identify matters that require further analysis and investigative skills – inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal)
Must be highly flexible, multi-task oriented and capable of changing directions based on business demands

114

VP, Gfcc Compliance Testing, / Singapore Resume Examples & Samples

Timely execution of the GFCC & GACC Testing program
Conduct planning and scoping for compliance tests to identify key controls to be assessed and tested
Perform control design assessment and operating effectiveness testing to identify control issues
For identified control issues, determine the root cause and work with stakeholders to develop and implement appropriate corrective actions
Prepare and discuss the compliance test reports with Compliance and stakeholders in the business or control functions
Provide guidance and support to more junior members of the team both in terms of process and subject matter expertise
Working closely with GFCC and GACC Advisory Compliance Managers, and stakeholders in the business to ensure effectiveness of testing execution
Management of open issues arising from testing and validation of action plans
Approximately 8-10 years of relevant Compliance experience or other related experience such as risk management, audit, or similar control-related experience
Excellent communication skills with an ability to produce well written reports and present findings to senior management
Strong risk and control mindset and attention to detail
In-depth knowledge of AML, OFAC and other AML regulatory requirements and standards applicable to a global financial services firm
Ability to interpret regulations and assess operational compliance
Strong project management skills and able to complete tasks before deadlines
Highly self-motivated, able to work independently under minimum supervision, and a good team player
Have flexibility regarding working hours as candidate might have to work with global teams or stakeholders
Have relevant industry qualifications and an university degree

115

Compliance Testing Group Resume Examples & Samples

Bachelor?s Degree
Integrity, motivation, intellectual curiosity, and enthusiasm
Understanding of information technology systems and standard system implementation methodologies a plus

116

AML Compliance Testing Analyst Resume Examples & Samples

Performs control testing for key AML compliance, risk areas of the Bank. Analyzes data sets and draws conclusions
Designs new and effective test scrips with minimal guidance
Works collaboratively with Underwriters, Community Banking Risk Managers and Business Unit Compliance Officers to determine specifications of the loan processing monitoring program
Develops appropriate methodologies in order to determine statistically valid sampling levels
Ensures the depth and frequency of the program meets expectations by considering audit and exam findings as well as the results of internal monitoring programs
Provides monitoring results periodically to management with recommendations for process and procedural changes that will improve results
Makes recommendations for additional training and communication to front-line and back-room departments based on analysis from the AML monitoring program
Maintains accurate and up-to-date records of monitoring results for further review by Auditors, Examiners, Risk Managers and BSA Officer or Deputy BSA Officer
Stays apprised of product details as well as regulatory and procedural changes that might impact processing quality
Demonstrates compliance with all bank regulations for assigned job function and applies to designated job responsibilities – knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes
Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training
Maintain a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as applicable to this job description
May be asked to coach, mentor, or train others and teach coursework as subject matter expert
Actively learns, demonstrates, and fosters the Umpqua corporate culture in all actions and words
Takes personal initiative and is a positive example for others to emulate
Embraces our vision to become "The World's Greatest Bank."
Requires a bachelor’s degree or equivalent
2-3 years of relevant BSA/AML experience
CAMS certification preferred
Intermediate knowledge of the Bank Secrecy Act, USA PATRIOT Act and Sanctions laws
Strong relationship management abilities, analytical and problem solving skills, and credit and credit quality skills
Proven track record of success and skills in project management, process development and procedural documentation
Strong auditing, analysis and quality control skills
Demonstrated working in a cross-functional team and gaining consensus from multiple stakeholders
Excellent written and verbal communication and presentation skills
Advanced skills in Excel

117

Compliance Testing Team Resume Examples & Samples

Lead the Compliance Testing Team in providing an independent view to the Group Head of LCS on the state of DBS Group’s compliance in relation to applicable regulatory requirements or risks
Develop compliance test plan for DBS Group and ensure execution to plan
Plan and perform desk-top reviews and face-to-face engagement
Produce detailed reports ensuring all findings are clearly documented with supporting evidence as well as update LCS management on these findings
Be proactive in providing feedback/ideas on procedures / controls / process to management in order that streamlining can occur or improvements to processes can be made
Carry out any other ad-hoc reviews that arise from Business / Support functions or regulator
Ensure good working relationships are fostered with the Business, Audit and other control functions
Drive innovation agenda within Compliance Testing Team in relation to new ways of conducting compliance testing

118

Compliance Latam Compliance Testing VP Based Resume Examples & Samples

Prepare clear and organized testing work papers to document and support work performed and conclusions reached (Planning, Execution, Issues identification, Reporting and documentation)
Draft detailed reports encompassing the review results which clearly articulate the issues noted and remedial actions to be taken
Organize and prepare management information relating to testing reviews completed, issues identified, outstanding action plans and progress against plan
Work to enhance the visibility of the Testing team and establish key business relationships. Interact with all levels of business management and staff. Meet regularly with key business stakeholders to remain informed of risks within the business and issues arising
Coordinate with other Compliance Team Members globally and assist in various ad hoc projects as necessary
Excellent written, analytical and interpersonal skills required
Able to work independently with good time management skills
Fluency in English. Portuguese and Spanish are considered a plus

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