Global Financial Crimes Compliance Resume Sample
Dayna Mertz
462 Gerlach Village,
Houston,
TX
+1 (555) 623 2589
Work Experience
Global Financial Crimes Compliance Specialist
07/2016
-
PRESENT
Phoenix, AZ
- Manage client due diligence visits with regard to our TA AML service and also to participate in visits to third party TA’s who provide services to JPMC entities
- Reviewing potential reputational or transactional risks to the firm and escalating them to the LOBs and/or Compliance
- Perform review of wire transfers, trade finance transactions and investment banking transactions and perform necessary research to determine true sanctions matches
- Working in partnership with all LOBs, country Money Laundering Reporting Officers (MLROs) and regional GFCC Investigations teams
- Participating and leading initiatives on behalf of Compliance and the Singapore Corporate Centre
- Perform research on transactions stopped on the firm’s sanctions screening systems to establish if any true matches to sanctioned entities
- Effectively partner with content contributors to ensure clarity, accuracy and consistency of content delivered across multiple reports or routines. Expectation is to not only facilitate assembly of the work product, but also to partner with subject matter experts (SMEs) to improve content and to drive consistency and accuracy of content delivered across multiple reports
- Execute detailed planning and proactive communications regarding production and approval cycles with executives, SMEs and other content contributors to meet critical deadlines
Global Financial Crimes Compliance
11/2011
-
05/2016
Boston, MA
- Effectively partner with GFCC leadership to ensure timely review and approval of content to meet execution deadlines
- Evaluate governance structure and coordinate governance activities across GFCC Compliance in accordance with Global Compliance Governance and Reporting Standard Operating Procedures
- Manage tracking and archiving of GFCC reporting and governance content and timely retrieval for auditors, regulators and other stakeholder requests
- Experience interpreting compliance requirements in cross functional teams as a project manager or coordinator. Comfortable defining and mapping controls to legal requirements
- Develop reporting that highlights risks in processes and key risk indicators that are forward looking
- Facilitate, as needed, in the project management of GFC initiatives
- Assist in further developing certain aspects of the Firm’s Global KYC program, including but not limited to managing the maintenance of the Global KYC Standards Appendices and Global KYC Standards Guidance, advising the business in connection with new developments, administering corporate wide compliance policies and interfacing with counterparts in legal, audit and risk
- Compiling and analyzing large data sets to identify trends and patterns of activity
Global Financial Crimes Compliance Analyst
03/2008
-
06/2011
Houston, TX
- Leverage data to investigate matters related to Financial Crimes
- Undertake detailed research
- Proficiency in SAS/SQL
- Analyze and resolve alerts generated through the company's various economic sanctions / OFAC filtering applications
- Create and manage virtual files related to investigations in the case management system and follow-up with relevant parties to ensure completion of cases within required timeframes
- Conduct targeted economic sanctions / OFAC related reviews of client accounts or other activity for evidence of possible violations
- Undertake detailed research of customer and other data from internal and external sources to make informed decisions regarding proper disposition of cases
- Provide support and economic sanctions / OFAC guidance to other business areas referring potential OFAC matches
- Report and analyze metrics related to the CB AML and Sanctions program
Education
Spalding University
2002 - 2007
Bachelor's Degree in Business
Professional Skills
- Excellent organizational skills and proven analytical, planning, problem solving, and decision-making skills
- Effective analytical and problem solving ability, along with excellent decision making and organizational skills are essential
- Strong written and verbal communication skills, including proficiency in concisely summarizing complex topics
- Possesses strong problem solving skills with the ability to process large volume of transaction level data
- Strong organizational skills to manage significant case load within short time-frames for completion of cases
- Prior experience with Law Enforcement and/or Financial Crimes matters
- Some basic knowledge of US OFAC and Asia sanctions requirements with experience in sanctions review as a strong advantage
How to write Global Financial Crimes Compliance Resume
Global Financial Crimes Compliance role is responsible for database, finance, securities, training, analysis, reporting, design, research, assembly, events.
To write great resume for global financial crimes compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Global Financial Crimes Compliance Resume
The section contact information is important in your global financial crimes 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 Global Financial Crimes Compliance Resume
The section work experience is an essential part of your global financial crimes 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 global financial crimes 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 global financial crimes compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Global Financial Crimes Compliance resume experience can include:
- Intermediate to advanced programming skills in SAS, SQL, or R
- Supporting the client on-boarding functions, acting as an escalation point for sanctions issues
- Ensuring relevant registers are maintained and kept up to date
- Assisting with the production of AML/CTF regulatory reports for Senior Management and the Board of Directors
- Following-up and escalate past due items
- Working knowledge of AML, BSA, USA Patriot Act, and OFAC regulatory requirements
Education on a Global Financial Crimes Compliance Resume
Make sure to make education a priority on your global financial crimes compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your global financial crimes 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 Global Financial Crimes Compliance Resume
When listing skills on your global financial crimes 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 global financial crimes compliance skills:
- Strong interpersonal, written and verbal communication skills having the ability to present to senior levels in the organization
- Support multiple projects and effectively prioritize
- Strong project management skills, includes interaction with senior levels of management, ability to produce quality results in a tight timeframe
- An outstanding ability to communicate effectively and confidently (both oral and written)
- Provide advice and consult with LOBs to ensure U.S. and non-U.S. Sanctions standards and policies are effectively implemented in the region
- Past experience managing a AML program within a challenging environment of regulatory change
List of Typical Experience For a Global Financial Crimes Compliance Resume
1
Experience For Global Financial Crimes Compliance Specialist Resume
- Manage and oversee the BAU KYC execution processes, including providing implementation oversight of KYC policy requirements, change management, and LOB adherence to KYC requirements
- Coordinate closely with the Head of KYC Policy on top KYC priorities, policy changes, regulatory interactions, and reporting to senior management of the firm on our KYC Program (strategic initiatives and BAU)
- Work with stakeholders (Risk Management, Financial Crimes Investigations, Data Discovery Assessment & ReportingTechnology, Enterprise Risk Analytics, etc.) to identify Anti-money laundering (AML) risks/typologies, data availability, and suspicious transaction detection strategies
- Contributing to development and deployment of relevant Sanctions training and delivery of focused face to face sessions where required
- Assess, enhance, and improve AML transaction monitoring capabilities and performance
- Use independent judgment to assess feasibility, limitations, assumptions, and risks for transaction monitoring solutions
2
Experience For Commercial Banking Global Financial Crimes Compliance Associate Resume
- Conduct quantitative analysis and develop proof of concepts for transaction monitoring solutions/strategies to assess impacts, risks, and benefits
- When necessary, design and conduct in-person AML training
- Highly analytical thinking
- Write clear and concise business and technology requirements documents
- Conducts research and accumulates documents in support of regulatoy/audit requests
3
Experience For Global Financial Crimes Compliance Associate Resume
- Advanced knowledge of quantitative methods, technology, data, and operational platforms
- Interact with a diverse group of stakeholders with different backgrounds
- Present complex and/or ambiguous information to stakeholders and senior leadership in a clear and concise manner
- Create and present high quality presentations and governance documents
- Understand complex processes, identify weaknesses/limitations, and develop solutions
- Exercise independent judgment, formulate sound conclusions, and take action
- Perform and establish holistic sanctions reviews / risk assessments of larger group clients
4
Experience For Global Financial Crimes Compliance, Sanctions Resume
- Assist in implementing OFAC/Sanctions initiatives including quality assurance, policy reviews and advising on establishing relevant procedures within the businesses
- Regular liaison with relevant stakeholders in LOB Compliance, the business, risk management and legal functions
- Participate in the local financial crimes risk assessments
- Continually proactively assess current procedures and work practices to identify potential operational inefficiencies and additional risk mitigation control requirements
- Engage and work collaboratively with JPMorgan internal control functions
- Client Risk Assessment and Risk Mitigation
- Support the business in reviewing, analyzing and performing risk assessments on CB high risk client types such as Money Services Businesses ("MSBs"), PEPs, Casinos and Third Party Payment Processors
5
Experience For Global Financial Crimes Compliance Analyst Resume
- Research, analyze and determine risk mitigation steps for clients that present AML and/or reputation risk
- Interface with CB bankers, relationship managers and KYC Officers to obtain explanations related to client negative media and/or suspicious transactional activity
- Participate in high risk client reviews, new product reviews, PEP and negative media analysis
- Know Your Customer Advisory
- Ensure Know Your Customer documentation is complete and current
- Provide advice to the business on all aspects of U.S. KYC requirements, including beneficial ownership and CIP requirements, JPMC Standards, and regulatory requirements
6
Experience For Global Financial Crimes Compliance Business Management Associate Resume
- AML/BSA Projects and Committees
- Assist the CB GFCC team with various AML/BSA projects for the LOB
- Participate in Corporate GFCC projects, as a representative for CB GFCC
- Prepare reports for CB GFCC management on projects and initiatives
- Familiarity with AML and BSA requirements for higher risk customer types such as MSBs, FX companies, Casinos, and Third Party Payment Processors
- Work independently on multiple assignments and meet deadlines in a fast paced environment
- Proficient with Excel, PowerPoint and Access
7
Experience For Global Financial Crimes Compliance KYC Specialist Resume
- In conjunction with the regional AML Investigations unit, undertake suspicious activity analysis and reporting, where appropriate making filing with the appropriate local authorities
- Assist in the co-ordination of Exam Management/Regulator Liaison – managing examinations, reviews and audits which encompass facets of Financial Crimes Compliance
- Participate in client due diligence visits with regard to our Transfer Agent business
- Manage and address enquiries from regulators and clients in both Luxembourg and in relation to JPMBLs European branches as necessary
- Participate in projects as appropriate
8
Experience For Global Financial Crimes Compliance Manager Resume
- Participate in the financial crimes risk assessments
- Act as a primary point of contact for both internal and external financial intelligence units and to maintain co-operative relationships with them
- Produce AML regulatory reports as required
- Identifies and acquires customer and transaction information across multiple platforms/systems
- Review, analyze, and escalate, when appropriate, AML-related issues that arise in client relationships, including researching negative media alerts, SEC and other regulatory settlements, and client transactional issues, as well as client reputational issues such as OFAC, anti-bribery and corruption, etc
- Analyze SAR filings, new AML regulations, settlement information, news, and other relevant information for trends or other potential impacts to the Firm’s policies and procedures
9
Experience For Compliance Global Financial Crimes Compliance Associate Resume
- Establish and develop relationships with stakeholders in the relevant sub-LOBs to ensure compliance with applicable AML laws, policies and procedures
- Review and revise policies and procedures applicable to AML Compliance for the relevant sub-LOBs
- Work on the relevant portions of the CIB annual risk assessment and on miscellaneous special projects
- Represent GFCC on internal committees and projects
- A good knowledge of Luxembourg and European AML/KYC, sanctions regulations and international standards is required. Proven experience of Luxembourg, Irish, UK and Channel Islands and US financial crimes regimes would be especially desirable
10
Experience For Senior Global Financial Crimes Compliance Manager Resume
- Experience and knowledge of any or all of Corporate & Investment Banking, Investment Services (including Transfer Agency), Treasury Services (including Payments Processing) and Private Banking/Wealth Management products and businesses would be an advantage
- Superior comprehension skills and attention to detail are critical
- Good knowledge of technology solutions used to support financial crime
- Practical approach to the application of law and regulation
List of Typical Skills For a Global Financial Crimes Compliance Resume
1
Skills For Global Financial Crimes Compliance Specialist Resume
- Strong interpersonal skills – and ability to achieve goals without direct control over resources
- Strong research, analytical ability, logical thinking and comprehension skills, with ability to analyze and summarize data
- Effectively collaborates with GFCC team members globally, GFC Legal and Advisory
- Strong speaking and writing abilities in English and Japanese
- Manage efficiently conflicting priorities
- Bank of America Data Experience
- Drive execution of the Firm’s GFCC highest priorities and top strategic initiatives
- OFAC/Sanctions experience gained with Banking / Securities Institution or Big 4 Firm or Regulator
- Demonstrable experience in AML/CTF in a financial services environment
2
Skills For Commercial Banking Global Financial Crimes Compliance Associate Resume
- 3 – 5 years of investigations or related experience
- Present information in a concise and effective manner to management
- Professional experience in AML/Sanctions Compliance or equivalent Financial Crime expertise in a Control Function
- Understanding of (or demonstrable aptitude for) financial services and products
- Understanding of (or demonstrable aptitude for) financial services and products,
- Maintain and manage the Risk Scoring Utility and the Periodic Review reporting suite including
- Provide educational training on financial crimes related subjects to locally based staff and assist in building a general climate of financial crimes awareness
3
Skills For Global Financial Crimes Compliance Associate Resume
- Provide input to the local annual Compliance Monitoring Program and ensure completion of agreed monitoring obligations
- Certification in a professional association such as Certified Anti-Money Laundering Specialists (CAMS) or Certified Fraud Examiner (CFE)
- Knowledge of banking and financial products
- Perform research on prospective and existing clients as well as related parties to identify and analyze a sanctions nexus
- Understand and assess how the identified sanctions nexus is ring-fenced from the client’s activities conducted with / through JPMorgan
4
Skills For Global Financial Crimes Compliance, Sanctions Resume
- Work with the Asia Regional Sanctions Officer in reviewing trade and investment bank transactions for potential sanctions issues
- Work with the Asia Regional Sanctions Officer in performing the necessary research and query to determine the sanctions requirements in Asia and US/ EMEA/Latam
- Represent CB GFCC at various Compliance and Business owned working groups and committees
- Conducts data research to uncover patterns and trends within money laundering activities in customer and transaction data
- Establishes collaborative working relationships with GFCC team members
- Participates in assigned GFCC Investigations working groups
5
Skills For Global Financial Crimes Compliance Analyst Resume
- One or more years of knowledge of SAS
- Work and make difficult decisions independently
- Detail-oriented to accurate execution of work
- Multi-task in a fast-paced environment and under high pressure
- Knowledge of wire payment / funds transfer systems
- Proficient in Microsoft Office applications (i.e. Word, Excel, PowerPoint, Project, Access and Visio)
6
Skills For Global Financial Crimes Compliance Business Management Associate Resume
- Work in a fast paced environment with multiple deliverables
- Well versed in Know Your Customer (KYC) compliance requirements, USA PATRIOT Act, Bank Secrecy Act, and/or AML regulations, as well as AML risks posed by the bank’s businesses and product offerings
- Basic knowledge of Know Your Customer (KYC) , USA PATRIOT Act, Bank Secrecy Act, and/or AML regulations, as well as AML risks posed by the bank’s businesses and product offerings
- AML/BSA/KYC Compliance experience that includes KYC policy writing; well-versed in KYC compliance requirements and a strong background in compliance, risk, and control issues in connection with financial institutions
- In-depth knowledge and understanding of AML compliance practices and policies, including firm wide policy management and implementation
- Diverse problem solving / strategic initiative / project management
- Detailed, well organized, self-starter and capable of working under minimal supervision
- Make sound decisions, including escalation when appropriate, in regard of AML or sanction risk
- In-depth understanding of BSA, AML, OFAC and other AML regulatory policies
7
Skills For Global Financial Crimes Compliance KYC Specialist Resume
- Subject matter expert on AML - KYC issues and focus on critical issues
- Familiarity with AML/CFT requirements in Asia
- Previous success in complex analysis and investigations in a proactive manner
- Further develop certain aspects of the Firm’s KYC program, developing new policies and procedures, advising the business in connection with new developments, administering corporate wide compliance policies and interfacing with counterparts in legal, audit and risk
- Inspect that commitments made regarding actions in response to Matters Requiring Attention (“MRAs”) and other actions are completed
- Assist in developing AML transaction monitoring strategies
8
Skills For Global Financial Crimes Compliance Manager Resume
- Identify compliance training needs and inspect Front Line Unit (“FLU”), Control Function (“CF”) and third party participation for Financial Crimes
- Manage and oversee the Firm’s KYC requirements pertaining to country-specific KYC requirements that exceed the Firm’s Global program
- Interface with CB Compliance Practices team to provide reporting and metrics for CB GFCC specific responsibilities and events
- Collaborate with CB Exam Management to support the business through regulator exams, GFCC testing, and internal audits
- Update relevant policies to ensure they reflect regulatory requirements for Financial Crimes
9
Skills For Compliance Global Financial Crimes Compliance Associate Resume
- SharePoint Information Owner for the KYC team SharePoint sites, includes site development, maintenance and administrative activities
- Create presentations that provide CB GFCC Program updates to various line of business and Compliance forums
- Review and update CB GFCC Policies and Procedures
- Manage timely updates and reviews of the CB GFCC Inquiry Database
- Provide CB GFCC input into the Annual Compliance Plan and RCSA process and framework
- Interface with bankers, relationship managers, the AML Escalation Control team, and Business Operations Executives providing guidance and obtaining explanations related to higher risk clients, negative media and/or suspicious transaction activity
- Assist with various AML/OFAC projects for the LOB
10
Skills For Senior Global Financial Crimes Compliance Manager Resume
- Participate in development of new and enhanced compliance control processes in response to regulatory changes, audits, and examinations
- Stay abreast of industry and regulatory trends and keep business and Compliance colleagues informed
- Knowledge of financial crimes and/or sanctions regulatory requirements
- Work well in a team environment and perform under pressure
- Drive execution of the firm’s KYC strategic initiatives, partnering with the first line of defense, legal, audit, technology, and key stakeholders across Compliance
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