AML Compliance Officer Resume Sample
Antonia Lind
732 Sipes Groves,
Philadelphia,
PA
+1 (555) 168 7560
Work Experience
Senior Manager, AML Compliance Officer
02/2016
-
PRESENT
Houston, TX
- Identify and undertake projects as needed to improve process and application of AML Compliance’s policies and procedures
- AML advisory experience including experience with investigations
- Identify, coordinate, undertake or lead projects as needed to improve process and application of AML Compliance’s policies and procedures
- The AML Compliance Officer interacts with CIBC’s Private Wealth Management business units and members of the Compliance group with respect to AML related activities
- The AML Compliance Officer also interacts regularly with governance and compliance groups such as Internal Audit, Business Controls, and others as required
- Strong understanding/knowledge of broker dealer AML regulatory requirements, and industry practice
- Solid working knowledge of custody business, securities and banking compliance
AML Compliance Officer
10/2011
-
10/2015
San Francisco, CA
- Experience leading compliance testing efforts
- Excellent written and verbal communication skills while also synthesizing complex situations for business partners
- Experience interfacing with Executive Management
- Outstanding written and verbal communications skills are essential
- Manages multiple projects and deliverables simultaneously
- Adapts to changing business priorities and environments
- Respect for diversity and ideas of others; willingness to collaborate in a fast-paced team environment
- Active listener with a demonstrated history of innovation, problem solving and a commitment to excellent client service
CPB AML Compliance Officer
03/2008
-
04/2011
New York, NY
- Address complex and challenging issues and communicate effectively with business partners at all levels to optimize risk management, productivity, and compliance
- Continuously strives to provide superior work product and customer service
- Expresses oneself in an open and honest manner
- Demonstrates self-awareness and embraces feedback
- Help as required with the gathering and provision of information to regulators concerning Anti-Money Laundering activities and provision of information on the Bank’s Anti-Money Laundering procedures
- Help with the review of applicable CPB audit findings, evaluation of the business’s corrective action plans to deal with those issues and monitor progress made in dealing with the issues
- Ensures Citi’s adherence to applicable AML laws and regulations in ASPAC with the development and implementation of a business-specific Regional AML Program
- Ensures Citi’s adherence to applicable AML laws and regulations in China with the development and implementation of a business-specific Global/Regional/Country AML Program
- Makes recommendations for onboarding of all new and retention of existing high-risk rated customers, as well as all Remote Deposit Capture (RDC) customers
Education
Wheeling Jesuit University
2003 - 2007
Bachelor's Degree in Business
Professional Skills
- Strong research skills, including ability to use public sources to complete investigations and reviews
- Strong writing, communication, organizational, and interpersonal skills
- Strong writing skills with the ability to draft quality reports, policies, manuals, procedures, and business correspondence
- Strong communication, presentation, and report writing skills are required
- Strong leadership, management and interpersonal skills for interfacing with all levels of internal and external management
- Very strong research, communication, presentation, and analytical skills
- Excellent attention to detail and appropriate organizational skills
How to write AML Compliance Officer Resume
AML Compliance Officer role is responsible for analytical, interpersonal, research, software, trading, mainframe, finance, securities, training, integration.
To write great resume for aml compliance officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For AML Compliance Officer Resume
The section contact information is important in your aml compliance officer 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 Compliance Officer Resume
The section work experience is an essential part of your aml compliance officer 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 compliance officer 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 compliance officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative AML Compliance Officer resume experience can include:
- Reviews quality and completeness of customer due diligence (CDD) and enhanced due diligence (EDD) information in accordance with the requirements of the AML Policy and Line of Business Procedures
- Strong organizational skills, including the ability to handle competing priorities and large volumes of work
- Possess strong project management, organizational, analytical and leadership skills
- Effectively identify emerging risks that require further consideration or escalation
- Work effectively in an extremely fast paced environment, to think creatively, and apply knowledge to problem-solving an issues resolution
- Prior experience working in an AML/ATF regulatory, risk, legal, or compliance role an asset
Education on an AML Compliance Officer Resume
Make sure to make education a priority on your aml compliance officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your aml compliance officer 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 Compliance Officer Resume
When listing skills on your aml compliance officer 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 compliance officer skills:
- Good interpersonal skills, collaborative skills with the ability to work independently; proven team player
- Outstanding analytical skills and problem solving skills with the ability to understand business functions and processes swiftly
- Thorough business unit and organization knowledge with experience in working effectively in a cross-functional environment
- Work effectively in an extremely fast-paced and evolving environment with multiple priorities
- Organized, with proven ability to effectively handle multiple tasks simultaneously
- Working experience in financial institutions (Securities broker-dealer working experience is preferable)
List of Typical Experience For an AML Compliance Officer Resume
1
Experience For CPB AML Compliance Officer Resume
- Provide AML guidance to applicable business units with respect to AML policy and Canadian AML regulations as it relate to the policies, practices, and initiatives the business engages in; Understand the businesses’ product(s)/functional areas in order to assess the impact of applicable AML requirements
- KYC and enhanced due diligence – 50% - Day to day technical KYC and account opening queries, handling sensitive and high risk client onboarding requests and enhanced due diligence on clients
- Well-developed interpersonal and language skills with the ability to formulate and articulate clear guidance to internal clients with respect to financial crime issues
- Good PC skills including use of software such as MS Office
- Possess strong analytical and communication skills and be able to multi-task, adhering to specific quality and productivity guidelines
2
Experience For ICG AML Compliance Officer for Markets & Securities Services MSS Resume
- Good working knowledge and experience of KYC and due diligence processes
- Self-starter with the organizational skills and ability to work independently, applying sound judgment and rationale for decision made
- AML/BSA Compliance experience is required in one Customer Identification Programs (CIP)/customer onboarding AND one or more of the following areas
- Have an experience in reviewing and performing due diligence on Politically Exposed Persons
- Good understanding of various Private Bank structures including the use of PIC’s, and Offshore Trusts
- Proven ability to lead and multitask including oversight of several special projects and change initiatives related to AML process enhancements
- Participating in the development of AML training module covering the local regulatory requirements to supplement the online Global AML training module
- Supporting GCB business teams in setting up processes in line with the Country AML program
- Keeping abreast of all Cayman AML regulatory updates
3
Experience For MYS Ctsm Kl-aml Compliance Officer Resume
- Serving as the BSA/AML regulatory liaison for the Bank’s Houston-based businesses
- Leading the regional team and supporting the embedded in-country teams who support the FCB AML Program including staff development and training
- Ensuring details of clients being set up on internal transactional systems are correct and reconcile with other verified information
- Partner for development of the AML training module covering the local regulatory requirements to supplement the online Global AML training module
- Perform periodic (monthly and quarterly) client risk rating reviews to determine overall accuracy of rating and completeness of supporting documentation
- Track daily alert counts within monitoring system for trend analysis and reporting
4
Experience For IPB & UK Consumer AML Compliance Officer Resume
- Assist in reviewing and clearing daily alerts generated in automated surveillance system
- Advisory to GCB Business for conducting AML New Product risk assessments for the launch of new products / product variants / changes to existing product
- Conduct and Coordinate on AML training matters, including on new regulatory changes
- An understanding of Canadian Banking and Direct Channels businesses and processes would be an asset
- Services, from Transaction Trend Monitoring, the KYC/Account Document Units, Check Processing and other Citi entities
- Conduct daily AML transaction monitoring, sanctions/PEP screening, and investigate any unusual activity
- OCC's Money Laundering: A Banker's Guide to Avoiding Problems
5
Experience For Senior Manager, AML Compliance Officer Resume
- Assist in the execution of AML Monitoring program and ensures adherence to monitoring requirements
- Respond to AML Americas Hub’s inquiries resulting from automated monitoring systems
- Undertake capacity planning and recommend budget and resource allocations with the Country FIU Head
- Track outstanding alert count and work to resolve
- Assist with questions regarding alerts from other AML staff
- Refine and test parameters within the monitoring system on a periodic/as needed basis
- Participate in AML related meetings and working groups financial market associations and advocate CFIL’s interests through them before the regulator
- Assessment of key regulatory requirements and co-ordinating for necessary updation / inclusion in RCM
6
Experience For Singapore AML Compliance Officer Resume
- Provide management reporting to Sr. Compliance Managers on various stages of the business plan
- Lead, perform and maintain AML Training
- Assist Head of Department in projects relating to AML / KYC
- Provide periodic and event-based reporting to the Chief AML Officer
- Assist in providing oversight of each functional unit's adherence to relevant internal Policies and Procedures
- Carry out checks of operational systems data to ensure that all necessary client information in captured correctly in accordance to our reporting obligations
- Share knowledge with peer AMLCOs / CCCOs in the Europe cluster, including direct interaction on common topics
7
Experience For Global Transaction Banking AML Compliance Officer Resume
- Works with each AML LCO region to identify problem areas and risks, crafting solutions to these issues
- Advances the practice’s knowledge management efforts, ensuring that the AML LCO documentation and historical data meet audit and regulatory standards
- Supports agents' efforts to comply with company policies and procedures as they relate to anti-money laundering
- Follow up with agents concerning review findings
- Deal with all cases of possible Money Laundering reported from the business, from Corporate Security Investigative
- Develop and deliver, as appropriate, compliance training to bank staff with regards to the laws and regulations applicable to the Bank’s U.S. businesses
- Develop and deliver AML training to CIBC Wealth Management, U.S. personnel
- Understand Private Banking and typical products
- Multitask and execute tasks with a sense of urgency and with the ultimate goal of delivering tasks on time
8
Experience For Regional AML Compliance Officer Resume
- Any applicable local money laundering laws
- Citi Audit and Risk Review's Anti-Money Laundering Compliance Guide
- Team-playing attitude with ability to be resourceful and work independently
- Deliver to tight deadlines, the ability to analyse problems and make appropriate recommendations
- Supports and assists GCB AMLCO and Country AMLCO in the implementation of the Citi AML & Sanctions Policy, and the various Global AML Directives in the relevant Citi GCB business in China
- Monitor workflow volume trends and team productivity
- Ensure reports are produced for senior management on trends and issues
- Identify areas where process improvements can be made. Where appropriate, develop and implement the agreed upon process improvements
9
Experience For Senior AML Compliance Officer Resume
- Evaluate the quality of workflow referrals (AML Investigations, Sanctions, etc,) and where necessary, work with the referring area to improve the quality/timeliness of the referrals
- Coach employees to consistently perform high-quality work
- Build and apply knowledge of anti-money laundering processes; Apply and adapt knowledge (e.g. obtained from trainings) of any imposed sanctions, laws and regulations to the task at hand
- Oversight for the FCB AML Program as it relates to FCB in APAC. Includes enhanced due diligence, KYC advisory and AML Transaction Monitoring etc
- EDD: Coordinate the AML calls for FCB customers (and onsite due diligence as necessary)
- Lead discussions within Regional AML Compliance and business senior’s on the issues noted and finalize solutions to address the issues and where common issues are noted, share and discuss with colleagues from the other sectors to ensure that the issues are consistently addressed
- Represent Regional AML Compliance on various Governance and Oversight Committee’s (e.g. Correspondent Banking Oversight Committee (CBOC), CBOC Sub-Committee for Escalations etc.)
10
Experience For UK AML Compliance Officer Resume
- Support the ICG Regional AML Compliance Head in setting, developing and implementing the strategic direction in AML Compliance
- Continually monitor and seek to improve Citi’s AML Program as it relates to FCB’s
- Where issues are identified with Citi’s AML Program, lead the regional AML Compliance effort to improve and/or remediate the MAL Program
- Manage all aspects of the firm’s AML KYC compliance including adherence to all applicable AML regulations, policy changes, education, AML systems and reporting programs
- Advanced level of interpersonal communication skills, both written and verbal
List of Typical Skills For an AML Compliance Officer Resume
1
Skills For CPB AML Compliance Officer Resume
- Experience in financial services with a proven ability to effectively assess AML risk in various businesses/products.
- Strong control and risk analytical skills
- Strong interpersonal and communication skills with the ability to interact with all levels of staff and clients
- Strong organizational and analytical skills with the ability to think strategically
- Solid AML track record including AML Advisory and experience with conducting, leading investigations and dealing with law enforcement
- Solid experience in a medium to large sized Bank in either Account Opening or AML Advisory
- Good working knowledge of TD's products, including business banking products. Ability to use TD core systems (CIF, C3) an asset
- Strong understanding of broker-dealer operations and cashiering functions (e.g., wires, checks, transfers, etc.)
- Skill in using computer applications including MS Office
2
Skills For ICG AML Compliance Officer for Markets & Securities Services MSS Resume
- Effective analytical problem solving and ability to manage multiple accountabilities
- Previous Risk Management/Compliance experience with working exposure to AML responsibilities
- Current experience of working within London Citi Compliance function on a permanent basis is essential
- Work closely with other internal groups to ensure a first-class client experience, in particular contracts, technology, legal, on-boarding and negotiations
- Close liaison with other internal groups to ensure a first-class client experience, in particular contracts, technology, on-boarding and negotiations
3
Skills For MYS Ctsm Kl-aml Compliance Officer Resume
- Analyze, organize and prioritize work while meeting multiple deadlines
- Previous risk management, investigative and/or compliance experience, and exposure to High Net Worth Private Bank
- Provide timely and effective BSA/AML advice
- Digital Channels experience would be considered an asset
- Assist in developing, maintaining, and implementing effective AML compliance policies and procedures
- Experience of English communication with offshore teams (writing and speaking)
- Knowledge of correspondent, money service businesses and corporate banking would be a strong advantage
4
Skills For IPB & UK Consumer AML Compliance Officer Resume
- Skilled in root cause analysis and working with various teams to develop risk mitigation strategies
- Work well under pressure and to prioritize tasks
- Strong command of English - verbal and written
- Experience in an AML advisory position
- Compliance experiences
- Relevant broker dealer AML and sanctions compliance experience
5
Skills For Senior Manager, AML Compliance Officer Resume
- Provide Compliance support to the broad range of business operated by Bloomberg LP
- Exercise second line of defense responsibilities through effective AML risk management
- Act as trusted and effective AML information source
- Strong understanding/knowledge of AML statutes and regulatory requirements, and industry practice within the Cayman Islands
- Experience with conducting AML and Sanctions Risk Assessments within the Cayman Islands
- Or more of AML Experience
- Solid knowledge of custody business, securities and investment funds compliance
6
Skills For Singapore AML Compliance Officer Resume
- Understanding of UK legal and regulatory AML framework
- Working knowledge of securities markets, securities law and regulations
- Imparting AML training sessions as per training units plan
- Globally, including the Citi Tampa Anti-Money Laundering Unit and Anti-Money Laundering Compliance Officers in other countries
- Support the provision of advice to the Operating Group, including advice respecting changes to the AML Program and AML regulations that affect
- Advise Management on current issues regarding to corresponding banking
- Assist the Transaction Surveillance Group with analysis to optimize processes for improving correspondent banking monitoring
- Evaluates internal controls and anti-money laundering compliance programs for agents through transaction analyses, compliance reviews and training sessions
- Participates in various internal projects and developments aiming at enhancing AML controls and agent network oversight
7
Skills For Global Transaction Banking AML Compliance Officer Resume
- Provide strategic advice and counsel to support the development and monitoring of AML risk assessment programs. Provide specialized training as required
- Demonstrable understanding of Swiss and US regulations, particularly relating to AML
- Handle customer escalations using investigation and critical thinking to understand, communicate and present risks and recommendations
- Investigate CDD and / or customer transactions and compiling and advising investigation data
- Conduct required monitoring and screening checks, as well as regular client reviews
- Provide AML compliance advisory support to the PB business and supporting functions including guidance on AML policies and procedures
8
Skills For Regional AML Compliance Officer Resume
- Provides AML related training as necessary
- Responsible for follow up with agents concerning review findings and communication of assessments to country management for Western Union or its affiliate
- Report cases of suspected Money Laundering, via the MLRO office, to the relevant authorities as required by local laws/
- AML policies and the regulatory environment and help with the training of such when required
- General investigative and business sense to know what are typical transactions and when something does not seem right
- Identify opportunities to enhance transaction monitoring and high risk customer assessment processes to ensure they adequately mitigate the ML/TF posed
- Initial escalator of issues relating to suspicious BSA related issues to Management
- Prepare and participate in various training sessions provided to front office and operation persons
9
Skills For Senior AML Compliance Officer Resume
- Facilitate the annual Risk Assessment process and work with the business to develop and execute corresponding action plans
- Provide guidance and advice regarding AML requirements and respond to client questions and comments
- Conduct AML/CDD checks as part of BAU, periodic or event driven reviews; this includes identification, verification and screening of new clients daily
- Observe industry trends and identifying potential improvements in tools, processes and play a role to implement system changes
- Provide guidance and advice regarding AML requirements, and respond to client questions and comments
10
Skills For UK AML Compliance Officer Resume
- Conduct AML checks and reviews on a regular basis, including verification of new clients on a daily basis
- Undertake AML screening and conduct relevant reviews and investigations
- Familiarity with current and emerging trends
- Provides support in managing AML risk for HSBC US. Supports businesses and functions to address any actual and potential AML Compliance issues
- Provide support in managing AML risk for HSBC US. Support businesses and functions to address any actual and potential AML Compliance issues
- Type clients would be advantageous
- Region of responsibility: Central Eastern Europe
List of Typical Responsibilities For an AML Compliance Officer Resume
1
Responsibilities For CPB AML Compliance Officer Resume
- Experience leading a team that developed and implemented a successful risk-based, enterprise-wide, AML compliance program and related compliance infrastructure
- Provide updates and reporting on the status of the firm’s AML program to the AML Committee and the firm’s senior management
- Build and manage the day-to-day operations of the company’s AML compliance program, including supervision of KYC/AML analysts and related functions
- Review and update ICG AML program and monitoring processes and solutions
- Focus on meeting OCC and FRB Consent Order and AML MRA commitments related to GCB business
2
Responsibilities For ICG AML Compliance Officer for Markets & Securities Services MSS Resume
- AML Advisory to Businesses on various KYC / CDD compliance aspects by providing quality and timely guidance/ clarifications / approvals
- Drive increased understanding and accountability for AML risks across all three LVs
- AML advisory on AML New Product risk assessments for the launch of new products/ product variants/changes to existing product
- Review and approve on new Client Onboarding, Periodic Review and Trigger Event cases
- Monitor new regulation and regulatory expectations to ensure Baird’s AML program is compliant
- Assess all aspects of the firm’s AML program at a high level, make changes where necessary according to protocol and maintain a strong AML program going forward
- Robust understanding of the requirements of the AML regulations, USA Patriot Act, Bank Secrecy Act and OFAC as they relate to payment transaction monitoring and practical application to Money Services Businesses (MSBs), as well as international sanctions screening
3
Responsibilities For MYS Ctsm Kl-aml Compliance Officer Resume
- Work under own initiative and multitask, manage or support team members on projects and thrive within a fast-paced, global environment
- Maintain the AML compliance program for the business, including assessment of risks, development of policies, procedures, implementation of firm’s AML policy, and appropriate governance/MIS mechanisms
- Work with and guide the team of CIB / CMO AML compliance professionals, and liaise with other regional AMLCO’s
- Refer activity for further investigation, where warranted
- Overall responsibility for ensuring that effective AML procedures are in place to fully meet AML regulatory requirements, Citi’s AML Policies and Standards
- Responsible for efficient communication with India’s Financial Intelligence Unit (FIUN-IND) on AML related matters (including but not limited to advocating before RBI, Govt. of India on behalf of the CFIL, acting as one of contact persons for CFIL in course of RBI’s inspections, preparation of written responses to RBI)
- Reviewing and assessing alerts for money laundering risk through BNPP’s transaction monitoring system (Actimize-AML CIB) and liaising with business areas as necessary to investigate the alerts
- Work experience in a Canadian financial institution; at least 3 year’s experience in compliance, legal or audit role
- Understand the businesses’ product(s)/functional areas in order to assess the impact of applicable AML requirements
4
Responsibilities For IPB & UK Consumer AML Compliance Officer Resume
- Provide AML guidance to applicable business units with respect to corporate policy and Canadian AML regulations as it relate to the policies, practices, and initiatives the business engages in; Understand the businesses’ product(s)/functional areas in order to assess the impact of applicable AML requirements
- GCB AML Compliance officer is responsible for managing the following
- Updating India GCB AML program to align with the Citi’s AML program and Reserve Bank of India (RBI) / Securities Exchange Board of India (SEBI) KYC / AML requirements
- Updating Senior Management committee on changes to the GCB AML Program for requisite approvals
- Dissemination of local regulatory changes/ Citi’s policy requirements to the respective GCB business teams for necessary implementation
5
Responsibilities For Senior Manager, AML Compliance Officer Resume
- AML Advisory to Global Consumer Banking (GCB) Business on various KYC / CDD compliance aspects by providing quality and timely guidance / clarifications / approvals
- Drive increased understanding and accountability for AML risks within GCB business
- Review of process notes / product manuals of GCB businesses in line with the Citi’s AML policy and local regulatory requirements
- Provide oversight to GCB business activities and pose credible challenge
- Periodic AML governance updates to the senior management committee’s / forums related to the significant KYC / AML issues related to GCB business
- Facilitating the updation of the India AML program to align with the Citi’s AML program and Reserve Bank of India (RBI) / Securities Exchange Board of India (SEBI). FIU-IND and other local regulatory agencies on KYC / AML requirements
- Dissemination of local regulatory changes/ Citi’s policy requirements to the respective business teams for necessary implementation
- Provide oversight to and pose credible challenge
- Facilitate periodic AML governance updates to the senior management committee’s/forums related to the significant KYC/ AML issues
6
Responsibilities For Singapore AML Compliance Officer Resume
- Partnering with business for regulatory examinations, internal reviews including managing exam preparation and deliverables, drafting responses to observation/findings and tracking execution of corrective action plans for all audit and review for internal (IA & MCA) and external auditors (RBI)
- Oversees BBHTCC and the Cayman Funds maintain AML Programs consistent with Cayman regulatory standards and BBH & Co.’s Global Program
- Provide oversight over AML functions delegated by the Cayman Funds and BBHTCC
- Perform AML and sanctions risk assessments for each Cayman Fund
- Leads, coordinate and provide support in Cayman Islands AML exams
- Leads, coordinate and provide support in SAR filings with CIMA, as appropriate
7
Responsibilities For Global Transaction Banking AML Compliance Officer Resume
- Collaborate with senior management to develop, recommend, and/or execute business plans for area of responsibility
- Special projects as assigned by the Heads of PB or IM Compliance
- Leads and/or provide support on special projects as required. Examples include: maintaining project records; documenting the status of projects; working with department head to reconcile documentary evidence of projects
- Strong subject matter expertise on Cayman AML laws and regulations (e.g., Proceeds of Crime Act; Anti-Money Laundering Regulations; Guidance Notes on the Prevention and Detection of Money Laundering and Terrorist Financing)
- AML experience within the Cayman Islands or on behalf of Cayman Islands funds/trusts
- Review and Update policies and procedures so as to ensure that local Singapore laws and regulatory requirements are kept up-to-date
- Provide advice to Business Units on AML and KYC related issues
- Perform 2nd line desktop reviews on AML / KYC
- Proactive engagement with stakeholders in Business and Operations on AML matters
8
Responsibilities For Regional AML Compliance Officer Resume
- Lead for the Branch’s EWRA exercise
- As a compliance officer for the unit, the role is accountable for reviewing the work of others in the assigned business unit to ensure adherence with AML compliance governance requirements
- The AML, Compliance Officer has the authority to recommend enhancements to the AML program to ensure compliance and enhance operational efficiency and effectiveness
- Good communicator with effective writing skills
- Maintain strong oversight controls for outsourced relationships that provide services to PAS including AML controls
9
Responsibilities For Senior AML Compliance Officer Resume
- Motivated and willing to learn, with good work ethic
- Conduct Due Diligence (KYC) checks on new clients and existing clients when required following an established
- Provide advice and guidance to the KYC Operations teams with respect to UK requirements
- The role derives from statutory obligations under the UK’s Money Laundering Regulations, the Proceeds of Crime Act 2002 (as amended) and the Terrorism Act 2000 (as amended) and from the requirements of Citi’s global anti money laundering policy framework
- Make or respond to enquiries arising from the Criminal Finance Act 2017
- The role is based within the UK AML Compliance function and reports directly to the UK Nominated Officer
- Contribute to Analysis of SAR information to identify possible trends/issues/indicators for wider dissemination within Citi
- Contributes to reporting of monitoring and testing results, trends, themes, and emerging risks, as delivered by the Canadian Banking & Direct Channels Deputy Head AML
10
Responsibilities For UK AML Compliance Officer Resume
- Work with other members of the Deputy Head AML team to help ensure that required business line AML/ATF and sanctions controls are in place and performing as designed
- Develop strong relationships and work collaboratively with business partners who are responsible for providing the information that feeds into the monitoring and testing program
- Superior analytical skills and the ability to review and summarize large amounts of data and/or information
- Background in first or second Line governance (AML, Compliance, Audit, or Risk) functions would be an asset
- Knowledge of TD systems would be an asset
- Serve as the designated AML Compliance Officer before the regulatory authority and provide lead compliance oversight of other regional country compliance programs
- Oversee and achieve compliance with applicable AML Statutes and Regulations applicable to remittance activity, e.g. Federal Law No. 9 of 2014 (UAE), Circular No. 24/2000 (UAE), Cabinet Resolution No. 38 of 2014 (UAE), Anti-Money Laundering Law no. (80) of year 2002 (Egypt, and Prime Minister Decree No. (951) (Egypt)
- Oversee and periodically update a Board-approved Compliance Program, which shall include internal policies to comply with the anti-money laundering statute and regulations including record retention requirements and the performance of customer due diligence at the beginning and throughout the customer relationship
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