Corporate & Investment Bank-compliance Resume Sample
Janet Kertzmann
353 Goldner Light,
Houston,
TX
+1 (555) 941 8933
Work Experience
Corporate & Investment Bank Compliance Fiduciary Compliance Officer VP
06/2017
-
PRESENT
New York, NY
- Contribute to ad-hoc strategic KYC projects as well as the ongoing review and update of applicable KYC policies and procedures
- As required, conduct training on the firm's policies and procedures pertaining corporate KYC standards and requirements to business
- Regular Liaison with relevant stakeholders in Line of business Compliance, the business, risk management and legal functions, as well as other GFCC partners
- Assist in the management of the KYC Exceptions process as it applies to GFCC
- Act as an escalation point for complex/problematic client onboarding issues and instances of negative media, PEPs and sanctions
- Assess and analyse Anti-Money Laundering issues such as high risk client reviews (including performing risk reviews of certain high risk KYC records)
- Providing assistance and giving guidance pertaining to business standards and regulatory requirements (to the extent required by the role)
Corporate & Investment Bank-compliance
01/2011
-
12/2016
Houston, TX
- Ensuring consistent implementation of Compliance policies and procedures as it relates to high risk businesses (to the extent required by the role)
- Working with the wider GFCC team to aid in projects and initiatives as related to the Investment Bank and Markets business (to the extent required by the role)
- Lead audit engagements as outlined above covering the CIB businesses including risk assessment, audit planning, audit testing, control evaluations, report drafting and follow up and verification of issue closure. Ensure audits are completed timely and within budget
- Establish strong working relationships with CIB Compliance management
- Work closely with regional/global CIB auditcolleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
- Finalize audit findings and using judgment opine on the control environment
- Performongoing analysis of risk trends through the development and implementation of audit coverage
- Oversight of the ‘Anything of Value’ approval database for the region; responsible for the approval of referred candidates
Corporate & Investment Bank Compliance
11/2006
-
07/2010
San Francisco, CA
- Review and development of the compliance risk assessments for the relevant products
- Collaborate with various groups to design appropriate responses to internal clients’ needs in accordance with our compliances practices framework
- Advise on policies and procedures in relation to JPMorgan Cazenove’s UK Listing Authority (“UKLA”) Sponsor function and AIM Nomad function including, but not limited to, the following
- Provide ‘live’ regulatory interpretations and decisions to the business in high profile and/or time constrained situations
- Provide support to the Bank’s Insider Controller in application of the requirements of the Russian Insider Dealing Law
- Develop, document and review procedures and policies as part of the team’s general responsibilities
- Execution of the EMEA Compliance Testing Program in line with the firm’s expectation
- Involvement in departmental projects particularly in relation to the development of the Annual Compliance Testing Plan
- Taking a leading role in global testing assignments
Education
Strayer University - Woodbridge Campus
2000 - 2005
Bachelor's Degree in Business
Professional Skills
- Strong influencing skills and demonstrated success in working in large institution
- Excellent verbal and written communication skills and ability to present complex issues in a clear and concise manner
- Strong interpersonal skills, ability to comfortably deal with senior stakeholders and influence change
- Excellent written and verbal communication skills (English and Swedish/Danish/Norwegian/Finnish)
- Demonstrated interpersonal, communication, negotiation, and resource management skills
- Have a number of years’ relevant Compliance experience or other related experience e.g. legal, risk management, audit, operations controls or similar
- Experience of working closely with various business stakeholders to understand detailed business processes
How to write Corporate & Investment Bank-compliance Resume
Corporate & Investment Bank-compliance role is responsible for compliance, partnerships, analytical, excel, microsoft, securities, training, database, auditing, trading.
To write great resume for corporate & investment bank-compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Corporate & Investment Bank-compliance Resume
The section contact information is important in your corporate & investment bank-compliance 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 Corporate & Investment Bank-compliance Resume
The section work experience is an essential part of your corporate & investment bank-compliance 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 corporate & investment bank-compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular corporate & investment bank-compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Corporate & Investment Bank-compliance resume experience can include:
- Operating across regions, business and functions with demonstrable strong negotiation, influencing and relationship skills
- Develop and maintain strong relationships with other control functions
- Experience with Control Analysis or Operational Risk would be beneficial
- Significant experience in Compliance, AML in a work place with equivalent business
- Extensive financial services industry experience
- Facilitating the tracking of issues identified during testing and ensuring associated action plans are addressed
Education on a Corporate & Investment Bank-compliance Resume
Make sure to make education a priority on your corporate & investment bank-compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your corporate & investment bank-compliance 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 Corporate & Investment Bank-compliance Resume
When listing skills on your corporate & investment bank-compliance 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 corporate & investment bank-compliance skills:
- Strong analytical skills, ideally with previous experience as a business, risk, legal or compliance specialist in Cash Management and/or Payment Services
- Possess compliance testing skills and participate in scheduling, conducting, monitoring and enhancing the Global Compliance Test and Monitoring Program
- Extensive financial services industry experience including relevant compliance, regulatory consulting, regulatory audit, regulatory risk or legal experience
- Strong desire to work in a Surveillance team with good investigative instincts and background
- Highly organized with a proven ability to manage and prioritise workload
- Good understanding of the South African regulatory environment ( Banks Act, JSE rules & Directives, FAIS and FICA)
List of Typical Experience For a Corporate & Investment Bank-compliance Resume
1
Experience For Corporate & Investment Bank Compliance Compliance Officer Resume
- Assistance with implementation of new regulatory initiatives impacting the services that GMI provide
- Prepare compliance management reporting as needed
- Review and complete the compliance risk assessments for the relevant products
- Participate in management and governance meetings (where appropriate)
- Work closely with the broader regional and global compliance team ensuring consistency across the teams with respect to the CFS compliance program and when issues are being addressed
2
Experience For Corporate & Investment Bank Compliance Fiduciary Compliance Officer VP Resume
- Work independently on advisory compliance tasks arising from the GMI team while ensuring a consistent approach globally (where appropriate)
- Participation in regulatory visits and consult on regulatory responses on FMI related matters with business, Compliance, Legal and Risk Management leads
- Review and complete the compliance risk assessments for the GMI relevant products and services
- Work closely with the broader regional and global compliance teams ensuring consistency across the teams with respect to the GMI compliance program and when issues are being addressed
- Conduct Hiring Practices and Referred Candidates reviews for the region
3
Experience For Corporate & Investment Bank Compliance Resume
- Support the pre-clearance, monitoring and remediation efforts for the region related to the Program
- General compliance knowledge of Anti-money laundering and sanctions, conflicts management, Information barriers, data privacy and bank secrecy
- Assist in investigations related to potential breaches of the Anti-Corruption Policy
- Provision of advice on and interpretation of applicable regulations
- Review and complete the compliance risk assessments for the relevant products whilst providing challenge to the business on their risk and control self-assessment results. Being the global point of contact for Compliance Risk Assessment, coordinating all regions and ensuring deliverables are communicated and deadlines are met
- Undertake compliance monitoring activities, including raising and communicating identified issues
- Work closely with the broader regional and global compliance team to facilitate consistency across the teams with respect to the CFS compliance program and when issues are being addressed
List of Typical Skills For a Corporate & Investment Bank-compliance Resume
1
Skills For Corporate & Investment Bank Compliance Compliance Officer Resume
- Solid proficiency and experience in implementing compliance policies and procedures
- Previous experience in compliance or a related position (including regulatory, legal, audit or risk and controls)
- Strong background with the Financial Services Industry, Risk and Control and Compliance
- Demonstrate an ability to interpret financial regulations and regulatory requirements and assess operational Compliance with those requirements
- Responding to regulatory enquiries from the FCA and other European regulators in a timely manner
- Working knowledge of the Foreign Corrupt Practices Act and UK Bribery Act
2
Skills For Corporate & Investment Bank Compliance Fiduciary Compliance Officer VP Resume
- Identification, management, and resolution of issues regarding potential JP Morgan’s Interest Rate Benchmark submission policy violations
- Adept in working with people at all levels in the ogranisation and with various backgrounds
- Analysis of transactions that have been raised by the Surveillance or relevant business teams
- Composition and submission of Suspicious Transaction/Order Reports (STOR’s) to the FCA
- Production of data, MI and analysis to explain the findings from these investigations
3
Skills For Corporate & Investment Bank Compliance Resume
- Attention to detail, ability to work independently and be self motivated
- Have a good appreciation of the regulations applicable to the relevant business, particularly new and upcoming regulations. Knowledge of Dodd-Frank, Volcker and EMIR would be advantageous
- Good working knowledge of UK regulations applicable to Treasury Products (e.g. FCA Handbook/SYSC/COBS), and knowledge of relevant regulations in EMEA and the US would be of added benefit (PSD, CRDIV, Basel 3, BRRD, Reg W, MAR, MiFID)
- Work under pressure and to tight deadlines, a self confident and proactive approach to their work
- Clean criminal record from the Russian Internal Affairs Ministry’s register of crimes related to the financial crimes
- Deeper knowledge of specific sectors – Equity and F&O products
- JSE compliance officers exams
- Extensive knowledge of financial industry rules and regulations; ability to engage directly with regulators on such matters
- Enthusiastic, self-motivated, strong interest in learning, able to take the initiative, effective under pressure and willing to take personal responsibility/accountability
4
Skills For Corporate & Investment Bank-compliance Conflicts of Interest Compliance Officer VP Resume
- Extensive relevant Compliance experience or other related experience such as risk management, audit, or similar control-related experience / Experience with the EMEA regulatory environment
- Relevant academic or otherwise qualifications
- Significant experience in Risk, Legal, Compliance or Audit with solid working knowledge of EMEA and local investment banking laws and regulations, in particular in areas such as UCITS V, AIFMD, AMLD4, MiFID II and GDPR
- Solid exposure working with Swedish regulators, and preferably other Nordic regulators
- Decision maker with the ability to manage multiple tasks
- Identify root cause amongst the noise and identify potential issues and/or areas of improvement
5
Skills For Corporate & Investment Bank Compliance Compliance Officer Associate Resume
- To work directly with senior global Investment Bank technology and front office personnel on regulatory compliance strategy for the firm’s global, multi-jurisdictional, cross asset class (equities, fixed income, futures, commodities, FX) client-facing electronic trading and market making initiatives
- To ensure JPMorgan’s Corporate and Investment Bank activities in France are organized and executed in accordance with the requirements of the applicable regulatory framework, the professional and ethical standards, as well as with the instructions, policies and procedures of J.P. Morgan
- Support the implementation and execution of the Compliance Risk Control Self Assessment Program including
- Oversee and execute the issue management control protocols within the context of the firm’s global compliance mandate
- Partner with Line of Business Compliance to design and execute ongoing COI monitoring reviews in accordance with the Firm’s procedures to provide ongoing independent assessment of compliance with the COI framework and relevant regulations
6
Skills For Global Corporate & Investment Bank Compliance Resume
- Building and maintaining working relationships with stakeholders across LOBs and functions
- Providing oversight of the CATTS records and managing the CATTS change processes
- Participating in the development and rollout of large cross LOB, global initiatives, programs and projects
- Execute and document assigned audits with limited supervision in a risk focused manner and to a high standard in accordance with department’s methodology
- Prior experience and understanding of one or more of the following: US, UK and EMEA global investment banking regulatory framework including but limited to 3 & 4 EU AMLD, FCA AML Regulations, USA Patriot Act, Senior Manager’s Regime, Market Abuse Directive, AIFMD, EMIR, MiFID II, etc
- Working with the Head of EMEA Compliance Testing in the development and execution of the overall EMEA Testing programme ensuring constancy and coordination between Testing teams and adherence to the firm’s requirements
- Ensuring proper governance is established and maintained around key projects and processes
- Partnering with stakeholders, providing guidance and analysis, helping identify, resolve and escalate issues/risks/dependencies and facilitating communication across teams
7
Skills For Corporate & Investment Bank-compliance Conflicts of Interest Compliance Officer Associate Resume
- Generating reporting for management and control related meetings/committees
- Manage internal audit and regulator engagements as required. This might include data request and providing responses to questions
- Advise the CIB Chief Administrative Officer and his/her organization on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments as well as implementation of required controls
- Strong knowledge of securities and banking regulations
- Monitors and ensures the regulatory control environment is effective
- Reviewing operational procedures and major operational and systems changes from a regulatory perspective
8
Skills For Corporate & Investment Bank Compliance E-trading Compliance Manager Executive Director Resume
- Work independently on advisory compliance tasks arising from the CFS business while ensuring a consistent approach across the region (where appropriate)
- Maintain and contribute to governance processes for their area, including governance between regional Compliance Operations and Technology teams
- Drive consistent escalation and reporting to applicable governance and control forums
- Determine annual Compliance Test plan including individual test scripts
- Serve as escalation point for potential issues including sufficiency of potential action plans
- Develop Compliance metrics as needed
- Create and maintain Compliance policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices
9
Skills For Corporate & Investment Bank Compliance Testing Compliance Officer VP Resume
- Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices
- Complete the Compliance Risk Assessment relative to the Operations and Technology organizations and provide input where appropriate to highlight changes in the risk / control / regulatory environment
- Extensive and relevant Compliance experience
- Collaborate to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests
- Demonstrates solid EMEA-based investment banking and local regulatory compliance knowledge, in particular in areas such as UCITS V, AIFMD, AMLD4, MiFID II and GDPR, to be able to effectively support and drive JPMorgan Chase’s Global Compliance Program
- Support the CIB lines of business (Banking, Markets and Investor Services) for adherence to the Global Compliance Core Practices and framework
10
Skills For Corporate & Investment Bank-compliance Auditor Resume
- Work closely with the Swedish CIB lines of business to develop and implement compliance plans and frameworks in line with the Global Compliance Program’s Core Practices framework
- Provide compliance support to the other Nordic countries (Denmark, Finland and Norway)
- Liaising with the EMEA lines of business Compliance teams to ensure consistent and best practice compliance procedures and controls are adhered to and implemented
- Act as an integrated part of the EMEA ex-UK Country Compliance team
- Implement and maintain a regional reporting model to provide timely and relevant management information across through appropriate reporting mechanisms (scorecards, dashboards, monthly management meetings)
- Provision of advice on and interpretation of a wide range of regulatory and firm policy topics including a general compliance knowledge of Anti-money laundering and sanctions, conflicts management, Information barriers, data privacy and bank secrecy
- Review of new business initiatives and assessment of their regulatory impact on the relevant products, including Agent Bank assessments
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