Compliance Risk Manager Resume Sample
Joyce Labadie
12032 Konopelski Ferry,
Detroit,
MI
+1 (555) 196 3046
Work Experience
Compliance & Risk Manager
11/2015
-
PRESENT
Dallas, TX
- Maintain superior knowledge of past, current and emerging compliance regulations and regulator focus. Analyze, advise and
- Series 7 and Series 63 license
- Series 24, 65, and 66 Licenses
- Reporting. Develops and gathers key indicator reporting for business line, both KPI’s & KRI’s
- Compliance or a related function, such as Legal 5 years
- Provide leadership to support the overall Corporate Compliance Program and Process within the BU’s
- Implements programs and responses to matters and concerns brought to Business Ethics and Compliance’s attention
Compliance Risk Manager
01/2009
-
05/2015
Detroit, MI
- Support dual registered broker/dealer (“B/D”) and investment advisor (“IA”) for compliance with the firm’s policies and procedures and compliance with the Employee Retirement Income Security Act (ERISA) requirements
- Support the firm’s annual investment advisory review process by leading and participating in particular reviews relating to the IA
- Provide guidance, expertise, and challenge on financial crimes matters to supported business units. With a focus on
- Products and services (including new and changing business offerings)
- Client due diligence, reviews, and monitoring
- EDD and higher risk situations
- Engage with other EFCC functional teams to develop EFCC policy, and support an effective implementation and oversight of U.S.Bancorp’s financial crime programme initiatives
Compliance Risk Manager Enterprise Complaint Program
12/2001
-
11/2008
Boston, MA
- Lead the completion of periodic EFCC AML & Sanctions risk assessments for the supported business lines
- Act as the central liaison for the business unit and wider EFCC teams and programme
- Lead and/or contribute towards financial crime training initiatives
- Serve as interdepartmental liaison, interfacing with lines of business and staff functions such as HR and other areas of Risk
- Gather data and reporting; perform initial analysis or potentially evaluate data provided by team analysts
- Design and implement internal governance processes
- Test controls and track issues
Education
University of Phoenix - Las Vegas Campus
1996 - 2001
Bachelor's Degree in Business
Professional Skills
- Work with Compliance Consultants to advice and support applicable lines of business on regulatory compliance issues and resolution; assist with issue resolution as needed
- Oversee the Compliance and Risk Management process including governance to manage and eliminate risks in the key services provisioned for the S&P Global Account
- Excellent Excel skills; experience with modeling and analytics
- Excellent verbal and written communication skills and experience interacting with senior management
- Strong people skills and the ability to work collaboratively in teams on complex programmes
- Proven experience as compliance manager (5+ years’ experience)
- Strong communication, presentation and risk assessment skills
How to write Compliance Risk Manager Resume
Compliance Risk Manager role is responsible for auditing, risk, compliance, modeling, trading, retail, finance, training, security, reporting.
To write great resume for compliance risk manager job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Risk Manager Resume
The section contact information is important in your compliance risk manager 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 Risk Manager Resume
The section work experience is an essential part of your compliance risk manager 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 risk manager 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 risk manager position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Risk Manager resume experience can include:
- Experience reviewing the banks transaction surveillance systems, management controls and reporting infrastructure
- Compliance Risk Management experience with a major commercial bank, regulator, or risk consulting practice
- Experience implementing a firm wide approach to compliance risk management and oversight
- Experience with balancing global standards and local cultures
- Five (5) or more years of technical writing work experience
- Financial Services Risk Management Experience
Education on a Compliance Risk Manager Resume
Make sure to make education a priority on your compliance risk manager resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance risk manager 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 Risk Manager Resume
When listing skills on your compliance risk manager 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 risk manager skills:
- Hands on experience in gathering evidence by performing independent security assessments, collecting,and providing reports to auditors and leadership
- Demonstrated experience assessing a bank’s risk oversight infrastructure and ability to comply with regulatory rules and laws
- Advanced skills in negotiation and conflict management
- Have proven MLRO or DMLRO experience
- Experience in Auditing, Accounting or Consulting Firm
- Experience supporting, partnering and interacting with internal business clients
List of Typical Experience For a Compliance Risk Manager Resume
1
Experience For Compliance & Risk Manager Resume
- Conducting reviews of new and existing client’s VAT processes
- Support team organizational development activities (yearly goal alignment, training adherence, ongoing materials management, etc.)
- Participate in the creation of standardized metrics and reporting and perform analysis to identify risks and trends in data
- Provide back-up support in the set-up and monitoring of registered mutual funds, private funds, exchange-traded funds, and institutional separate accounts
- Assist the regional HR by supporting HR matters in Korea branch
- Manage, implement and deliver on a subset of the program deliverables
2
Experience For Enterprise Financial Crimes Compliance Risk Manager Resume
- Minimisation of Client’s VAT costs and oversight of 8th and 13th Directive reclaims
- Implement a firm wide approach to compliance risk management and oversight
- Deep knowledge of current commercial bank regulations and laws
- Assess the business’s future ventures to identify possible compliance risks
- In-depth knowledge of the industry’s standards and regulations (SOX, PCI, EU Privacy, ISO27K, NIST)
3
Experience For Compliance Risk Manager Enterprise Complaint Program Resume
- Partner with the Line of Business, Risk/Compliance/Audit (RCA) Consultants, and other RCA Managers to, oversee the successful creation, implementation, and maintenance of an effective Anti-Money Laundering risk management framework
- Coordinate Enterprise Financial Crimes Compliance (EFCC) activities across multiple Business Lines and across EFCC functions, including the implementation of Policies and completion of Risk Assessments
- Lead projects and/or activities that ensure compliance with applicable federal, state and local laws and regulations
- Influences policies and procedures to maximize profit potential and minimize regulatory exposure
- Collaborates with attorneys, business units and departments to incorporate antitrust, privacy, conflict of interest, Foreign Corrupt Practices Act (FCPA) and other specific compliance issues into compliance training
- Ensures timely investigation of matters raised through the program. Implements programs and responses to matter and concerns brought to the Helpline's attention
- Monitors industry and regulatory developments, and makes compliance recommendations to the compliance officer. Pursues continuing education to maintain knowledge of current ethics and compliance rules and practices
- Serve as the face of the Compliance team within the SNW investment operations group and provide compliance advice and support to other SNW personnel
- Conduct automated and manual pre- and post-trade investment guideline monitoring of trades and positions for compliance with applicable regulatory and account-specific limits and restrictions
4
Experience For Compliance & Risk Manager NBS Resume
- Support the launching of client accounts by analyzing investment advisory contracts and investment guidelines, coding automated compliance tests into the Charles River Investment Management System and communicating with members of the Portfolio and Trading Departments as required
- Act as a liaison for and participate in discussions related to non-compliance business and operational functions unique to the separately managed account business, including topics such as ADV delivery, client suitability, AML validation, etc
- Participate in the resolution of compliance-related issues associated with investment advisors and custodians for separately managed accounts
- Interact with third party service providers on compliance-related issues
- Provide back-up assistance to the Code of Ethics Compliance team, which includes interacting with SNW personnel on issues related to Code of Ethics such as pre-clearance of personal trades, approval of new personal brokerage accounts and answering compliance questions
- Working with lines of business in identification, analysis, monitoring, and reporting of risk and implementing risk mitigation and impact minimization controls to maintain risks within target tolerances
5
Experience For Senior Compliance & Risk Manager Resume
- Assist in embedding enterprise risk management into business culture, through promotion of the ERM framework, interaction with lines of business, and the development and execution of education and training
- Analyze the results of financial and operational risk management programs and processes implemented to determine if risk management objectives were achieved
- Analysis of operational risk events including operational errors and losses to identify root causes, trends, and possible options for risk mitigation and impact minimization
- Provide holistic compliance support to the business lines and their leadership
- Assist development and conduct of compliance trainings for Korea Branch
- Work toward the implementation of required policies and procedures for Korea Branch
- Collaborate with local Compliance officer, Hub and Group Compliance and/or other contributors as needed to effectively communicate necessary regulatory changes and requirements
- Document work and maintain departmental records
6
Experience For Senior Compliance Risk Manager Resume
- Support to conduct issue investigation, internal client interviews and reports to internal stakeholders
- Proactively engage in the business processes of assigned internal clients so as to anticipate needs and risks and work with the clients to manage the same
- Provide adequate support to product launches
- Assist Korea Branch’s compliance initiatives such as supporting Korea branch management committee, necessary ad-hoc internal meetings, privacy, code of conduct, anti-corruption, and anti-fraud
- Team player with strong desire to grow; entrepreneurial; hands-on with the ability to develop a team; history of stability and accomplishments
- Support to ensure and improve better compliance culture and practices in Korea Branch’s business and operation
- Work closely with local associates from each Division on issues with regulatory developments
- Collaborate with regional HR to provide HR related trainings and messages to the employees of Korea branch
7
Experience For Compliance Risk Manager RPS Resume
- Coordinate and communicate with regional IT for IT server management in Korea branch
- Provide compliance support for IT vendor controls in Korea branch
- Ensure the active identification, response and/or escalation of risks as appropriate
- Influence policies and procedures to maximize profit potential and minimize regulatory exposure
- Develop materials that support U.S. Bank’s engagement in industry-led forums (e.g, AML-related presentations, survey responses, etc.)
- Act as transactional process owner to lead the development and deployment of the transactional processes and systems capabilities to support effective and efficient execution of the process elements
- Intranet and SharePoint sites. Responsible for resolving inquiries and disputes both internally within BD and with external third-parties
- Lead the team responsible for handling all aspects of internal controls and compliance to internal corporate policy such as but not limited to travel and expense reimbursement, Amex card program, Business Transparency Reporting, Internal Audit Services audit requests, scheduling and coordination and Sarbanes-Oxley compliance
- Manage Sarbanes-Oxley testing of financial controls and facilitate year round compliance by working with cross functional areas of Finance operations such as Procurement, Customer Support, Accounts Payable, Accounts Receivable, and General Ledger to design, implement, and validate controls to support the resolution of deficiencies
8
Experience For Principal International Compliance Risk Manager Resume
- Support the transition of new work into the North America Shared Service Center by evaluating key controls owners, documentation and management testing used for financial statement assertions
- Responsible for assembling the appropriate talent (job specifications, recruitment, training and development) to ensure adequate resources are available to support current business requirements and any new strategic business initiatives
- Manage the T&E Concur team and ensure that the current services and country roll-out project is meeting management and operational service-level objectives
- Identify and develop risk strategy for mitigating risk to customer and processes
- Assume ownership of the overall business recovery process
9
Experience For Regional Compliance Risk Manager Resume
- Identify and categorize outage exposures that could cause business interruption and perform BIA
- Assist with development and maintenance of compliance processes
- Develop or implement risk-assessment models and methodologies
- Perform operational assessment and work with result sites/customers to mitigate top risks and produce reports or presentations that outline findings, explain risk positions, or recommend changes
- Maintain risk register and devise systems and processes to monitor validity of risk modeling outputs
10
Experience For Compliance & Risk Manager for Deloitte Solutions Resume
- Help develop comprehensive approach to mitigate fraud risk
- Have in depth knowledge of compliance & risk management policies within a financial organisation
- Have a “ roll your sleeves up mentality”
- Preparation of executive communications
- Ownership of dynamic Constant State of Readiness documentation, including Business Line/Unit Overviews with Background on the Business, applicable Financial Crimes Risks, How the Risk is Mitigated, and current Metrics, Trends, Issues
- Use technology to enhance risk analysis and insight effectively and innovatively. Some of the main products used include
List of Typical Skills For a Compliance Risk Manager Resume
1
Skills For Compliance & Risk Manager Resume
- Experience in building and managing teams preferably in a shared service environment
- Experience in monitoring legal, risk, quality and compliance activities
- Respond quickly to changing demand and priorities
- Make appropriate recommendation supported by robust evidence a documented rationale to Sign Off
- Financial Services risk management experience
- Conduct independent research and analysis Ability to make effective presentations
- A keen interest in financial markets and operational risk matters, with a strong desire to learn more
- Exposure and experience on SAP / APO or similar ERP systems
2
Skills For Enterprise Financial Crimes Compliance Risk Manager Resume
- Exposure and experience on Concur or similar T&E Software
- Dive deep with business partners to create Compliance solutions that raise the customer experience bar
- Participate in forums to prioritize efforts and solutions to be added to the Compliance product roadmap to drive program efficiencies
- Have 3+ years’ experience within a Compliance & Risk management role
- Quality Review prior to Executive Review
3
Skills For Compliance Risk Manager Enterprise Complaint Program Resume
- Vast Experience with compliance automation & tool deployment & maintenance
- Accountable for an effective partnership between the Line of Business and the Lines of Defense
- Ongoing development, maintenance and implementation of applicable compliance oversight program and reporting structure
- Promoting a culture of compliance across all business lines
- Develop robust processes for identifying, assessing, controlling, measuring, monitoring, and reporting compliance risk
- Complete regular monitoring of trading activity including trade allocation, trade aggregation, and best execution according to existing systems and processes
- Track and report on progress to relevant parties including managing and escalating any issues and scope changes (progress/risks/issues)
- Assist with drafting and distributing Standards of Business Conduct booklet to Starbucks partners
- Development, implementation, and enhancement of models and techniques for risk measurement, including simulations, stress testing, and scenario analysis
4
Skills For Compliance & Risk Manager NBS Resume
- Assist monitoring and testing of compliance/regulatory issues for the Korea Branch
- Facilitate all internal Risk/Issue meetings - Ad Hoc or recurring
- Drive current Customer Facing ART Risk Mitigations to Closure
- Drive current Customer ART facing Issues to Closure
- PARMA updates and reporting
- Assist in managing the end-to-end C&R services for the Mumbai Shared Services Centre
- Disseminate written policies and procedures and training related to compliance activities
- Proactively contribute to on-going development and process improvements
5
Skills For Senior Compliance & Risk Manager Resume
- Work with product management and engineering teams to drive requirements through implementation
- Perform competitive benchmarking to ensure compliance programs are world class
- Be able to create and maintain business working relationships
- Management and oversight of Issues, including early escalation of missed milestones and credible challenge
- Engagement in Risk Assessment process, including
6
Skills For Senior Compliance Risk Manager Resume
- An analytical mind able to “see” the complexities of procedures and regulations and applying them to multiple frameworks
- Assists in and implements compliance training and communication initiatives
- Assist with the development, implementation and ongoing oversight of all applicable compliance policies & procedures
- Execute Risk reporting for Risk Committees, senior management, and Boards of Directors
- Partner with business units to identify, assess, and monitor inherent and residual risks including assessments of the design and performance of key controls
- Support local AML/Sanction related matters and reporting
7
Skills For Compliance Risk Manager RPS Resume
- Drive Internal Risk Governance team through Continuous Improvement & ITIL Best Practices to keep team on task
- Overall Risk Management Process & Documentation
- Risk Management Mailbox (receive new risks, updates etc)
- Enter any new Risks or Exceptions in the ART Risk tool
- Drive current Internal PARMA Issues to Closure
- Drive current Internal PARMA risk Mitigations to Closure
- Monitor and assign tasks
- Allocate appropriate levels of resource
8
Skills For Principal International Compliance Risk Manager Resume
- Support the allocation of team resource to meet business demand
- Ensure all aspects of compliance are met
- Mitigate service delivery risks
- Undertake analysis of Country hits, entities, and/or names of individuals within the process instruction and by judgement assess whether the instruction is compliant with the Policy
- Self-structured, ability to work independently while handling multiple tasks
9
Skills For Regional Compliance Risk Manager Resume
- PMP Certification or Masters Certificate of Project Management (CPM)
- Experience with specific emphasis on Retail compliance related to BSA/AML/OFAC at a large financial institution, regulatory or law enforcement agency
- Experience with specific emphasis on Payment Services compliance related to BSA/AML/OFAC at a large financial institution, regulatory or law enforcement agency
- Good hands-on experience with Advanced MS-Excel including Macros
- Experience of financial quantitative techniques
- Experience of financial markets
10
Skills For Compliance & Risk Manager for Deloitte Solutions Resume
- Manage multiple strategic projects
- Operational and regulatory knowledge of financial institutions (banks, loan
- Experience including 6-7 years Subject Matter Expertise in Compliance & Risk domain covering Accreditation, Sanction Checking, Transaction Monitoring, Suspicious Activity Reporting. Operational Risk and Fraud experience would be advantageous
- Considerable knowledge of AML, Economic Sanctions, and Anti-Bribery and Anti-Corruption laws, regulations, financial services, and regulatory trends that impact Payment Services Line of Business
- Considerable knowledge of Payment Services’ operations, products/services, systems, and associated risks/controls
- Considerable knowledge of AML, Economic Sanctions, and Anti-Bribery and Anti-Corruption laws, regulations, financial services, and regulatory trends
- Six Sigma/Lean or continuous improvement techniques
- Familiarity with project management approaches
- New York, NY, Chicago, IL, Charlotte, NC, Dallas, TX, Washington, D.C
List of Typical Responsibilities For a Compliance Risk Manager Resume
1
Responsibilities For Compliance & Risk Manager Resume
- Analysis and escalation of Metrics and Reporting information to proactively manage risks through trend analysis and research of anomalies
- Work with other business units (e.g. Marketing, Product, Compliance etc.) in support of their data requirements
- Leadership in Policy Implementation Exercises
- Business Change Risk Assessments (BCRA) and Third Party Risk Management (TPRM) Reviews
- Monitor investment risk exposures based on established guidelines
- Facilitate the resolutions of breaches
- Rule interpretation capability
- Quality Assurance Peer Reviews
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