AML Advisory Resume Sample
Jacinto Romaguera
975 Crist Passage,
Houston,
TX
+1 (555) 118 9504
Work Experience
AML Advisory Specialist Internal Title
05/2017
-
PRESENT
Chicago, IL
- Greater China Region: China, Hong Kong and Taiwan
- The AML Advisory team supports the business by providing accurate, timely advice to the Business about customers and transactions based on Barclays policy, global regulatory requirements, and the Barclays Target Operating Model
- The team proactively engages with the central Financial Crime teams and challenges established practices by the business, KYC, and Operations to achieve the results that are compliant, efficient, and sustainable
- Providing oversight of compliance with Barclays AML Policy, related Standards and local Financial Crime Laws and Regulations across first and second lines of defence
- Providing advice and guidance across first and second lines of defence to support mitigation of AML risk
- Support the business in audits (internal and external) as a key interface with regulator/auditors. Work with the Consumer AML Compliance Officers to review audit findings, evaluate the business’ corrective action plans to deal with issues highlighted
- The role involves exposure to senior management within the regional compliance team, regional business management and Global AML
- The role involves active coordination with the Consumer AML Compliance Officers in the region
AML Advisory
04/2014
-
12/2016
Detroit, MI
- Provide advisory services to LOB’s and ensure GFCC policies and standards are incorporated into business practices
- Corporate Investment Bank, Hong Kong
- Correspondent Banking for China, Hong Kong and Taiwan
- Review local AML/KYC related procedures and ensure in line with Firm’s AML policy
- Serve as the Deputy MLRO -Perform assessment of suspicious transactions reported and file Suspicious Activity Report (SAR) where required
- Assist in the review of AML/KYC policies and procedures across BTMU’s global footprint. Assess these practices with the goal of determining the extent to which they represent industry best practices and adhere to global regulatory expectations while also identifying any inconsistencies across BTMU’s global footprint
- Experience working in AML-related compliance function of a large commercial bank or in a regulatory agency
- Provide advice, including indication of the potential for high risk or rejection of client relationships for applicable Client Types or Client Situations as per Corporate Standards
- Review and escalate significant AML Compliance issues and activities to senior management
AVP AML Advisory ICG
05/2010
-
03/2014
Dallas, TX
- Understand and monitor the legal and regulatory environment through various methods to provide up-to-date knowledge and expertise on the legal and regulatory environment relevant to AML compliance and covered businesses
- Participate in Business and Compliance committees or working groups as appropriate
- Responsible for day-to-day maintenance of the Company’s customer/watchlist screening program to comply with requirements administered by the Treasury Department’s Office of Foreign Assets Control (“OFAC”) and various other governments’ restricted lists
- Manage and monitor the department’s Uninterested Party Payment (UPP) review policy to identify funds originating from a third party or a foreign institution
- Responsible for documentation that articulates the Company’s current detection scenarios and the underlying assumptions, parameters and thresholds
- Rigorous oversight and challenge of processes within the team, including client onboarding process
- Co-ordinate with the EMEA Compliance Officers on AML-related issues and matters, such as internal reviews, monitoring and testing of AML-related processes and controls and the implementation of AML policies and procedures
- Managing enhanced client reviews including conducting onsite visits and/or alternatively aid team in the necessary coordination and reporting arising from each visit
- Perform event disposition on Correspondent Banking for all APAC locations, review unusual activity highlighted by the Investigations team, raise enquiries to the correspondent banks, form recommendations on further actions. Present findings to senior management and working committees
Education
Frederick Taylor University
2005 - 2010
Bachelor's Degree in Management
Professional Skills
- Strong analytical ability and solution driven approach with exemplary problem solving skills; and
- Experience in and strong understanding of AML, Sanctions, governance and regulatory control frameworks and best practices
- Proven technical expertise in understanding, assessing and mitigating the Financial Crime risks associated with Corporate products sets and customer base
- Experience of working within a highly regulated environment along with a sound understanding of the current environment and key issue within financial services
- Experience providing advice and guidance with regard to Know Your Customer, Due Diligence, and Enhanced Due Diligence processes
- Strong writing and delivery capabilities
- Experience in Compliance or Financial Crime in a large global financial institution or equivalent
How to write AML Advisory Resume
AML Advisory role is responsible for research, retail, reporting, training, general, compliance, analysis, legal, treasury, analytical.
To write great resume for aml advisory job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For AML Advisory Resume
The section contact information is important in your aml advisory resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your AML Advisory Resume
The section work experience is an essential part of your aml advisory resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous aml advisory responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular aml advisory position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative AML Advisory resume experience can include:
- Experience in and strong understanding of AML, governance and regulatory control frameworks and best practices
- Drafting, updating, and reconciling policies, procedures, and standards
- Keeping informed of global legal, regulatory and policy changes affecting Investment Banking and Financial Crime
- Preparing and delivering appropriate Financial Crime training for the business, operations, and Financial Crime
- Implementing new or enhance existing AML processes and controls in line with both Citi policy and UK regulatory requirements
- Assisting the team in managing legal, regulatory, and audit projects
Education on an AML Advisory Resume
Make sure to make education a priority on your aml advisory resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your aml advisory experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in AML Advisory Resume
When listing skills on your aml advisory resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical aml advisory skills:
- Creative and forward thinking, striving to improve and find solutions through effective innovation and project management
- Work experience directly related to complex and sensitive investigations: any combination of AML/BSA, fraud, financial irregularities
- Advising KYC Operations and Front Office teams with respect to KYC and AML policy, and fielding relevant escalations providing guidance, and recommendations
- Assisting in the implementation of global policies and procedure relating to Correspondent Banking in APAC
- Ensuring that the Firm's AM/CFT Program is fully implemented, embedded and kept up to date
- Provide day-to-day guidance to TS business regarding compliance with banking laws/regulations and corporate requirements
List of Typical Skills For an AML Advisory Resume
1
Skills For AML Advisory Specialist Internal Title Resume
- Overseeing the creation / submission and approval of New Product AML Risk Assessments for the Markets and Securities Services business
- Facility with common data tools and the use of data in risk analysis
- Develop, implement, enhance and in some cases draft relevant Regional AML programs, guidelines and procedures for covered businesses
- Advise and support the 1LOD to ensure robust Financial Crime policies, standards, procedures, systems and controls are implemented and maintained that are fit for purpose, and support and communicate Barclays’ values and financial crime strategy
- Proven technical expertise in the field of Financial Crime – including domestic and international laws, regulations, and best practice regarding Financial Crime
- Skilful co-ordination in working across a wide range of stakeholders both within and beyond the function
- Knowledge of the IB product set and understanding of the specific risks posed
2
Skills For VP-im AML Advisory Resume
- Knowledge of Citi’s general banking systems
- Develop and maintain productive relationships with key internal clients in the business
- Experience in Financial Crime Compliance in a large global financial institution or equivalent, with a focus on providing business advisory support
- Contribute as an individual or team player
- Review and approve current and new TS product programs, offerings and potential deals
- Ensure that the TS business and GFCC management are appropriately advised of material Regional Treasury Services AML issues
3
Skills For Senior Analyst, AML Advisory, FIU Resume
- Liaising with Desk Heads, Sales Managers, Legal, Product Compliance, Sanctions Compliance, Markets Risk, Financial Intelligence Unit and Local AML Compliance Officers in EMEA in respect of Markets AML escalations
- In partnership with; AML Technology, AML Monitoring team, AML Operations and FIU – ensure that automated AML monitoring undertaken within the Markets and Securities Services businesses is fit for purpose
- Building and maintaining strong relationships with other functional heads, working closely with Legal, Enterprise Risk Management and Internal Audit to create a supportive and seamless compliance/control environment and culture
- Managing the flow of advisory queries in relation to AML Policy and CDD received from the 1st line of Defence (1LOD)
- Making risk sensitive decisions in relation to dispensation requests
4
Skills For AVP AML Advisory Resume
- Using data to advise compliance management on potential risk
- Recommendations to business and compliance management outlining potential risks
- Compilation of clear and concise written reports
- Provide subject matter expertise, advice and guidance to the business and other key stakeholders, including senior management in relation to the escalation of AML related queries and issues
- Keep informed of global regulatory changes impacting AML processes and procedures
- Prepare and deliver appropriate AML training for the business, operations, and Financial Crime
- Support the management and implementation of regulatory and AML related projects
5
Skills For VP, Regional Treasury Services AML Advisory Resume
- Support required impact analysis of any changes to AML Laws/Regulations, Barclays AML Policy and related standards and provide required guidance to ensure compliance
- Conduct detailed reviews of AML related processes and procedures and provide recommendations for enhancements
- Provide recommendations to business and senior management of controls required to mitigate potential AML risk Support internal /external AML related examinations
- Good regulatory knowledge
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