CAO Operations Resume Sample
Sebastian Koss
49261 Delta Drive,
San Francisco,
CA
+1 (555) 434 2964
Work Experience
Associate Client Reference Data CAO Operations
04/2016
-
PRESENT
Detroit, MI
- Provide guidance and direction for questions from on-boarding teams regarding how to execute/complete the KYC standards as required for all client on-boarding’s, renewals and remediations
- Leadership, relationship-building and influencing skills to drive agenda’s across a number of functions
- Future plans - Drive strategic delivery of target state billing system, working closely with the commodities project /tech leads and providing our ‘build’ requirements
- Working knowledge of control infrastructure (e.g. RCSA) and exposure to regulatory concerns in the LOB’s
- Maintain the Global Asset Pricing policy and recommend best practice pricing methodologies & hierarchies, e.g. the recommended ‘Gold’ vendor hierarchy
- Represent Asset Pricing in client due diligence overviews and in completion of RFP’s for potential new clients
- A demonstrated ability to consistently meet service level agreement quotas and deadlines is required
- Update/modify assets based on internal client initiated changes (Middle Office, Trade support, Settlements) or Corporate actions
CAO Operations
10/2010
-
10/2015
Detroit, MI
- Perform research through Bloomberg and Reuters to find missing or additional information required to complete set up or maintenance
- Plan and prioritize all projects handled by the team
- Ensuring Checklist, Metrics and EOD activities are completed and signed off
- Ensuring timely updating/review of SOPs, Issue Logs and Project tracker
- Handling and monitoring issue and query mails and escalating issues promptly to the Team Leader
- Communicate with internal business partners on a frequent basis
- Ensure with the Regional Operations Management the existence of a local governance over the operating processes
- With the SCBM, SFO, the LoB Executive representatives and Compliance, support the business in front of regulators, maintain strong local relationships and understanding of the regulatory environment
- Maintain strong local relationship with Partner Bank/Clearing Authorities/Third Party providers in partnership with Network and Business
CAO Operations, Due Diligence Operations
11/2004
-
05/2010
Chicago, IL
- Ensure appropriate people management in place
- Own and maintain the Operational Executive Management Report
- Research, document and analyze background information on JPMorgan’s prospective and existing clients through public record databases; research includes: negative media, Politically Exposed Person (PEP) & sanctions
- Current JPMorgan Chase Intern
- Research, document and analyze background information on JPMorgan’s prospective and existing clients through public record databases primarily in China, Taiwan, Hong Kong, or Malaysia and Indonesia; research includes: negative media, PEP & sanctions, court records and filings in English and Chinese/Bahasa
- The group performs daily monitoring of the firm’s positions and trades in Equity and Equity linked products, and prepare disclosure filing forms where pre-defined threshold limits are crossed
- This role requires doesn’t require previous regulatory reporting experience
Education
Western International University
1999 - 2004
Bachelor's Degree in Finance
Professional Skills
- Strong Communication skills, including written, verbal, and interpersonal
- Chinese language (Simplified and Traditional) or Bahasa language (Indonesia and Melayu) reading and writing skills are mandatory
- Intermediate level skills working with the MS Office suite of tools with an emphasis on Excel and PowerPoint
- Prior knowledge/experience of Sanctions, PEP’s and Negative Media would be an advantage
- Proven ability identifying key risk factors and issues/defects and recommending solutions
- Experience of AML, Sanctions, PEP’s and Negative Media would be an advantage
- Support internal and external clients in strong partnership with Client Service
How to write CAO Operations Resume
CAO Operations role is responsible for leadership, research, reporting, finance, powerpoint, excel, accounting, analysis, media, compliance.
To write great resume for cao operations job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For CAO Operations Resume
The section contact information is important in your cao operations 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 CAO Operations Resume
The section work experience is an essential part of your cao operations 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 cao operations responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular cao operations position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative CAO Operations resume experience can include:
- Strong knowledge of JPMC KYC standards, guidelines, policies and procedures and due diligence requirements for the Corporate and Investment Bank (CIB) LOB customers
- Manage and monitor the project’s funding and its actual and forecasted financial performance against budget as appropriate
- Work with the business to analyze business requirements and review/produce specifications for any new/change to technology or vendor applications
- Work with Technical Analysts and development teams to ensure that they understand the specifications
- Performing due diligence on Politically Exposed Persons (PEPs) and Special Persons of Interest (SPOIs) in addition to screening clients against sanctions and negative media profiles
- Interpretation of SAR QA standards, guidelines, policies and procedures
Education on a CAO Operations Resume
Make sure to make education a priority on your cao operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your cao operations 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 CAO Operations Resume
When listing skills on your cao operations 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 cao operations skills:
- Working knowledge of OFAC, AML, Terrorist Finance statutes and governing bodies
- Working knowledge of AML and Fraud typologies, and FinCEN, BSA and PATRIOT ACT statutes
- Learn how the securities industry works (instrument) and build a knowledge base with the goal of becoming a securities industry and internal processing SME
- Conduct business process modeling and generate applicable scenarios for the technology functionality testing
- Knowledge of handling various related instrument reference data, Middle office functions - desirable
- Identify roles and functions impacted and help develop a change management/training plan
List of Typical Skills For a CAO Operations Resume
1
Skills For CAO Operations Analyst Resume
- Knowledge of VBA editor to create, edit, and troubleshoot macros
- Participant of the Prep for Prep program
- Experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance, KYC and Screening
- Enthusiasm with ‘can-do’ attitude essential
- Based on interpretation of FinCEN, Filing Unit and SAR QA standards, make risk based determination through quality analysis whether cases were properly closed by filing unit investigators
- Coordinate UAT process
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