Due Diligence Officer Resume Sample
Adolphus Kerluke
13067 Hobart Island,
Dallas,
TX
+1 (555) 279 3900
Work Experience
Senior KYC / Due Diligence Officer
06/2015
-
PRESENT
San Francisco, CA
- Essential Technical Knowledge / Skills
- Internet security concepts
- Shell Script (KSH)
- Working experience
- Have knowledge for Internet applications
- Have some knowledge regarding flows around applications
- Basic Skills for Java Programming & Algorithmics
- Knowledge for Cash Management business activity would be appreciated
Due Diligence Officer
10/2009
-
03/2015
San Francisco, CA
- Working together with the regional ITO (IT & Operations) to apply the consistent and standard set of control as well as system solution initiated for further quality development of our control
- Understand the principles and be familiar with CIB products
- Aware of various types of trading entities - limited, private and public companies, holding companies, hedge funds, asset managers, special purpose vehicle’s, trust’s etc
- Complete KYC forms for compliance purposes, including the following
- Conduct research on legal entities in the Bank's systems (Atlas, CreditNet, RMPM, GCARS, etc.) as well as in official government records and other public websites (Sedar, SEC, REQ, Banker's Almanac, etc.)
- Conduct basic corporate financial research
- Conduct research on the economic activities of legal entities using available internal documents, such as credit proposals, or on public websites, such as Business Week (sector/industry type, products, services sold, localization of main suppliers, main clients and operation locations)
- Evaluate client sensitivity according to a predetermined grid and instructions
Junior Due Diligence Officer
10/2005
-
09/2009
Chicago, IL
- Handle Emergency
- Manage Speeching in Crisis Conference Calls
- Work in a Team Organization
- Prioritize Tasks & Problems
- Explain a Problem inside a given context and give a feedback
- Other Value – added Competencies
- Willing to work under pressure and mission oriented
- Identify ultimate beneficial owner and all related individuals in the client’s organisation and ownership structure
- Aware of various client types i.e. hedge funds, asset managers, pension funds, private and public companies, holding companies, trust’s etc
Education
Southwest Minnesota State University
2000 - 2004
Bachelor's Degree in Management
Professional Skills
- Portuguese advanced skills - Reading and Writing
- Line management and staff coaching experience
- Experience: 0 - 3 years in Due Diligence / KYC / Compliance
- Co-operate with AML Compliance counterparts in other locations within and outside of APAC
- An ability to build and sustain strong relationships with business staff and management and with colleagues in the team, locally, regionally and globally
- Be in charge of identifying AML relevant risks, conducting research and making risk assessment in order to protect the Bank's reputation
- Review and identify changes in AML regulations, assessing potential impact on existing policies/procedures and implementing changes to ensure compliance
How to write Due Diligence Officer Resume
Due Diligence Officer role is responsible for portuguese, software, finance, credit, training, database, security, trading, reporting, research.
To write great resume for due diligence officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Due Diligence Officer Resume
The section contact information is important in your due diligence 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 Due Diligence Officer Resume
The section work experience is an essential part of your due diligence 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 due diligence 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 due diligence officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Due Diligence Officer resume experience can include:
- Review and validate work done by junior team members to ensure quality and adherence to relevant KYC and control requirements
- To manage alerts arising from the bank’s monitoring systems, such as SUN GCARS, and escalate real violations to the relevant levels for approval
- Client On-boarding and Periodic/adhoc recertification during entire client life cycle
- Familiarize and support senior management reporting and regulatory reporting
- Provide subject matter expert advices to Business on financial crimes topics arisen at on-boarding stage and during client life-cycle
- Multi-lingual: English, French and Portuguese (Reading and Writing)
Education on a Due Diligence Officer Resume
Make sure to make education a priority on your due diligence officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your due diligence 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 Due Diligence Officer Resume
When listing skills on your due diligence 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 due diligence officer skills:
- Portuguese advanced skills – Reading and Writing
- Solid understanding of Corporate & Institutional Banking and Global Markets framework under International Financial Groups
- Good understanding of legal business structures so as to determine a legal entity's final beneficiaries
- Good knowledge of IT tools and software
- A good understanding of the compliance issues and private banking industry
- Working both within the financial crime team and the business to deliver on strategic projects and commitments
List of Typical Experience For a Due Diligence Officer Resume
1
Experience For Senior KYC / Due Diligence Officer Resume
- Work closely with Front-Office and prioritize the completion of recertification pipeline according to ever changing demands, and deliver satisfactory results
- Work independently on end-to-end KYC due diligence processes, providing expert advice to relevant businesses
- Able to work independently on end-to-end KYC due diligence and provide advice to relevant business liaisons for on-boarding or recertification
- Back-up tasks : Client Services/ Loan Services
- Major clients including Corporate Coverages, Commodity Finance, Investment Banking, Transaction Banking, Financial Institutional Coverages, Global Markets products [e.g. Equities, Fixed Income, Foreign Exchange, Commodities Index Trading (CIT), CIT Metals, CIT Repo, and Commodities Futures Trading]
- Complete client recertification requests in accordance to relevant Standard Operating Procedure (SOP) which also makes reference to relevant policies including CIB KYC Procedure
2
Experience For Due Diligence Officer, Due Diligence Resume
- Assist the Manger to act as the Subject Matter Expert (SME) with assigned Front-Office Business Unit(s) across Client Sector(s) and Product(s), Compliance and other support functions in relation to Due Diligence activities
- Ensure timely escalation and own proposed course of actions to line management to address identified risks and blocking points during each client recertification handling. Also, identify, analyze, report and explore proposed course of actions to line management in relation to production, policy and system issues
- Handle client recertification lifecycle management processes (e.g., account blocking, termination, client file transfer between Due Diligence teams)
- Mitigate integrity risks for the bank by contributing to the risk assessment of (potential) business relationships based on (international) regulations against money laundering and terrorist financing, financial sanctions, and embargoes
- Collect, analyze, verify and archive legal and Know Your Customer (KYC) documentation, identify Ultimate Beneficial Owners (UBOs) and Politically Exposed Persons (PEPs)
- Team player, independent, hardworking, eager to learn and accurate
- Review and check (potential) clients on international financial sanctions lists
3
Experience For Assistant VP Due Diligence Officer Resume
- Comply with and follow up on (international) regulatory requirements, such as the Foreign Account Tax Compliance Act (FATCA) and Markets in Financial Instruments Directive (MiFID)
- Communicate independently and professionally with external and internal clients and stakeholders on all KYC related matters
- Affinity with the financial sector and basic understanding of due diligence and (international) Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) regulations
- Strong analytical skills and strong risk awareness
- Possess KYC knowledge on various types of trading entities - limited, private and public companies, holding companies, hedge funds, asset managers, special purpose vehicles, trusts and specialised sectors
- Communicate professionally with internal customers at all levels particularly senior, regional teams within Client Management ITO, as well as with teams in other locations
4
Experience For Ipb-due Diligence Officer Resume
- Be proficient in tools, vendors systems and related banking systems
- Be open to changes and support the vision of working in a fully transversal operation
- Provide basic training to junior or new team members
- Liaise regularly with the following internal stakeholders
- Potentially assist to manage a team to ensure timeliness of review for portfolio or cases assigned
- Work well within the local team with an adaptable approach, and able to coordinate with other Due Diligence Teams globally
5
Experience For Junior Due Diligence Officer Resume
- To review and analyze information on new client onboarding and maintenance of existing client accounts for accuracy and compliance with the bank procedures and regulatory requirements
- To support the head of CLM for the CCS preparation
- Attention to details/Accurate
- Implementation and Process
- Overall Job Requirements
- English and Bulgarian
- English and Hungarian
- English and Russian
- Maintain KYC Log
List of Typical Skills For a Due Diligence Officer Resume
1
Skills For Senior KYC / Due Diligence Officer Resume
- Theoretical or general knowledge of banking products and legal documentation in the banking sector
- Knowledge of banking sector compliance rules
- Undertake AML related investigations and suspicious transaction reporting with the local authorities
- Review real-time screening alerts on client database
- Communicate with clients, as needed, to gather information on beneficial ownership or on any other missing documents
2
Skills For Due Diligence Officer, Due Diligence Resume
- Verify the compliance monitoring process: have relationship managers and the business-line head sign and review the KYC form
- Take part in all the regular and ad-hoc meeting within the team
- Organize KYC Pipeline Meeting with all internal stakeholders
- Agility with internal and external KYC and IT tools and servers, and Excel
- Awareness of the 3rd European Money Laundering Directive and any local regulatory directives or requirements and firm understanding of client classification definitions – MIFID/FACTA/AEOI and its implications
3
Skills For Assistant VP Due Diligence Officer Resume
- Flexible and stress resistant
- Conduct enhanced due diligence on high risk client on-boarding requests, including identification and assessment of any financial crime risks, reputational risks and the plausibility and corroboration of source of wealth
- Experience in KYC/Due Diligence field
- Liaise confidently with the front office staff, KYC teams and colleagues in business lines to coordinate the assessment and provide a final decision
- Conducting enhanced due diligence on newly higher risk clients at least quarterly, including review of the account activities and assessment of any financial crime risks and reputational risks that are emerged in the existing relationships
- Report any findings and following them through to resolution
- Communicate decisions to Business Heads on whether the relationships can be retained or terminated amid change of risk level in structural and detailed manner
- Review the way financial crime policies and procedures are executed at various stages in the client life-cycle to ensure adherence to applicable KYC and Financial Crime due diligence standards
- Practical knowledge of relevant AML/CFT laws and guidelines
4
Skills For Ipb-due Diligence Officer Resume
- Multi-lingual: English, French and Spanish
- Familiar with various type of legal entities (Financial institution, Funds, Trust, LLC’s , Partnership, MNCs etc)
- Multilingual: English, French and Spanish
- Fluent in English in combination with Spanish or Russian or Hungarian or German or French language
- Perform and report on periodic controls including review of new and existing clients, and any other ad-hoc reviews through both manual and electronic means, for the purpose of identifying potential money laundering issues
- Provide AML compliance advice / training to the Business and Support functions with respect to due diligence/KYC standards and on applicable internal policies/local regulations
5
Skills For Junior Due Diligence Officer Resume
- Support the preparation/follow-up on internal/external audit and regulatory inspection
- Evaluate reasonableness of RM’s conclusion and highlight/escalate issues to management and/or compliance and follow up on corrective actions
- Are alert to and contribute to fighting against all forms of economic crime including fraud, money laundering and terrorist financing, regardless of the circumstance or stakeholder involved
- Make sure adequate due diligence and controls are performed to know the customers and how they use the Group’s products and services
- Are vigilant that customer transactions are not related to bribery or corruption. Report any suspicious operation to Senior Management or to local Compliance
6
Skills For Customer Due Diligence Officer Resume
- A collaborative approach to achieving goals, ready to take initiatives, actively share information, and be willing to undertake a variety of roles within Financial Crime team as required
- Critically challenge the status quo with an independent mindset
- Notify the compliance/financial security department if a client's identity or documents appear fraudulent or suspicious
- Help with process implementation and verification and participate in procedure updates
- Complete the form in compliance with the Bank's internal and external regulations within set timelines
7
Skills For Due Diligence Officer for Central & Eastern Europe Resume
- Manage and follow-up on reports required by financial intelligence units in Canada and Paris within the set timelines
- Take part in different projects under the supervision of the Head of Due Diligence
- Act in accordance with and promote Client Management MEA values
- Assist to define, implement and oversee internal control policies and processes to mitigate DDT’s key risks, and ensure that KYC processes performed by CIB Due Diligence team complies with the requirement of Local Add-on policies and Group procedures
- Check if clients’ documents are in place and correctly filled
- Input data and upload clients’ documents in KYC internal system
- Ensure adherence to AML/FS-related Group Policies and execution of associated operational controls, and to promptly escalate any resulting hit for analysis and decision
- Chase missing information from various internal and external stakeholders with maximum efficiency
8
Skills For Due Diligence Officer Central & Eastern Europe Resume
- Production: perform all types of due diligence analyses (recertification/On Boarding) on all types of counterparties
- Enter data and upload supporting documentation in GCARS (if Applicable)
- Prepare a complete documentation package ahead of the KYC recertification process
- Act as a contact point for Compliance/Audit/Control and Regulator, and assist
- KYC documents due diligence process by smooth collaboration with business, compliance
- Ensure KYC for assigned clients with up to date and quality, identifying and analyzing client key data in respect of Bank’s key compliance perspective; sanction, PEP, UBO, Beneficial owner, and negative media
- Organize & prepare client acceptance committee and regular committee with all internal stakeholders
9
Skills For Due Diligence Officer, Client Management Resume
- Client data quality control in all referential systems and sustain data integrity
- KPI Report (internal & regional)
- Follow up regulation requirement (FATCA, AEoI, Local consent letter)
- Solution provider for unusual and exceptional KYC Case
- Client data quality management in all systems
10
Skills For Due Diligence Officer Resume
- Multi-lingual: English, French
- Monitor problematic situations
- English and German or French
- Collect from public data sources, utilities, business lines and clients, all necessary documentation to perform the KYC
- Monitor Client's Data Quality
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