Manager AML Resume Samples

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HW
H Wehner
Hayley
Wehner
740 Amaya Wall
Chicago
IL
+1 (555) 649 7080
740 Amaya Wall
Chicago
IL
Phone
p +1 (555) 649 7080
Experience Experience
San Francisco, CA
Manager, BSA / AML
San Francisco, CA
Effertz, Bernhard and Runolfsdottir
San Francisco, CA
Manager, BSA / AML
  • Participate in the management of internal/external reviews, audits and regulatory examinations
  • Maintain current working knowledge of BSA, AML, CFT and all related anti-money laundering and OFAC laws and regulations
  • Maintain and develop knowledge of any specialized software used in the execution of all BSA/AML monitoring
  • Contribute in the development and refinement of the BSA/AML/OFAC monitoring program
  • Oversee and execute CIP/CDD/EDD monitoring process
  • Execute 314a related search and clearing process
  • Assist in the completion and maintenance of the Bank’s BSA/AML/OFAC risk assessments
New York, NY
IPB AML Senior Manager
New York, NY
Schmitt, Schaefer and Kuphal
New York, NY
IPB AML Senior Manager
  • Manage a small group of AML Specialists / Analysts in support of the business’s AML framework and activities
  • Provide advice and education to the business on AML programs and best practices. Implement and track training and communication strategies for the business
  • Prepare and deliver performance appraisals, job descriptions and participate in salary forecasting
  • Conduct training sessions, in accordance with a business approved training program, on topics around AML and Sanctions. Audience will be IPB US staff who perform AML activities
  • Work with AML and Sanctions processes, procedures and training of staff
  • Coordinate all activities related to improve overall employee satisfaction within the unit
  • Work closely with the business operating units to ensure that day-to-day / on-the-ground AML activities are performed in adherence to global/sector KYC/AML policies and guidelines. Incumbent will also work closely with the AML Senior Program Lead and Global teams to conduct impact and gap assessment of new policies and standards deployed for the business
present
New York, NY
BSA / AML / Ofac Senior Manager
New York, NY
Yundt-Macejkovic
present
New York, NY
BSA / AML / Ofac Senior Manager
present
  • Assists with annual budgeting and strategic planning sessions for holding company
  • Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function
  • Provides information and on-going feedback to department staff regarding expectations and performance
  • Communicates changes in policies, procedures and products to all staff affected including member bank’s Bank Secrecy Act Officers
  • Acts as the BSA Officer for Heartland, and ensures the establishing of a qualified BSA officer for each member bank
  • Manages and coordinates the BSA/AML/OFAC Operations functions for the holding company, member banks, and affiliates with those duties
  • Performs BSA/AML/OFAC due diligence and integration duties, in support of mergers and acquisitions
Education Education
Bachelor’s Degree in Business
Bachelor’s Degree in Business
Duke University
Bachelor’s Degree in Business
Skills Skills
  • Ability to research viable solutions through existing departments in the Bank or external vendor partners
  • Thorough knowledge of the Bank’s production and legacy systems
  • Thorough knowledge of processes and systems that support the Canadian Banking, International Banking and Global Banking & Markets
  • Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM)
  • A working knowledge of bank accounting and internal controls
  • Thorough knowledge of project planning and tracking techniques
  • Thorough knowledge of the Bank’s interactive systems including Excel, PowerPoint and Word
  • Vendors and technology partners, where applicable
  • Researching best practices
  • Building relationships with internal and external partners
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15 Manager AML resume templates

1

Manager, AML FIU Resume Examples & Samples

  • Fraud / Corporate Security
  • Various Corporate Ares
  • CAMLO Office
  • AML Office Colleagues
  • Regulators / Law Enforcement Agencies
  • Extensive proficiency in area of specialty
  • Works closely with management on department issues applying independent judgment within guidelines
  • Bachelor’s degree preferred, or 5-7 years of relevant experience in lieu of degree
  • Directly supervises specialists/individual contributors doing routine work of moderate complexity
  • Monitors daily operations of staff and provides direction regularly
2

Manager, AML FIU Resume Examples & Samples

  • Change Management - Working
  • Customer Service - Indepth
  • Financial Acumen - Indepth
  • Influence - Indepth
  • Leadership Skills - Working
  • Negotiation - indepth
  • People Management - Indepth
  • Process & Systems Oversight – Indepth
  • Risk Management – Indepth
  • Directly supervises specialists/individual contributors doing specialized work of significant complexity
  • Acts as an advisor to subordinates to provide direction on atypical issues
3

AML Sanctions Manager Resume Examples & Samples

  • Leading the AML/Sanctions team responsible for Transaction Monitoring, SAR reporting to the UAE Central Bank, PEP Risk Assessments, MSB reviews and any other AML or Sanctions related projects
  • Being responsible for the effective implementation of the Group AML and Sanctions policy through various initiatives and managing key stakeholders effectively
  • Taking informed risk decisions relating to customers and payments and accounting for those decisions to senior management and customers when required
  • Providing sufficient cover for the Head of AML and Sanctions in his/her absence
  • Identify and implement changes to existing standards and procedures and to develop new strategies to mitigate risk as new circumstances arise
  • Build a best in class financial crime team through appropriate development of team members and recruitment of top performers
  • Ensure that financial crime compliance frameworks across the Group Bank are accurately documented and maintained to provide a clear knowledge of the controls in place to ensure effective compliance with these policies
4

Manager, HRT, AML FIU Resume Examples & Samples

  • Appropriate Business Groups
  • Various Corporate Areas
  • Internal / External Audit Groups
  • Receives assignments in the form of objectives and determines resources to meet goals
  • Accomplishes results through the work of experienced professional/exempt staff
  • Bachelor’s degree preferred, or 7-10 years of relevant experience in lieu of degree
  • 5-7 years of experience in functional area
  • 3-5 years management experience
5

AML Operation Senior Manager Resume Examples & Samples

  • Ensuring that the team are using global standard policies, procedures and tools
  • Developing operational initiatives, benchmarks and metrics for standards of performance
  • Ensuring that the team operates within agreed business SLAs and confidentiality standards
  • Building and applying knowledge of money laundering processes across the team
  • Conducting line management for team leads, including performance management and coaching
  • Supporting hiring and training
6

Manager, AML Rules, Effectiveness Resume Examples & Samples

  • The Manager, AML Rules Effectiveness interacts regularly with Compliance executives and CIBC Technology and Operations executives and senior management, to identify and discuss AML Compliance needs and issues
  • The Manager, AML Rules Effectiveness interacts regularly with colleagues with AML Compliance to address issues and to ensure that AML’s systems continue to meet their needs
  • As an employee of CIBC, the Manager, AML Rules Effectiveness must comply with all applicable CIBC and Line of Business policies, standards guidelines and controls
  • As a manager of people, the Manager, AML Rules Effectiveness must ensure all employees within the business unit comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls
  • Penalties for non-compliance with sanctions legislation and the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulation are severe. Criminal charges arising from any issue of non-compliance would have a significant and damaging impact on CIBC's image, reputation and shareholder value. Penalties associated with non-compliance may involve fines and prosecution of officers/directors
7

Manager, AML Solutions Resume Examples & Samples

  • Building team and individual capabilities by providing development opportunities such as job shadowing, special projects, and training
  • Creating a positive work environment and being an effective role model by championing CIBC’s mission, vision and values; and
  • Ensuring compliance with policies, standards, guidelines and controls by applying the policies and controls fairly and consistently so employees understand what to expect
8

Senior Manager AML & KYC Projects Resume Examples & Samples

  • A solid, general knowledge of Scotiabank policies, procedures and processes
  • A working knowledge of Spanish is preferred
  • A strong ability to develop creative and innovative solutions
  • Highly-developed PC skills
9

AML & Sanctions Manager Resume Examples & Samples

  • Assist in the timely submission of suspicious transaction reports to relevant authorities
  • Provide support and guidance to all businesses to embed a culture of responsibility
  • Assist in the review of regular and ad-hoc reporting on AML/Sanctions compliance
  • Review & recommend improvements to the local AML and Sanctions policies
10

BSA / AML CTR Manager Resume Examples & Samples

  • Ensures currency transactions are reported, exemptions from currency transactions are granted to qualified customers, and purchases of monetary instruments are recorded according to federal regulation
  • Manages team members who analyze transaction reports and the currency transaction system of record to ensure reports are filed as required by federal regulations and within regulatory time frames. Manages, and performs, as necessary, quality control processes to ensure currency transaction reports analyzed by team members meet regulatory requirements and time frames
  • Interfaces with managers of appropriate business-partner departments to ensure all data-feed from appropriate systems occur as needed into the currency transaction reporting system, so reports aggregate transactions as required by regulation
  • Manages, writes, reviews and revises, as needed, all aspects of the currency reporting, exemption and monetary instrument recordkeeping program to ensure policies, processes and procedures comply with regulatory requirements and that the program is sustainable
  • Performs quarterly SOX self-assessments, accurately and on time and ensures controls and risks of the department are documented, current and accessible
  • Acts as currency transaction reporting subject matter expert throughout the Bank and represents the department as needed at Bank-wide meetings and project teams
  • Keeps abreast of statutory and regulatory changes, federal advisories, guidance, rulings and bulletins, as well as industry trends and best practices to ensure the Bank aligns with regulatory expectations and standards
  • Prepares responses to examination, audit and review findings. Works with senior management and appropriate business partners to recommend, develop, and implement creative and sustainable corrective action plans to address findings
  • Provides MIS for the department used in the reporting of key metrics to management
  • Designs, develops and delivers department-specific training and overall BSA/AML/OFAC training to department staff and provides training as needed to other departments
  • Performs all Human Resource-related functions to ensure the department is properly staffed with appropriate team members while providing motivation and career growth for all staff
  • CAMS certification required
  • Minimum 5 – 10 years of directly related experience
  • Minimum 5 – 10 years of functional/professional experience in branch operations or related experience at a financial institution is preferred
  • Minimum of 5 years of supervisory or managerial experience, preferably involving at least 5 professional staff members
  • Expert knowledge of the Bank Secrecy Act, USA PATRIOT Act and FFIEC Examinations Manual pertaining to reporting and recordkeeping requirements
  • Understanding of bank products and services and how they may be exploited for criminal purposes, including, but not limited to, money laundering, terrorist financing activities, fraud
  • Understanding of bank operations, policies and procedures, systems and operating rules
  • Experience dealing with regulatory authorities at a high level
  • People management experience working across diverse business groups and teams
  • Superior oral and written communication skills
  • Excellent interpersonal abilities
  • Demonstrated ability to lead, motivate, provide guidance and constructive feedback
  • Ability to successfully lead through change in a challenging and diverse working environment
  • PC Skills: Windows, MS Word, MS Excel, MS PowerPoint, MS Outlook
11

Senior AML & Sanction Manager Resume Examples & Samples

  • Advise Hong Kong businesses/ support functions on AML/CTF and Sanctions risk and relevant controls and mitigants
  • Representation of ANZ and Group Compliance at relevant industry or regulator forums globally
  • Provide feedback to Country Head of Compliance and MLRO on Hong Kong AML/ CTF, Sanctions & ABC compliance training requirements and approve content for delivery
  • Act as a trusted advisor to the Business stakeholders and Head of Compliance, providing strategic compliance advice on AML/ Sanctions/ ABC to key stakeholders across Hong Kong
  • Sound understanding of the business and market environment in which ANZ operates its business strategy and the key drivers of success, including understanding of the key drivers of the risk and reward relationship
  • Strong negotiating, influencing and consulting skills
12

AML & Sanctions Manager Resume Examples & Samples

  • Provide assistance and guidance to Hong Kong businesses/support units on the implementation of ANZ AML, CTF, ETS and ABC policies and requirements
  • Act as a primary contact for key external regulators in relation to AML/CTF, Sanctions and ABC
  • Ensure that regulatory compliance is integrated into the day-to-day operational processes and procedures of the ANZ through contribution to the continuous improvement of AML/Sanctions/ABC controls at ANZ
  • Thorough understanding of the AML/ CTF/ ETS/ ABC requirements locally and internationally
  • Demonstrate ability to solve problems and remain results focuses in a fast changing environment
  • Well-developed relationship building and networking skills
13

KYC / AML CDD Manager Resume Examples & Samples

  • Manage a team of highly motivated individuals in a dynamic environment of regulatory & process change
  • Strong Understanding AML/KYC CDD Policies & processes
  • Experience in participating in process simplification & Improvement
  • Work and manage assigned Risk related remediation efforts
  • Liaise with internal departments to support KYC issues
  • Involvement in ad hoc projects for new processes or industry initiatives
  • Participate in Remediations, internal/external Audits
  • Point of contact for Business & Management when matters require attention
  • Metrics Reporting & Support creation of key business metrics
14

Manager, ERM AML Resume Examples & Samples

  • 3 year experience in AML/CTF within a financial institution or regulator
  • Proven relevant experience and proven track record in a AML/CTF and/or Sanctions role
  • Knowledge of AML/CTF Act and Rules
  • Knowledge of risk management frameworks, methodologies
15

AML / KYC Case Manager Resume Examples & Samples

  • Liaise with internal and external clients ensuring compliance
  • On boarding of clients
  • Ensuring on boarding documents are completed
  • Co-ordination and carrying out renewal processes of coverage, business and compliance
  • 1 - 3 years' experience in banking or finance
16

AML Guidance Manager Resume Examples & Samples

  • Oversee AML / Sanctions Programs & Standards,
  • Identify and Assess AML/Sanctions Risks,
  • Provide enterprise level Advice and Guidance for complying with applicable regulations and requirements,
  • Provide Ownership and Support for Strategic program initiatives
  • Candidate must have 3 - 5 years AML and/or Sanctions experience
  • Expert level knowledge of AML and Sanctions, and financial products and services required
  • CAMS certification strongly preferred
17

AML Guidance Manager Resume Examples & Samples

  • Oversee AML / Sanctions Programs & Standards
  • Provide enterprise level Advice and Guidance for complying with applicable regulations and requirements
  • The AML Guidance Manager may be responsible for the following activities undertaken by the AML Governance & Strategy team
  • Define methodologies, frameworks, and compliance standards for implementation of Program requirements,
  • Manage identified and emerging risk impacting CFG’s AML and Sanctions programs, including appropriate escalation and oversight of remediation,
  • Implement identified strategic program initiatives,
  • Work closely with business lines as they launch new products and services or undertake technology projects in order to ensure that AML and Sanctions risks are appropriately measured, documented, and mitigated to the extent possible prior to launch, and during the lifecycle of the product or service,
  • Interpret and review regulations and updates to same, including the Bank Secrecy Act and the USA Patriot Act, as well as bulletins and correspondence from Regulatory agencies detailing BSA, AML, and OFAC requirements and expectations,
  • Manage internal assurance, audit, and regulatory AML and Sanctions examinations,
  • Contribute to annual review and periodic updates of the CFG AML Policy/Program and the CFG Sanctions Policy/Program,
  • Conduct the annual Enterprise AML Risk Assessment and the annual Enterprise Sanctions Risk Assessment,
  • Participate in governance level activities conducted to assess risk mitigated by CFG’s AML and Sanctions models and related applications,
  • Drive enhancements to required established Management Information reporting, and
  • Provide support for established AML and Sanctions governance committees
  • Expert level knowledge of AML and Sanctions and financial products and services required
18

MYS Ctsm Kl-aml Operation Senior Manager Resume Examples & Samples

  • Minimum experience required: 7-10 years, preferred with AML experience
  • Minimum education required: Bachelor Degree
  • Preferred Master Degree
19

Manager, AML Sanctions Centre of Excellence Resume Examples & Samples

  • Coordinate, review and provide timely response to sanctions related queries from business partners in various LOBs/SBUs/Regions
  • Lead the research efforts and prepare reports on sanctions and anti-terrorist financing subject matters, such as industry trend and best practices, regulatory developments, and relevant technologies
  • Proactively monitor new and changing regulatory requirements on sanctions and anti-terrorist financing for regions where CIBC operates and make necessary recommendations to the management team and business partners in a timely manner
  • Responsible for the AML Global Watch-list Distribution Process to ensure applicable sanctions regulatory updates are monitored, reviewed and cascaded to the applicable individuals in the organization
  • Assist in the development of key elements of sanctions and anti-terrorist financing processes relating to risk assessment testing, quality assurance and quality control, and sanctions list testing
  • Assist in projects related to the development and implementation of new sanctions and anti-terrorist financing risk assessment and training requirements
  • Support the preparation and submission of responses to regulatory and audit examinations of the AML/ATF Program as required
  • Support management request for information by research, analyze and provide a timely response
  • Monitor timelines of various processes to ensure deadlines are met and deliverables are completed with quality
  • Proactively identifying process and practice improvement opportunities, building business cases, and influencing senior leaders to drive changes
20

AML / BSA Manager Resume Examples & Samples

  • 3+ years of regulatory or compliance or other applicable experience
  • 5+years of operational or technical support in Financial Services industry
  • 5+ of regulatory or compliance or other applicable experience
  • 8+years of operational or technical support in Financial Services industry
21

Senior Manager, AML / ATF Wealth Management Resume Examples & Samples

  • Provide oversight and coordination to the Wealth Management (WM) AML Teams (1A & 1B functions)
  • Provide AML/ATF Compliance support to the Wealth Management businesses including
  • Bachelor’s degree (University Degree) with a minimum of 5 years of experience in AML, Compliance and/or Audit capacity in matrix financial institution; or its equivalent in education and years of experience
  • Strong understanding of Bank’s operations, Canadian Banking structure, products, services and operations
  • Extensive experience with case management and analytics reporting
  • Proven experience identifying and implementing process enhancements as well as the experience to oversee the resolution of process deficiencies and drive operational efficiency without compromising compliance requirements
  • Advanced analytical, problem-solving and critical thinking skills with solid organization and time management skills to deal with complex operational issues in a matrix organization
22

AML Senior Manager Resume Examples & Samples

  • Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Bank policies and procedures
  • Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
  • Directs complex audit activities for the AML program at the product, function, or legal entity level as part of the audit annual plan and the independent testing standards for AML
  • Proactively advances integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapts them for application within own job and the business
  • Interacts with regulators on a periodic basis
  • Develops effective senior line management relationships and has a strong understanding of the businesses
  • Applies an in-depth understanding of the inter-relationships of business and support units throughout the Bank and how they impact the overall AML control environment and the audit approach
  • Uses excellent communication skills in order to influence a wide range of internal audiences at the executive level. Negotiates internally often at higher levels on matters which will have a major impact on the area managed
  • Possesses strong project management and interpersonal skills, makes sound decisions, and exhibits initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
  • Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
  • Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues
  • Analyzes reporting findings; Recommends appropriate interventions where needed
  • Proposes creative and pragmatic solutions for risk and control problems
  • Serves as lead reviewer for all types of reviews, including the most complex
  • Experience in a related role with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
  • Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
  • Must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and management
  • BA/BS or equivalent, preferably with a degree related to business. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus, while a CAMS certification is a strong plus
  • Greater than 8 years of audit experience in areas related to AML programs including transaction monitoring disciplines, alert analysis, optimization and segmentation, AML investigations and SAR decisions, plus KYC, AML, Risk Assessment and Sanctions
23

Senior Manager, AML Projects Resume Examples & Samples

  • Leadership – Initiates and actively participates on the project management process through the various phases from requirements through to implementation by
  • Leadership – Management - Manages personal (or where applicable “the team’s”) development to ensure knowledge and skills are continually enhanced by
  • Excellent written and verbal skills required to prepare communications and interact effectively with other Bank departments, external parties and Senior Executive Officers
  • Expert knowledge of project planning and tracking techniques and methodologies and market trends
  • Expert knowledge of Canadian, International and Global Banking business units functions, procedures, products, policies and how the various supporting units interact
  • Significant level of knowledge /expertise and critical thinking skills to identify, evaluate and recommend improvements to process, technology and organizational structure to enhance both the customer and employee experience
  • Thorough knowledge of related regulatory requirements including KYC, AML, Anti-Terrorist Financing Policies legislation and procedures
  • Thorough knowledge the Bank’s production and legacy systems and related processes that support the Canadian Banking, International Banking and Global Banking & Markets
  • Working knowledge of bank accounting and internal controls
  • Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM )
24

IPB AML Senior Manager Resume Examples & Samples

  • Actively participate in the implementation of key AML and Sanctions projects required for the business to operate under a controlled and effective AML environment, these projects may be the direct result of initiatives committed by the business to regulators or internal Citi stakeholders such as Citi’s Board of Directors and Citi’s second and third line of defense teams (e.g., AML Advisory/Compliance, Internal Audit)
  • Work closely with the business operating units to ensure that day-to-day / on-the-ground AML activities are performed in adherence to global/sector KYC/AML policies and guidelines. Incumbent will also work closely with the AML Senior Program Lead and Global teams to conduct impact and gap assessment of new policies and standards deployed for the business
  • Work with AML and Sanctions processes, procedures and training of staff
  • Participate in the implementation of specific initiatives required for the business to enhance its AML and Sanctions framework, identify and address ongoing training needs and act as an AML subject-matter-expert in support of the business operating model
  • Manage a small group of AML Specialists / Analysts in support of the business’s AML framework and activities
  • Partner with the AML Business Senior Program Lead to execute and implement specific actions to enhance the AML and Sanctions framework to ensure a consistent operating model and an optimal management of AML and Sanctions risks
  • Assist in translating Consumer Bank commitments (in full alignment with Global KYC/AML) into the business, assess impact and drive full implementation of such commitments and requirements
  • Work with AML partners on the interpretation and strict implementation of Citi policies and standards and compliance of regulatory requirements to ensure they are met while being sensitive and balanced vis-à-vis customers and business needs
  • Participate in AML-related project plans to coordinate the implementation of KYC/AML and Sanctions monitoring requirements. Adhere to expected execution and quality timelines. Track timely completion of milestones and escalate identified risks or roadblocks. Work with the AML Business Senior Program Manager to escalate staffing, training and implementation needs and design training/certification programs and execute them
  • Partner with the IPB U.S. CBSU team to constantly assess opportunities for improvement
  • Provide advice and education to the business on AML programs and best practices. Implement and track training and communication strategies for the business
  • Conduct training sessions, in accordance with a business approved training program, on topics around AML and Sanctions. Audience will be IPB US staff who perform AML activities
  • Document project execution in an audit-like manner and represent the business in AML-related audits and validations conducted on the implementation of business AML Programs, as needed
  • Partner with the business Decision Management team to develop AML reports/MIS and presentations. Represent the IPB U.S. business with internal reviewers, such as Compliance Testing, in the review of customer KYC files for completeness
  • Coach direct reports on business policies, keeping them alert of any changes in business policies and procedures
  • Prepare and deliver performance appraisals, job descriptions and participate in salary forecasting
  • Coordinate all activities related to improve overall employee satisfaction within the unit
  • Ensure proper training of team members in bank regulations, operational and AML policies and procedures
  • 5-10 years of AML-related experience
  • Bachelor of Arts or equivalent experience; Master’s Preferred
  • Experience managing small teams (2-5 individuals)
  • Strong background in AML Regulations including the Bank Secrecy Act and the US Patriot Act couple with excellent analytical skills (quantitative and qualitative)
  • Proven experience in project management and Consumer banking operations and AML controls
  • Superior interpersonal and communication skills at all levels
  • Strong analytic skills and ability to rapidly assimilate complex information
  • Highly effective influencing skills. Ability to build strong partnerships
  • Sound decision making, while able to agreeably present another viewpoint
  • Positive/can-do approach, embraces changes and communicates as own
  • Bilingual – English and Spanish; Portuguese a plus
25

AML CDD / EDD Manager Resume Examples & Samples

  • Supervise team of analysts and specialists
  • Responsible for the effective implementation of controls and processes to ensure compliance with the recordkeeping and regulatory reporting requirements, such as USA PATRIOT ACT, Bank Secrecy Act, and the Bank’s CDD/EDD program. Monitor timely completion of periodic High Risk Reviews, and review and approve the analysis of the high risk customers
  • Assist and coach team members to improve overall efficiency, effectiveness and career growth
  • Drive process improvements to create greater effectiveness and efficiency within all areas of responsibility
  • Maintain effective internal control environment in order to achieve satisfactory audit results for areas of responsibility
  • Identify high risk customer trends and ensure that processes and procedures keep pace with regulatory expectations and that concerns and issues are elevated to the BSA or Deputy BSA Officer
  • 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
  • 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
  • Required bachelor’s degree in business, criminal justice, law, accounting or related field required
  • 3-5years’ experience required in BSA/AML, CDD/EDD, and/or Financial Crimes investigations with a financial institution
  • 1-3 years of supervisory/management experience required leading teams to greater effectiveness, preferably in the AML operations, CDD/EDD or investigations areas
  • CAMS or equivalent certification or willingness to obtain CAMS certification
  • Advanced skills in the use of Excel and/or other tools for the analysis of data
  • Proven ability to lead teams
  • Advanced understanding of the FinCEN CDD and Beneficial Ownership rulemaking and the due diligence requirements outlined in the USA PATRIOT Act
  • Experience in using AML Transaction Monitoring Systems
26

Manager, BSA / AML Resume Examples & Samples

  • Maintain and develop the BSA/AML program
  • Assign, supervise and conduct BSA/AML investigations including: BSA/AML program assignments; and transaction monitoring (TM) processes
  • Guide team to conduct BSA/AML investigations
  • Guide team ensure timely and accurate regulatory filings: Currency Transaction Reports (CTR) and Suspicious Activity Reports (SAR)
  • Oversee the investigation and process to conclusion of potential OFAC matches
  • Execute 314a related search and clearing process
  • Oversee and execute CIP/CDD/EDD monitoring process
  • Mitigate money laundering, terrorist financing and financial fraud related activity through data analytics, higher-risk monitoring, investigations, referrals, anomalies, and trends
  • Maintain oversight of policies and procedures and ensure appropriate BSA/AML monitoring governance and controls are in place
  • Maintain current working knowledge of BSA, AML, CFT and all related anti-money laundering and OFAC laws and regulations
  • Maintain and develop knowledge of any specialized software used in the execution of all BSA/AML monitoring
  • Contribute in the development and refinement of the BSA/AML/OFAC monitoring program
  • Serve as subject matter expert regarding money laundering, terrorist financing, and the associated technical and monitoring requirements thereof
  • Assist in the completion and maintenance of the Bank’s BSA/AML/OFAC risk assessments
  • Assist or provide BSA/AML training as needed
  • Participate in the management of internal/external reviews, audits and regulatory examinations
  • Understands processes and procedures necessary to successfully perform tasks
  • Possesses the technical and computer skills required in the position
  • Demonstrates the ability to learn rapidly and adapt quickly to new processes and technology
27

AML Mexico Project Group Manager Resume Examples & Samples

  • A minimum of 10-12+ years experience with project management, business analyst practices or related responsibilities (operational change management, reengineering, internal audit) including large-scale programs in a financial services institution is required
  • Demonstrable
  • The successful candidate should demonstrate a wide use of the following skills
  • Coordinate large-scale projects/programs involving geographically or functionally diverse stakeholders is required
  • Strong ability to influence thinking and engage buy in from business and control function colleagues at all levels
  • Logical minded person who can understand complex issues & think about them with precision
  • Commitment to co-operative and collaborative working
  • Ability to multi-task & appropriately prioritize tasks
  • The academic background expected (but not limited to) is: bachelor degree in Business Administration, Information Management, Computational / Electronic Systems Engineering or Industrial / Mechanics Engineering
  • Desired comprehension of the Mexican AML Regulation, Proficiency Certifications or Master’s degree in any of the following practices is a valuable plus: Anti-Money Laundering, Project Management, Internal Audit, Risk & Control or Fraud, as well as prior exposure to initiatives with cross country visibility would be beneficial
  • Business English, with strong oral and written communication skills is also required
28

Manager AML Resume Examples & Samples

  • Conducting risk based investigative searches
  • Working with 3rd party sources and internet research to understand the nature and purpose of the client’s accounts
  • Creating risk memos and supporting documentation for each client
  • Managing daily batch of high risk alerts Identifying and recommending solutions to issues impacting Risk and Controls
  • Building and managing relationships with the Organization Account Teams, International Teams, Financial Consultants, CVRC and AML Investigations and Monitoring Teams
  • Additional projects and tasks based on business and regulatory needs
29

Senior Manager, AML / ATF Resume Examples & Samples

  • Provide oversight and coordination to the Canadian Banking (CB) AML Teams (1A & 1B functions)
  • Provide AML/ATF Compliance support to the Canadian Banking businesses including
  • Demonstrated integrity when working with colleagues and leading others by setting example of required behaviours
  • Experience in managing complex projects and initiatives across different businesses
  • High client focus and high risk management focus
  • Proven ability to build strong cross-functional business relationships
  • Results oriented, highly motivated with a keen ability to influence others
  • Strong communication and relationship management skills
30

Manager, AML Projects Resume Examples & Samples

  • Collaborates with partners in the review of business process resulting in recommendations for measurable improvements while leveraging reusable (process) components, structures and enterprise wide technologies that are effective and efficient and ensuring that risk is minimized by
  • Participates in the development of strategies and recommendations, including related process maps, business benefits and costs, implementation and training strategies and plans by
  • Expert knowledge of Canadian International and Global Banking business units functions, procedures, products, policies and how the various supporting units interact
  • A working knowledge of bank accounting and internal controls
  • Thorough knowledge of processes and systems that support the Canadian Banking, International Banking and Global Banking & Markets
  • Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM)
  • Ability to research viable solutions through existing departments in the Bank or external vendor partners
  • Thorough written and verbal skills required to prepare communications and interact effectively with other Bank departments and external parties
  • Thorough time management skills in order to satisfy the needs of a large client group
  • Thorough knowledge of related regulatory requirements including KYC, AML, Anti-Terrorist Financing Policies, Compliance Control & Operational Risk Self-Assessments legislation and procedures
  • Thorough knowledge of project planning and tracking techniques
  • Thorough knowledge of the Bank’s interactive systems including Excel, PowerPoint and Word
31

AFC Aml-fciu Manager Resume Examples & Samples

  • The position reports into an FCIU Transaction Monitoring Manager in Jacksonville, Florida. As part of the AML FCU, your main focus will be to manage investigators who are conducting investigations specializing in Terrorist Financing/Terrorist Activity tracking
  • Manages a team of 12+ associates
  • Responsible for managing associates conducting internal & external research for Pre-Suspicious Activity Reports (SAR) drafting escalation purposes
  • Be the subject expert in Terrorist Financing and Terrorist action typologies/trends
  • Resolving AML Investigations before these issues have a negative impact on the banks financial position, reputation or become a regulatory issue
  • Review and analyze daily AML Cases to ensure that investigations are accomplished to address transactions that contravene the banks or regulatory policy. Ensure these occurrences are documented in the case for regulatory/audit level reviews
  • Ensure the risk coverage for the bank from an AML perspective
  • Investigate cases and associated transactions and identify potential areas of risk (financial, reputational, and regulatory) within the transactions and associated client relationship review
  • Investigate cases utilizing knowledge of money laundering, financing of terrorism and related issues, seeking guidance and assistance when required from the Team Manager and other colleagues
  • Accountable to ensure the audit trail is complete for all Cases
  • Participates in periodic team meetings to report on the status of the testing reviews and pending questions
  • Provide support and assistance to the FCIU Transaction Monitoring Manager with respect to the requirement that the internal systems parameters are reviewed
  • Minimum 5+ years’ experience of work experience in the financial, law enforcement, compliance, legal and/or regulatory industry
  • Minimum of a Bachelors degree or equivalent work experience
  • Previous experience in law enforcement is a benefit
  • Previous experience and/ or knowledge in AML, KYC, Sanctions, Fraud, Anti-Bribery & Corruption concepts, functions, responsibilities, risk assessment processes & risk principles are a benefit
  • Previous experience in AML, KYC, Investigations are a benefit
32

AML / KYC Senior Manager Resume Examples & Samples

  • Leading by example in further developing a culture of outstanding client service excellence 
  • Building and maintaining strong internal and external business relationships 
  • Creating strategic internal and external partnerships providing resources and expertise to maximize business success 
  • Collaborating effectively with internal client groups to execute department strategy 
  • Monitor operational issues and follow through on effective problem resolution with management of supporting departments 
  • Ensuring the smooth, effective operation of the department including: compliance to all operational procedures, excellence in product and service delivery, timely escalation and resolution of high exposure items, and maintaining high standards and controls 
  • Leading and implementing projects and acting as a professional voice for the department and firm as a whole 
  • Overseeing the supervision of staff members through appropriate recruiting, training, performance management, and succession planning. 
  • Acting as an internal 'risk manager' for the department 
  • At least 10 years of experience in finance
  • Knowledge of AML/KYC will be an asset
  • High level of initiative, creativity, ability to instill enthusiasm among team members
  • Excellent communication and client-facing skills
  • Elevated level of risk awarness
33

BSA / AML / Ofac Senior Manager Resume Examples & Samples

  • Manages and coordinates the BSA/AML/OFAC Operations functions for the holding company, member banks, and affiliates with those duties
  • Acts as the BSA Officer for Heartland, and ensures the establishing of a qualified BSA officer for each member bank
  • Plans and organizes for the needs of a growing company, ensuring that BSA staffing levels and the qualifications of BSA staff are adequate to meet the strategic business objectives of the organization
  • Writes, reviews, and updates standardized policies and procedures to ensure that Heartland maintains compliance requirements in association with anticipated growth
  • Communicates changes in policies, procedures and products to all staff affected including member bank’s Bank Secrecy Act Officers
  • Develops, implements and maintains a risk assessment and control framework through strong compliance which ensures effective execution of policies, procedures, and produces satisfactory internal and FDIC audit results, while meeting regulatory requirements
  • Works with front-line personal bankers and retail managers on decisions concerning SAR filings, high-risk customer determinations, and account-closure decisions to assure compliant BSA/AML results
  • Participates in management risk committees, and provides input as needed to the company’s enterprise risk management system
  • Provides reports and presentations to management and the Board of Directors
  • Develops and ensures the execution of a training program which meets the BSA/AML/OFAC needs of Heartland and its affiliates
  • Manages technology/models sufficient to support the organization’s BSA/AML/OFAC requirements
  • Participates in monthly and quarterly fraud committee meetings
  • Interacts with internal and external auditors and bank examiners in support of the program’s needs
  • Reviews institution operations to evaluate efficiencies. Plans and implements new operating procedures to improve efficiencies, standardized processes, and reduce costs
  • Assists with annual budgeting and strategic planning sessions for holding company
  • Performs BSA/AML/OFAC due diligence and integration duties, in support of mergers and acquisitions
  • Performs other duties assigned
  • Directly supervises the HTLF BSA officer and Analysts
  • Works with Heartland Financial’s recruitment team to hire the most qualified and talented individuals to fill open positions
  • Prepares and conducts annual performance reviews. Completes and submits all forms associated with the review process to the department according to the view process deadline
  • Proven experience managing a team
  • Ability to plan and organize strategically supporting the company’s overall objectives
  • Previous training experience a plus
  • Ability to enforce policies and procedures
  • Knowledge of AML Software databases and Microsoft Office Suite
34

Manager, AML Projects Resume Examples & Samples

  • (Do not complete for standard Canadian branch jobs.) Provide the key job accountabilities, based on the current position description
  • Conducting needs analysis to implement effective procedures and/or improve/replace with a more efficient customer centric AML/ATF/Sanction processes and procedures that will ensure a positive customer experience
  • Influencing change to policy that results in increased productivity with no increase to risk
  • Influencing viable technological and structural improvements
  • Enhancing the employee and customer experience while effectively managing AML/ATF/Sanction risk
  • Analyzing data to quantify benefits and assess costs
  • Developing and contributing to implementation planning activities
  • Participating in presentations and meetings with Senior Management
  • Provide consultation to Canadian Banking, International Banking and Global Banking & Markets through implementation
  • Preparing and/or reviewing communication material, including presentation decks and training materials ensuring content is applicable to target audiences and aligns with overall program objectives
  • Initiates and manages projects working independently or within cross functional teams by
  • Collaborating on and developing proposals
  • Coordinating project templates to create required documentation
  • Ensuring all deliverables are completed within negotiated timeframes, monitored against budget and within established department guidelines and protocols, escalating as necessary
  • Prepares project status dashboards by monitoring, collecting, analyzing, and summarizing information and trends and coordinating project reports production from project team members as per required
  • Researching best practices
  • Building relationships with internal and external partners
  • Develops strategic relationships by
  • Establishing, building and maintaining relationships with
  • Key stakeholder departments across the enterprise
  • (Do not complete for standard Canadian branch jobs.) Outline below a maximum of 6 functional competencies which are required to perform the key job accountabilities, e.g., working knowledge of retail lending/deposit products, etc
  • Thorough knowledge of the Bank’s production and legacy systems