Global Compliance Operations Resume Sample
Juston Hammes
594 Emmalee Skyway,
San Francisco,
CA
+1 (555) 943 4153
Work Experience
Global Compliance Operations Client List Screening Operations Controls Manager Associate
09/2017
-
PRESENT
Phoenix, AZ
- Provide strong thought leadership and communication skills in relaying GCO Controls information to global colleagues, stakeholders and staff
- Lead and drive RCSA assessments through execution and ensure that all aspects of the assessment lifecycle are performed including but not limited to planning, substantiation/controls testing and issue/action plan reporting
- Drive the GCO Controls organization strategy and ensure all RCSA artifacts are appropriately completed including: end to end process flows used to facilitate the identification of risks and controls, handshakes, risk and control matrix, residual risk reviews etc
- Manage and build out a global RCSA team; ensure staff is globally supported, guided and clearly understands the scope and impact of their role
- Effectively partner and drive the control agenda with GCO stakeholders, Compliance, Audit and Regulatory groups
- Understand and comply with regional and regulatory requirements pertaining to GCO
- Conduct gap analyses between existing procedures and current business processes and propose suggestions for procedural enhancements
Global Compliance Operations
06/2010
-
04/2017
Dallas, TX
- Ensure that procedures are relevant to the current GCO Sub-Function under review
- Develop content for controls training sessions with minimal supervision
- Evaluate the consistency of control standards and programs across sub-functions and across regions
- Contribute to the GCO Controls strategic plan to enhance and add control related procedures throughout the Global Compliance Organization
- AML Alert Level-1 Dispositions
- Client List Screening (Sanctions)
- Employee Compliance and Regulatory Reporting
- Participant in Year Up program
- Responsible for the oversight and management of the day-to-day operations
Global Compliance Operations Metrics Enablement & Analytics
03/2003
-
02/2010
Detroit, MI
- Is able to lead, manage and develop team members and readily adjust to changing priorities; maintain the highest standards of quality and professionalism
- Partner with other EC&RR managers to cross-train and re-allocate resources as volumes and priorities dictate
- Foster an environment of constant improvement, reducing cycle times and strengthening controls
- Work closely with the Compliance Advisory team responsible for setting the policies that we execute on
- Coordination with State Department of Insurance to process insurance licensing and renewals on a timely basis
- Primary responsibility for the Controls framework and agenda for Client List Screening in North America
- Lead the Controls Agenda for the sub-function, working in close partnership with global and other regional representatives
Education
University of Connecticut School of Business
1998 - 2002
Bachelor's Degree in Finance
Professional Skills
- Results oriented, posses sense of urgency, resourcefulness and excellent problem solving skills
- Strong business partner with demonstrated experience in collaborating with a team of multi-cultural professionals
- Possess strong computer skills: Microsoft Excel, Word and PowerPoint
- Project management skills (can timely perform, track, and oversee projects with high attention to detail and little oversight)
- Communicating issues effectively with internal team members, Team Leads and Business Partners through project implementation
- Demonstrates proficiency using excel for data manipulation and reporting
- Validate through testing: Compliance with Firm’s policies, procedures and standards, including oversight and control
How to write Global Compliance Operations Resume
Global Compliance Operations role is responsible for microsoft, leadership, auditing, retail, securities, training, recruiting, trading, reporting, design.
To write great resume for global compliance operations job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Global Compliance Operations Resume
The section contact information is important in your global compliance 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 Global Compliance Operations Resume
The section work experience is an essential part of your global compliance 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 global compliance 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 global compliance operations position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Global Compliance Operations resume experience can include:
- Manage CLS Controls work-streams, including being the point person and coordinator for Risk and Control Self assessments, Internal and External Audits, GFCC Compliance Testing, OCC & other regulatory exams, and Change Management programs
- Provide strong thought leadership and communication skills in relaying CLS Controls information to global colleagues, stakeholders and staff
- Advanced Microsoft Office skills, particularly PowerPoint, Excel, and Visio
- Project manage, prioritize and identify key messages to present to management to effect change within the organization
- Experience with Confluence/JIRA/Application Lifecycle Management is helpful
- Audit, compliance or operational experience
Education on a Global Compliance Operations Resume
Make sure to make education a priority on your global compliance operations resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your global compliance 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 Global Compliance Operations Resume
When listing skills on your global compliance 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 global compliance operations skills:
- Synthesize large amounts of information efficiently and effectively into clear and concise messages
- Effectively communicate performance metrics and insights to non-analytics team members and
- Excellent writer and enjoys writing
- Provide strong thought, leadership and communication in relaying GCO Controls information to global colleagues,
- A strong sense of Anti-Money Laundering (AML)/Know Your Client (KYC) requirements and principles
- Project manage, prioritize and identify key messages to present to internal and external stakeholders to drive change
List of Typical Skills For a Global Compliance Operations Resume
1
Skills For Global Compliance Operations Client List Screening Operations Controls Manager Associate Resume
- Critical thinking, project management, analytical and communication skills (i.e. communicate effectively at all levels of the organization)
- Help to synthesize large amounts of information from multiple sources efficiently and effectively into clear and concise messages
- Profound Business Analyst work experience
- Experience of the Firm’s risk assessment and risk management policies, standards and systems
- Financial services operational experience
- Perfectionist with strong attention to detail (self-motivated to continuously build and maintain an up-to-date and best-in-class global compliance program)
2
Skills For Global Compliance Operations Client List Screening Analytics Resume
- Project manage, prioritize and identify key messages to present to management to drive change
- Two years of experience with RCSA Oversight & Controls Standards
- Experience with RCSA and Quality Assurance
- Working knowledge of key employee compliance standards and/or financial industry regulations
- Create a strategy to drive reporting efficiencies while maintaining high quality deliverables
- Responsible for conducting the team’s annual performance reviews as well as addressing under performance issues
- Maintain the firm’s Sanctions watchlists for Client Screening and Transaction screening
- Develop globally consistent processes in accordance with the strategic technology and operating model and also while meeting the firm’s KYC/AML policies
- Ensure the team’s standard operating procedures are up-to-date at all times
3
Skills For Director, Global Compliance Operations Resume
- Partner with operations management to identify control gaps through end-to-end reviews or following significant control breaks, and develop Action Plans where appropriate. Perform gatekeeper function for the addition of Issues / Action Plans as well as their closure. Test enhanced controls for sustainability and edit the RCSA where necessary
- Support the execution of the corporate control programs focusing on activities such as Record Retention, Sworn Documents, User Tools, Resiliency, Third Party Operations, and Inter-Affiliate Services. Drive each agenda to meet stated target dates and deliverables
- Assist in consolidating operational metrics for the various control forums and Committees including the collation and reporting of test results and the development and implementation of enhancements
- Drive the Training Agenda around controls to ensure awareness across CAO Ops
- Ensure understanding of regulatory and regional requirements so as to adhere to data privacy regulations in place
- Review sub functions to ensure Compliance with Firm’s Policies, Procedures & Standards including Oversight & Control
4
Skills For Global Compliance Operations Program Manager Resume
- Update and change SharePoint (case management tool and its applicable queries) for testing across our ‘Quality’ control teams
- Update and change SharePoint for testing across our ‘Quality’ control teams
- Responsible for providing insights to the data gathered to provide further positive results
- Understand functionality of Operational Delivery Tools from metrics and reporting perspective (Tableau and Futrix)
- Team player, with a ‘can do’/entrepreneurial spirit who is not afraid of failure
- Understanding of compliance ‘Control’ concepts with the ability to evaluate and determine the adequacy of controls by considering business and IT risks in an integrated manner
- Results driven, possesses attention to detail, and a passion for driving best practices
5
Skills For Global Compliance Operations Metrics Enablement & Analytics Resume
- Synthesize large amounts of information and escalate issues where appropriate
- Comfortable working with large data sets and normalizing the data for various reporting views. Update and change SharePoint (case management tool and its applicable queries) for testing across our ‘Quality’ control teams
- Provide ad hoc reporting request
- Lead, manage, plan, and execute the Control Initiatives program - including the creation of a strategy to test business resiliency plans, monitoring the effectiveness of SLAs, reviewing IAS charters for anomalies or control gaps, and defining a project plan for the implementation of system access reviews
- Ensure Control Initiative programs are executed holistically and that critical handshakes between processes are identified and addressed completely
- Effectively partner with GCO stakeholders, Oversight and Controls and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements as well as to ensure Global Control Initiatives are executed consistently across functions and are based on a robust set of controls and procedures
- Assist Risk and Control Self Assessment (RCSA) Lead and RCSA colleagues in order to determine controls to be tested and the proper unit of measure for control substantiation testing
- Use tools (e.g., Excel, Access etc.) to generate a sample population for the completion of controls testing during the RCSA
- Support the RCSA teams to determine an appropriate sample size based on control type, control frequency, risk level, and regional coverage
6
Skills For Global Compliance Operations Due Diligence Analyst Resume
- Ensure that data analysis and RCSA strategy is compliant with the RCSA Oversight & Control Standards
- Ensure GCO Controls programs are executed holistically and that critical handshakes between processes are identified and addressed completely
- Manage/coach the team’s daily activities
- Communicate and work closely with stakeholders and Senior Management based in the UK and US
- Define the detailed risk-based sampling methodology and create process to implement Quality Testing program globally (including interim steps to demonstrate stability in the team’s output)
7
Skills For Global Compliance Operations Client List Screening Analyst Resume
- Responsible for ensuring that the team’s Phoenix system metrics/data are accurate
- Drive Control initiatives to ensure that the end to end control environment for GCO sub-functions is appropriate
- Demonstrated 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
- Make risk based determination through QA (quality analysis) whether AAR’s were properly completed by GCO Account Activity Review Analysts
- Perform statistical modeling from various sources and multiple risk streams for partnering GCO teams to perform ‘Quality’ testing, that is representative of the total population
8
Skills For Global Compliance Operations EC & RR Global Process & Operations Control Manager VP Resume
- Implement controls throughout the Due Diligence lifecycle to ensure accuracy and timeliness of the team’s throughput
- Provide business analysis for special projects (e.g., capacity analysis)
- Validate and confirm accuracy of individual report findings on JP Morgan’s prospective and existing clients, researched, documented and prepared by analyst. Research includes: negative media, PEP & sanctions
- Participating in strategic planning and execution of a strategy; implementing tactical solutions to meet goals for the department
- Manage a team to conduct Quality Testing for the Employee Compliance Regulatory Reporting Operations
- Knowledge of JPMC AML monitoring and case management systems, including FCIP and Mantas, as well as the wholesale and retail lines of business
9
Skills For Anti Money Laundering Alert Analyst Subpoena Disposition Global Compliance Operations Resume
- Manage multiple strategic program deliverables associated with the Employee Compliance and Regulatory Reporting Operating Model
- Partner with Technology and Operations to ensure build requirements are understood and implemented according to the business’s objectives
- Maintain the team’s weekly scorecards, documenting current state of processes, roles and responsibilities, key challenges, risks and initiatives
- Fluent in both English and German or Italian or French essential
- Analyze the team’s defect reversal rate and implement processes to optimize the quality of their reviews
- Familiarity with Scrum process framework
- Education Grants Committee: The Director, Global Compliance Operations represents Global Compliance on the Education Grants Committee, and serves as the compliance specialist with respect to the review and approval of educational grant requests made to Amicus
10
Skills For Global Compliance Operations Spanish Resume
- Ensure Controls & Metrics programs are executed holistically and that critical handshakes between processes are identified and addressed completely
- Understand and comply with regional and regulatory requirements pertaining to Client List Screening when developing in conjunction with GCO Controls, resiliency plans, SLAs, IAS charters, and system access management
- Identify control gaps within the CLS organization and implement effective controls to close the gaps identified
- Conduct gap analyses between differing CLS processes, at both a high and detailed level
- Effectively partner with stakeholders and departmental/firm subject matter experts so as to effectively understand firm and departmental standards, polices and regional regulatory requirements
- Execute the Risk & Control Self Assessment (RCSA) program in accordance with the Corporate Operational Risk Standards. Monitor the continual maintenance and annual substantiation cycle which includes identifying processes and activities, rating risks, documenting rating rationale, documenting controls, drafting control steps and substantiating controls through standard testing methodologies
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