Compliance Business Analyst Resume Sample
Isobel Wisoky
36742 Marcella Groves,
Boston,
MA
+1 (555) 681 0463
Work Experience
Global Compliance, Business Analyst, VP
04/2018
-
PRESENT
Philadelphia, PA
- Data maintenance & administration of the department’s virtual repository
- Experience within the financial services industry
- Create test plans and test cases and coordinate User Acceptance Testing; track users and prepare MIS to prepare to senior management as to status of testing milestones
- Create training materials and host training sessions with users
- Learning about the team’s processes and advising on technical improvements / automation
- Work with Global Trade Leadership to ensure Global Trade’s requirements for import/export processes are accurately captured in the system design
- Provide ongoing support 'post-implementation’ to ensure system enhancements are realized and continue to meet the ever-changing Global Trade needs
- Strong analytical skills to understand business requirements and decompose into more granular level requirements
- Proven ability to lead diverse groups of resources to solution agreement by leveraging influencing skills to drive consensus
Compliance Business Analyst
08/2014
-
11/2017
Los Angeles, CA
- Work in a collaborative team environment to solve business problems
- Provides training and leads the work of others, as required
- Develop and grow strategic partnerships with the card brands, debit networks, and other payment brands (e.g., American Express, Discover, MasterCard, PayPal, UnionPay, Visa, Accel, Interlink, Maestro, NYCE, PULSE, STAR, FLEETCOR, Voyager, and WEX)
- Evaluate documents, conduct interviews, and participate in forums with payment brands and internal stakeholders to elicit, analyze, validate, and manage payment processing requirements
- Decompose requirements into prioritized user stories for the team backlog
- Facilitate testing of user stories with the team and manage certification with payment brands
- Be available to the team (and other internal stakeholders) as a domain expert on the rules and technical requirements defined by the payment brands related to
FNZ Compliance Business Analyst
09/2008
-
04/2014
Philadelphia, PA
- Conduct timely and accurate compliance analysis of portfolio holdings, composition and historical transactions to verify compliance with applicable investment exposure and activity limitations stemming from regulatory requirements, client mandate, applicable policies, etc
- RFP / DDQ
- N1A / client mtg
- Monitoring the Company’s Global new and existing business partners (third party vendors) through the use of third-party data and tools, identify high risk business partners and communicate risk information to internal departments in support of Anixter’s Global Anti-Bribery policy
- Managing the database of supplier information and ensure the database maintains the highest level of integrity while investigating and validating alerts of changes in risk profiles
- Preparing management reports for departments and senior leadership on divisional and portfolio business partner risk
- Participating in the screening and evaluation of prospective new business partners
Education
Grand Valley State University
2003 - 2008
Bachelor's Degree in Supply Chain Management
Professional Skills
- Strong interpersonal skills and a talent for building trusted relationship with all level of staff including senior management to accomplish common goals
- Excellent data analytical skills with ability to identify data gaps
- Good writing skills required in order to create and self-proof user requirements documentation
- Good communication skills with ability to liaise with business and IT stakeholders at all levels of the organisation up to Director level
- Working alongside multiple functional areas at the global level to ensure all compliance programs are working effectively
- Experience in planning and executing Modelling and User Acceptance Testing (UAT)
- Experience in designing, developing and maintaining programs for migration and/or conversion activities
How to write Compliance Business Analyst Resume
Compliance Business Analyst role is responsible for analytical, documentation, tax, finance, training, integration, database, security, trading, payroll.
To write great resume for compliance business analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Business Analyst Resume
The section contact information is important in your compliance business analyst 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 Compliance Business Analyst Resume
The section work experience is an essential part of your compliance business analyst 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 compliance business analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance business analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Business Analyst resume experience can include:
- Experience in working on customer-facing technologies
- Adept at using Microsoft Office products with some experience using other software packages relevant to BA work
- Direct experience and knowledge of national, state, provincial and local information technology laws and regulations, including GAMP and GDPR
- Excellent knowledge of technology environments, including information security, encryption methods and privacy-based solutions
- Experience in requirements gathering, business and/or data analysis
- Experience of working on large, cross-functional and complex projects
Education on a Compliance Business Analyst Resume
Make sure to make education a priority on your compliance business analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance business analyst 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 Compliance Business Analyst Resume
When listing skills on your compliance business analyst 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 compliance business analyst skills:
- Good communication skills required in order to interview Compliance users, front office personnel, IT personnel
- Strong leadership skills as a lead or individual contributor role
- Good working experience in writing SQL queries
- Exceptional analytical skills, ability to troubleshoot issues quickly and provide timely responses and accuracy
- Developed oral and written communication skills
- Apply analytical skills to solutions delivery/build, business and technical documentation
List of Typical Experience For a Compliance Business Analyst Resume
1
Experience For Trade & Compliance Business Analyst Resume
- Analytical ability, technical and quality orientation required in approach to reported issues, defect triage and problem resolution
- Work independently without supervision in a fast-paced environment
- Creates and/or implements, as directed, required communication plans and proper course of action for impacted product areas
- Coordinates and/or implements activities with dedicated product compliance directors, Agency Relations and other internal business stakeholders
- Provides direction to develop and/or participate in necessary Product Business Cases and/or product integration for any required systemic changes or work flow changes impacting Employment Tax
- Participates and provides input in Sprint Reviews/Demos and Grooming Sessions
2
Experience For FNZ Compliance Business Analyst Resume
- Coordinates with impacted areas along with internal departments to take necessary steps to ensure seamless implementation
- Provides compliance and technical expertise for product changes, acquisition and/or high visibility departmental projects
- Defines requirements, scope, and client impact for any system requirement changes
List of Typical Skills For a Compliance Business Analyst Resume
1
Skills For Trade & Compliance Business Analyst Resume
- Experience of the underpinning frameworks and tools for business analysis documentation e.g. UML / BPMN
- Experience with Financial services Industry, Mutual fund, Stock broking (preferably in portfolio/investment compliance)
- Very good knowledge of SQL, Microsoft Office tools, data query tools like TOAD and reporting tools such as Business Objects/Tableau/Microstrategy
- Hands on relevant experience in the field of business analysis or a similar role
- Experience of communicating with a wide array of people
- Previous Sanctions, AML or Risk experience gained in a Financial Services environment
- Strong product or project management background
- Capture requirements in JIRA and conduct sprint prioritization and with business and technology stakeholders
2
Skills For FNZ Compliance Business Analyst Resume
- Deliver reports on the levels of IT compliance risk and control effectiveness to the Director of IT Risk and Compliance
- Knowledge of working with UI based applications(Angular/HTML) and UI prototyping tools a big advantage
- Develop and maintain policies and procedures for Service Centers and couriers regarding full compliance with local laws governing alcohol cartage
- Highly self-motivated with a confident do the right thing attitude
- Process mapping and requirements definition expertise
- Knowledge of Sanctions IT screening solutions/software
- Knowledge of Management Information/reporting IT solutions/software
- Work independently & look for solution before asking
3
Skills For Tax Compliance Business Analyst Resume
- Perform continuous follow-up with origin stations sending shipments in violation of DHLE’s Alcoholic Beverage Policy
- Perform continuous follow-up with US gateways clearing shipments in violation of DHLE’s Alcoholic Beverage Policy
- Basic understanding of import,export and inbond transfer processes and regulations
- Knowledge of and proficient at using Microsoft Excel, Microsoft Word, Microsoft Outlook
- Organized and able to maintain a filing system
- Work with UI/UX professionals to deliver prototypes in AXURE. Get signoff on prototypes before handing over to Developers
- Coordinate with development team for design, development and testing
- Perform data analysis and statistical data quality check and profiling
- Business excellence and process reengineering knowledge (such as the use of tools like ARIS, and methodologies such as BPMN v2.0)
4
Skills For Global Compliance, Business Analyst, VP Resume
- Research tax requirements by US tax authority including federal, state and local tax agencies for each new tax year and record/update metadata
- Team player, co-operative, and able to work in a large team across multiple locations and time zones
- Mature professional who could express thoughts/ suggestions assertively
- Some knowledge and experience of gathering Regulatory and Financial Crime related requirements and defining relevant business designs/processes within financial organisations
- Understanding of project methodologies and their application within the organisation's project methodology
- Exposure to working in small to medium scale change initiatives
5
Skills For Compliance Business Analyst Cts Resume
- Awareness of domain activities
- Analyze a business process within a functional area and derive business requirements to satisfy a general request
- Cultivate a positive attitude within the team
- Decide and act on a direction, then report immediately
- Champion non-technical project and product improvement effort
- Work under general supervision; refers to policies and practices for guidance
- Review, approve and maintain the DHLE Alcohol Shipment Log
- Manage service center audits for alcohol shipment compliance
- Work with the Legal department and state Governments to determine requirements for in-bound and out-bound carriage of alcohol shipments within the states that DHLE is not yet authorized to transport alcohol
6
Skills For Compliance Tech-emp Compliance Business Analyst Resume
- Develop and conduct training regarding DHLE and US government import and export policies and procedures and act as a resource for questions by Operations
- Assist with review and update of import and export compliance policies
- Working with FX and swap products either as trader or trader support; deep knowledge of trade lifecycle of these products, including market data used and technologies employed
- Basic understanding of laws and regulations is required including knowledge of CFR, BATF, and DOT
- Proficiently communicate with US Government officials and external auditors
- Knowledge of Employment Tax processes and procedures
- Make independent decisions and make sound judgment calls
- Certifications in Derivatives & Mutual funds (desirable)
- Knowledge of derivatives and trade flows – Mandatory
7
Skills For Global Compliance Employee Compliance Business Analyst Associate Resume
- Knowledge of regulations – UCITS,SICAV product, 1940 act – preferable
- Analyze and understand requirements from key stake holders and translate it for development team
- Conduct workshops with various business stakeholders to resolve any conflicts and reach consensus
- Communicate with key stake holders with regards to timelines, impact for any committed delivery
- Investigate and analyse user queries in EMA and APAC hours
- Work with various counterparts to identify potential impact to the application due to any regulatory changes and come up with an impact assessment plan
- Business analysis experience in the financial industry, ideally relating to the area of Financial Crime, Risk, Compliance, Wealth Management, retail or corporate business
- The ability to work with data from various sources and make sound conclusions
- Focus on run-the-bank activities within the team for Compliance Data Warehouse, Business Objects and KYC applications
8
Skills For Compliance Business Analyst Resume
- Work closely with stakeholders and project team members assisting with maintaining change requests, analyzing issue tickets, providing reporting support and ensuring effective communication to global stakeholders regarding outages, maintenance activities and performance issues
- Support the definition and ensuring continuity/traceability of the functional, non-functional requirements and processes as part of the overall definition of solutions to support business needs
- Engaging with business SME's to gather requirements through workshops and user interviews
- Documenting business requirements and business processes
- Ensuring all analysis is documented and appropriate paperwork and information is obtained and archived
- Work on small streams of analysis and produce components of project artefacts e.g. PID/Charter or BRD
- Support the definition of functional and non-functional requirements
9
Skills For Trade & Compliance Business Analyst Resume
- Back-up support for the Supplier Risk Management process
- Manage BAU requests and perform Compliance and assurance reviews and report according on these. Supporting the Business Information Security Offices in timely information to meet the business asks with timely guidance
- Create, disseminate and (as required) update documentation of RB’s ’s matrix of identified IT risks and controls
- Work directly with the business units and other internal departments and organizations to facilitate IT Compliance analysis, identify acceptable levels of compliance
- Design and conduct compliance /risk assessments
10
Skills For FNZ Compliance Business Analyst Resume
- Knowledge of common risk management methodologies
- Maintain Payroll Engine requirements, including jurisdictional metadata for federal, state and local tax authorities including but not limited to tax rates, wage thresholds and limits, tax crediting and reciprocal taxation
- Review and analyze issues reported by the developers, QA Analysts or end users to identify defects, participate in triage and assisting to deliver a quality resolution for the Payroll Engine
- Serve as liaison between tax agencies, tax collectors, other authorities and internal departments, acting as a primary contact for the Payroll Engine on all matters relating to US payroll and taxation
- Excellent communication and negotiation skills, both oral and written, are required at all levels of the tax agencies and other internal departments and personnel
- Complete detailed requirement documents for Development coding and QA use cases
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