Senior Analyst, AML Resume Samples

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S Lind

Shane

Lind

63488 Lesch Turnpike

Houston

+1 (555) 523 4148

63488 Lesch Turnpike

Houston

Phone

p +1 (555) 523 4148

Experience Experience

Chicago, IL

Risk AML Senior Analyst

Chicago, IL

Kub, Kub and Hodkiewicz

Chicago, IL

Risk AML Senior Analyst

Management of multiple work streams or project teams to execute against an existing project or work plan
Integration and synthesis of information from multiple sources, including business domain knowledge, in order to analyze complex data and results, anticipate issues and solve problems; and,
Promotion, management and delivery of the continuous improvement of activities and service e-delivery
Corporate compliance program development, analyses
Promotion and driving toward standardization of service and/or solutions delivery and activities to provide efficient client service
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Program construction, monitoring and auditing, emphasizing the management of internal risk assessments and/or investigations

Houston, TX

AML Prevention Senior Analyst

Houston, TX

Heathcote-Bruen

Houston, TX

AML Prevention Senior Analyst

Analyze the different corporate policies regarding KYC versus current processes, identifying gaps, necessary adjustments, opportunities for improvement or optimization of processes
Analyze the impact of the implementation of new processes, tools or guidelines on the current processes within the Prevention Unit
Responsible for supporting the business in the implementation, control, validation and / or improvements of technological tools that are used or intended to be implemented related to the KYC and related processes
Attend and coordinate with the business, adjustments, changes or improvements to current tools of risk, in the occasion of new guidelines, detected problems or opportunities for improvement
To document in the SARLAFT manual and / or Internal Manuals any change, adjustment or modification to current KYC processes, with the occasion of new guidelines, opportunities for improvement, implementation of new tools or optimization of processes
Solid knowledge of the Anti-Money Laundering and KYC procedures and best practices
Knowledge of MS Office Suite application and search engines such as (Data analysis software; Horwath Software Magique; StataCorp Stata), compliance software (80-20 Software Leaders4; Actimize Brokerage Compliance Solutions; Oracle Enterprise Governance, Risk, and Compliance Manager; Thomson Reuters Paisley Enterprise GRC), and/or any of the following: Email software; IBM Notes Hot technology ; Microsoft Outlook, Apple Safari; Microsoft Internet Explorer; Mozilla Firefox; Web browser software, Microsoft Project Hot technology ; Microsoft SharePoint

present

New York, NY

Senior Analyst, AML Optimization

New York, NY

Stanton, Bradtke and Gerhold

present

New York, NY

Senior Analyst, AML Optimization

present

Creating detailed plans regarding the scheduling of tuning and testing related to the production and pre-production monitoring rules within various AML monitoring and OFAC/sanctions screening technology and analytics solutions systems
Utilizing visualization techniques to display data and the results of analysis in clear straightforward presentations that can be understood by non-technical readers
Develop models and execute ongoing monitoring for client transactions
Determine gaps in our optimization process and make recommendations for continued regulatory compliance
Defining the methodology/approach in a clear and concise manner to support the model optimization efforts
Playing a key role in communicating issues identified during the tuning/testing process to management and IT programming/technical staff
Developing documentation related to production and pre-production tuning efforts and parameter changes for AML transaction monitoring and OFAC/sanctions screening systems to ensure a comprehensive audit trail is maintained

Education Education

Bachelor’s Degree in Mathematics

Kean University

Bachelor’s Degree in Mathematics

Skills Skills

Solid knowledge of the Anti-Money Laundering and KYC policies and procedures
Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner
Strong analytical skills to make rational and logical deductions, at times with limited information
Working knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and supporting regulations
Excellent written and verbal communication skills
Proficiency with Bank product systems/platforms and common computer applications including Word, Excel, Lotus Notes and internet search engines
Advanced research skills to develop business intelligence on specific industries and business models
ACAMS/CAMS Designation Experience and a sound understanding of corporate, commercial and small business banking products, processes, policies and practices
Experience with SWIFT cross-border payments and messages would be beneficial
Sound understanding of the Correspondent Banking

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GRA FCC AML Senior Analyst Resume Examples & Samples

The position provides analytics capability to support the activities prioritized by the Senior Analyst and Team Management
The position is responsible for delivering analysis to support compliance coverage of TM systems
Minimum of 3 years proven and progressive experience in financial services data analysis and/or application development; AML Compliance specific experience preferred
Strong analytical skills required to organize and analyze multiple, complex data sets to deliver meaningful business outcomes, as well as strong interpersonal, organizational, communication and creative thinking skills
SAS experience is a Plus
Strong ability to quickly grasp and understand business unit specific AML risks, develop comprehensive user requirements, and provide recommendations for appropriate automated solutions to mitigate those risks

Senior AML Risk Analyst Resume Examples & Samples

1) Assist in ensuring the Bank is compliant with AML regulatory obligations to detect and report suspicious activity by
Focussing on the investigation of High Risk clients, complex corporate, commercial and small business cases, the incumbent will apply expert knowledge of the Bank’s products and services along with expert knowledge of standard business practices to investigate and assess potential AML and operational risk exposures
Investigating and dispositioning cases generated by the Automated Customer Risk Monitoring System, the Automated Monitoring System, and UTRs filed by the business units
Applying advanced research skills to develop business intelligence on specific industries and business models to support expert and in-depth anti-money laundering investigations of commercial and small business relationships
Coordinating and leading stakeholder discussions on individual cases; leverage superior communication and problem resolution skills to guide case discussions with client relationship managers and other risk stakeholders
Preparing and submitting Suspicious Transaction Reports (STRs) to Fintrac. Ensure STRs are complete and accurate. All STRs are to be submitted within the deadlines defined in the AML regulations
Preparing and maintaining case records and related documentation in accordance with regulatory requirements and departmental standards
2) Assist in mitigating AML-related financial and reputation risk to the Bank by
Preparing well-written risk assessment reports and case memoranda. The reports are to be professionally written for an executive audience
Providing case specific AML guidance to business units including specific direction on appropriate escalation procedures and enhanced due diligence to mitigate potential money laundering and terrorist financing risk
3) Provide superior service and support to the business units, as an AML subject matter expert by
Developing and maintaining a sound knowledge and understanding of the Bank’s AML policies and procedures
Keeping abreast of industry trends and typologies by participating in AMLU training sessions and accessing industry resources
Responding promptly to requests and concerns from clients, S&I and other risk functions across the Scotiabank Group
4) Contribute to the FIU’s productivity and service by
Contributing to the development of typologies based on significant cases
Actively identifying opportunities for process and system improvements, and participating as appropriate in the implementation process
5) Other duties as assigned
Experience and a sound understanding of corporate, commercial and small business banking activity and practices
Good knowledge of the Scotiabank Group products, operating procedures and delivery systems
Strong analytical skills to make rational and logical deductions, at times with limited information. Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner
Proficiency with Bank product systems/platforms and common computer applications including Word, Excel, Lotus Notes and internet search engines
Solid knowledge of the Scotiabank Group’s Anti-Money Laundering and KYC policies and procedures
An understanding of, or experience with SWIFT cross-border payments and messages would be beneficial

Risk AML Senior Analyst Resume Examples & Samples

Implementation of AML/BSA and OFAC Laws and Regulations in a business environment
Familiarity with the requirements of the FFIEC BSA/AML Examination Manual
Banking-related products and services, operations, processes. commercial, retail, private banking, broker dealers and transactional flows
Management of multiple work streams or project teams to execute against an existing project or work plan

AML & EDD Senior Analyst Resume Examples & Samples

Partner with AML Investigators in order to understand their workflow and to utilize their feedback, where appropriate, to strengthen the quality of AML and EDD Analytics work product
Partner with Business Line (BL) contacts to fully-understand US Bank product offerings, embedded BL compliance functions, and where the AML and EDD Analytics team can provide value in terms of risk coverage and mitigation
Lead the development and implementation of new reporting functionality and transaction monitoring channels for AML and EDD support purposes
Create professional program/reporting documentation in support of AML Transaction Monitoring and Enhanced Due Diligence
Work with technology and senior AML management to drive the architectural vision for the Enterprise Financial Crimes Compliance dedicated data environment (Customer View Analytics)
Timely response to ad hoc data requests
Ability to provide constructive feedback and daily guidance to junior analysts
Expert computer skills including Microsoft Office suite, Visio, Teradata/Oracle SQL and SAS
Experience supporting AML/BSA initiatives in a large, complex, highly-regulated financial institution
Knowledge of or exposure to federal, state and local AML/BSA laws and regulations
4 or more years of relevant experience in AML/BSA regulatory compliance/analytics environment or similar type of analytical function at a large financial services institution (could also include equivalent post-graduate work in a related area)
Strong communication and partnering skills for working with both Technology Operations Services and Business Line partners (facilitating meetings and key conversations, documenting meetings and action items for publication and tracking, driving actions and initiatives)
Advanced degree in Mathematics, Statistics, Finance, Economics, Engineering, or other quantitatively-rigorous discipline
Strong organization, analytical and project management skills
Strong planning, implementation and negotiation skills

AML Assessment Team-senior Analyst Resume Examples & Samples

Keep abreast of all developments on AML and collaborate with the relevant stakeholders to adopt best industry practices
Perform 2nd level assurance checks on the following areas to ensure that reviews have been appropriately completed and documented
Diploma or degree with minimum 2 years of AML/CFT experience
Good understanding of regulatory requirements relating to money laundering and terrorism financing
Experience in auditing and risk management is an added advantage

Senior AML Risk Analyst Resume Examples & Samples

Monitor and investigate High Risk clients, complex corporate, commercial and small business cases, including inquiries from Correspondent Banks, applying expert knowledge of the Bank’s products and services along with expert knowledge of standard business practices to investigate and assess potential AML and operational risk exposures
Research and analyse exceptional transactions or identified unusual patterns of international payment activity and/or trade finance activity by applying expert knowledge to assess AML and operational risk exposures
Investigate and disposition all cases generated by the Automated Customer Risk Monitoring System, the Automated Monitoring System, and Unusual Transaction Reports (UTRs) filed by the business units
Apply advanced research skills to develop business intelligence on specific industries and business models to support expert and in-depth anti-money laundering investigations of commercial and small business relationships
Coordinate and lead stakeholder discussions on individual cases; leverage superior communication and problem resolution skills to guide case discussions with client relationship managers and other risk stakeholders
Prepare and submit Suspicious Transaction Reports (STRs) to FINTRAC ensuring STRs are complete and accurate; within the deadlines defined in the AML regulations
Prepare and maintain case records and related documentation in accordance with regulatory requirements and departmental standards
Prepare risk assessment report and case memoranda for Senior Executive audience as per set standards
Actively identify opportunities for process and system improvements and participating as appropriate in the implementation process
Experience with Global Banking / Global Transaction Banking products and services including corporate / commercial lending, correspondent banking, import/export/standby letters of credit and transactions underlying international wire payments would be valuable
Experience in dealing with business products and services that are multinational / international in scope would be an asset
Expert ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner. Ability to give full attention to what other people are saying, taking time to understand the points being made, asking questions as appropriate, and not interrupting at inappropriate times
Exceptional ability of monitoring /assessing performance of to make improvements or take corrective action
Exceptional written and verbal communication skills with sound understanding of written sentences and paragraphs in work related documents
Knowledge of Canadian and International AML regulatory statutes and reporting requirements
Solid knowledge of the Anti-Money Laundering and KYC procedures and best practices
Sound understanding of corporate, retail, commercial and small business banking activities and practices
Knowledge of MS Office Suite application and search engines such as (Data analysis software; Horwath Software Magique; StataCorp Stata), compliance software (80-20 Software Leaders4; Actimize Brokerage Compliance Solutions; Oracle Enterprise Governance, Risk, and Compliance Manager; Thomson Reuters Paisley Enterprise GRC), and/or any of the following: Email software; IBM Notes Hot technology ; Microsoft Outlook, Apple Safari; Microsoft Internet Explorer; Mozilla Firefox; Web browser software, Microsoft Project Hot technology ; Microsoft SharePoint

MYS Ctsm Kl-aml Sanctions Screening Operation Senior Analyst Resume Examples & Samples

Diploma/degree
Related banking experience
Computer Literate - proficient in Windows applications (Word, Excel, etc)
Proficient in internet and commercial database searches
Degree in Banking/Finance/Business
Demonstrated ability to perform detailed analysis of raw data based on policy and work instructions
Responsible for our Clients
Responsible for our franchise
Uses sound judgment Innovates and manages change
Manages risk and control
Pursues learning and self-development sanctions screening analyses and investigates name matches
Makes responsible decisions Builds and applies business, regulatory and country knowledge
Stakeholder management
Shares information and escalates when in doubt
Strives for “best in class practices”
Delivers effective solutions advocacy
Advocates anti money laundering and sanctions within the organization and externally

Senior Analyst, AML Analytics Resume Examples & Samples

R & Python knowledge are considered assets
Ability to apply statistical techniques and data mining tools to solve business problem
Minimum 3 years of experience in Analytics field
Experience in query optimization, debugging and automation
Excellent written and oral communication, analytical and interpersonal skills, including ability to communicate with individuals from various backgrounds
Excellent multi-tasking skills; ability to adapt to and manage changing priorities

Senior Analyst, AML, Transfer Agency Resume Examples & Samples

Responsible for performing day to day AML take on processes across the investor database , including enhanced Client Due Diligence
Achievement of monthly KPIs
Maintains a close working relationship with other areas, such as Dealing, Settlements, ICM and other internal areas such as the Relationship Managers and Compliance team
To work with internal departments to evaluate and implement changes in proposed new regulations and to ensure that all current requirements are met including any relevant directives
Escalation point for unresolved issues for the London and Bangalore TA team
Liaise with Compliance team when performing the Monthly AML reviews and assessing complex AML requirements
Strong AML mutual fund administration experience gained in a Third Party Administrator, Transfer Agency or working directly for a fund manager. (Essential)
Working knowledge of the AML requirements for different types of investors, i.e. Trusts, Charities etc (Essential)
A good understanding of effective risk management
Confident investor and client facing skills for handling queries

Senior Analyst, AML Optimization Resume Examples & Samples

Utilizing visualization techniques to display data and the results of analysis in clear straightforward presentations that can be understood by non-technical readers
Develop models and execute ongoing monitoring for client transactions
Determine gaps in our optimization process and make recommendations for continued regulatory compliance
Defining the methodology/approach in a clear and concise manner to support the model optimization efforts
Playing a key role in communicating issues identified during the tuning/testing process to management and IT programming/technical staff
Developing documentation related to production and pre-production tuning efforts and parameter changes for AML transaction monitoring and OFAC/sanctions screening systems to ensure a comprehensive audit trail is maintained
Assisting with the evaluation of monitoring and screening solutions and correcting errors to maintain systems following implementation
Individually leading projects and successfully collaborating on larger projects
Assisting management in conducting data validation and other system testing
Meeting with internal audit, model validators and regulators as needed
Mentor junior analysts as appropriate
Statistical techniques and methodology (sampling approaches), and/or regulatory/risk analyses
Statistical software packages such as SAS, SPSS, etc
AML transaction monitoring systems (preferably Mantas) and/or OFAC/Sanctions screening systems (preferably LexisNexis Bridger)
StrongVerbal and written communication
Understand production output from AML monitoring and OFAC/sanctions screening technology
Leverage knowledge of advanced statistical techniques to create models
Bachelor’s Degree (B.A.) from a four-year college or university in a related field and three (3) to five (5) years of experience preferably in compliance in the securities or banking industry with a focus in governance and anti-money laundering activities
Prefer Masters or PhD degree in Mathematics or Statistics with focus in complex data analysis and statistical tools

Ops Senior Analyst Mkts-aml Refresh Resume Examples & Samples

Processes and analyzes Know Your Customer (KYC) information
Performs enhanced due diligence as required by AML policy
Responsible for managing the coordination of workflow to business partners and ensuring timely resolution
Serves as first point of contact for Sales , Client Fulfillment & Servicing teams
An appetite and aptitude for reading and understanding governmental or legal compliance documentation
Ability to organize work, prioritize tasks and handle multiple assignments simultaneously
Proven ability to work and execute with minimal supervision or remote management

AML Prevention Senior Analyst Resume Examples & Samples

Analyze the different corporate policies regarding KYC versus current processes, identifying gaps, necessary adjustments, opportunities for improvement or optimization of processes
Analyze the impact of the implementation of new processes, tools or guidelines on the current processes within the Prevention Unit
Responsible for supporting the business in the implementation, control, validation and / or improvements of technological tools that are used or intended to be implemented related to the KYC and related processes
Attend and coordinate with the business, adjustments, changes or improvements to current tools of risk, in the occasion of new guidelines, detected problems or opportunities for improvement
To document in the SARLAFT manual and / or Internal Manuals any change, adjustment or modification to current KYC processes, with the occasion of new guidelines, opportunities for improvement, implementation of new tools or optimization of processes
Support the extended due diligence required by FI (Financial Institutions) clients in the maintenance of correspondent accounts in accordance with corporate guidelines, providing the country's AML risk vision
Banking Business Knowledge
Bilingual in English or Superior English Communication Skills
Technological Project Implementation Knowledge
Knowledge on AML related Policies and Standards

AML UAT Senior Analyst Resume Examples & Samples

Recruit and manage a group testers and test coordinators
Execute assigned UAT portfolio and manage particular tests end to end
Lead the design and implementation of test strategy and plans, to ensure sufficient quality and on time delivery
Manage stakeholders expectations regarding particular tests
Apply UAT metrics to manage test execution and communicating to stakeholders
Assign and manage the work of supervised people
Oversight the defects identified during UAT to ensure sufficient quality of the end product
Adhere GSOM UAT procedure, use common tools (HPQC, Mantas, CITI CMT) and best practice
Cooperate with Regional and Global UAT teams for common tests, knowledge exchange and best practice sharing
Preparation of adequate testing documentation for approvals, decisions and future evidence
Building and applying testing excellence and knowledge of anti-money laundering processes
Execute other tasks requested by direct manager
Bachelor’s degree or Master’s degree -preferred majors in mathematics, statistics, informatics or relevant professional experience
Excellent documented ability to communicate in English
At least 3-5 years of professional experience in managing UAT team and testing applications, in communication with Senior Management, developing test plans and implementation
1-2 years of working knowledge of relationship data bases SQL or Oracle required
Very good knowledge of application supporting testing process HPQC
1-2 years of experience in testing software applications
Excellent oral and written communication skills and the ability to succinctly convey information to senior management are expected
Responsible for implementation and adherence to global procedures

AML Prevention Senior Analyst Resume Examples & Samples

Banking Operation Knowledge,
Bilingual in English or superior English communication Skills
Knowledge of regulations regarding AML and Prevention areas

Senior AML & Ofac Analyst Resume Examples & Samples

Three to five (3-5) years performing transaction monitoring and OFAC screening in the United States
Robust understanding of Bank Secrecy Act (BSA), USA PATRIOT Act and OFAC regulations
Experience filing SARs in the BSA e-File system
Experience with OFAC blocked accounts and OFAC blocked reporting
Independent worker who is self-motivated and adept at making risk-based decisions
Prior experience in financial services' compliance department
Professional AML/CTF certification preferred
Position can be located in Denver, CO or Cincinnati, OH

Senior Analyst, AML Controls Resume Examples & Samples

History of retail/consumer financial services/payment services organizations with multiple financial products, or a regulatory agency or law firm involving payment services compliance issues relating to anti-money laundering, Bank Secrecy Act, and related laws and regulations is preferred
Experience in using Microsoft Access or comparable database management and query skills
Team player with strong collaborative qualities and the ability to think outside of the box
Strong interpersonal, analytical, problem-solving, influencing, prioritization, decision making and conflict resolution skills
Ability to interact and communicate effectively, orally & in writing, with all levels of management
Knowledge of MS Project, MS Excel, MS Word, SQL, Visual Basic, and Visio Drawing tool

AML Special Investigations & Controls Senior Analyst Resume Examples & Samples

Reviews and investigates AML/CTF alerts, prepares investigation reports, prepares SARs and strategic escalations
Serve as escalation point within Transaction Risk Monitoring for potential AML/CTF alerts to provide guidance on nature of alerts and actions required, and partners in, or assumes, the investigation based on complexity and risks
Assesses and monitors ongoing detection activity and promotes additional rules, models and system changes to adapt to findings
Review and monitor client accounts for potential matches to designated sanctions targets and prohibited persons lists
Monitor and review OFAC screening results
Conduct due diligence on high risk customers as provided by AML/CTF policy and procedures
BA/BS in financial services, risk management, criminal justice or related fields preferred
Minimum of 7+ years of experience in Anti-Terrorists Financing and Anti-Money Laundering monitoring and detection in a global environment both consumer and business, services and products
Minimum 4 years’ experience with AML, CTF, fraud, intelligence and similar monitoring systems
Proven ability to collaborate with others to influence decisions
Experience operating in a fast pace, rapid change environment

Ops Senior Analyst Mkts-aml KYC Resume Examples & Samples

Ability to perform in a process oriented production environment that changes periodically
Knowledge of a particular Bank of America product/product suite
A keen interest in Risk Assessment and/or Anti-Money Laundering
Experience with MS Office Suite - especially MS Outlook, MS Word, MS Excel and MS Access

Senior AML / ATF Analyst Resume Examples & Samples

Work collaboratively with line management, Enhanced Due Diligence Unit and corporate stakeholder groups to implement appropriate due diligence and customer remediation steps to minimize related reputational risk to the Scotiabank
Applying advanced research skills to investigate the bank’s Vostro accounts transactions as well as High Risk clients, complex corporate, commercial and small business cases, the incumbent will apply expert knowledge of the Bank’s products and services along with expert knowledge of standard business practices to investigate and assess potential AML and operational risk exposures
Investigate and dispose cases generated by the Automated Customer Risk Monitoring System, the Automated Monitoring System, and UTRs filed by the business units
Prepare and submit Suspicious Transaction Reports (STRs) to Fintrac. Ensure STRs are complete and accurate. All STRs are to be submitted within the deadlines defined in the AML regulations
Maintain case records and related documentation in accordance with regulatory requirements and departmental standards
Prepare risk assessment reports and case memoranda
Provide case specific AML guidance to business units including specific direction on appropriate escalation procedures and enhanced due diligence to mitigate potential money laundering and terrorist financing risk
Respond to requests and concerns from clients, S&I and other risk functions across the Scotiabank Group
Register typologies based on significant cases
Identify opportunities for process and system improvements, and participate in the implementation process
Advanced research skills to develop business intelligence on specific industries and business models
ACAMS/CAMS Designation Experience and a sound understanding of corporate, commercial and small business banking products, processes, policies and practices
Solid knowledge of the Anti-Money Laundering and KYC policies and procedures
Working knowledge of the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and supporting regulations
Experience with SWIFT cross-border payments and messages would be beneficial
Sound understanding of the Correspondent Banking

Senior AML / ATF Analyst Resume Examples & Samples

Investigate and disposition cases generated by the Automated Monitoring System, UTRs filed by the business units and Referral cases received from New York Agency, Corporate Security, Fraud Deterrence and other internal units
As assigned, investigate cases involving cross border wire payments, the bank’s Correspondent Vostro account transactions as well as High Risk clients, complex corporate, commercial and small business cases. The incumbent will apply expert knowledge of the Bank’s products and services along with expert knowledge of standard business practices to investigate and assess potential AML and operational risk exposures
Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities described in the following enterprise-wide (EW) policies: EW AML & ATF and Sanctions Handbook, EW AML & ATF Policy, EW AML & ATF Risk Assessment Methodology, EW KYC Policy, EW AML/ATF CRR Methodology, EW Transaction Monitoring and STR Policy and the Code of Conduct
Experience and a sound understanding of retail, corporate, commercial and small business banking products, processes, policies and practices

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