Intermediate Compliance Analyst Resume Sample
Jonathon Kunde
5310 Rice Avenue,
Los Angeles,
CA
+1 (555) 703 1721
Work Experience
Intermediate Compliance Analyst
09/2017
-
PRESENT
Houston, TX
- Monitor progress of standardized testing and risk assessments, quality reviews; track exceptions and gaps
- Follow up with Citi’s relationship owners to ensure critical and high risks are appropriately and directly mitigated
- Coordinate and (as needed) participate on internal/external testing efforts: including but not limited to, coordination of business resources, test schedules, execution, results tracking and follow-up
- Prepare testing and quality review schedules
- Liaises with multiple operations teams. Serves as analytical and/or procedural expert, representing Global KYC on cross function operational processes, project deliverables
- Supports KYC Entitlements functions, investigates entitlements conflicts as they arise, monitor progress with GIDA on successful completion of Market Place requests
- Job experience in oversight, risk and relationship management
- Experience in Business Continuity, Disaster Recovery, Business Resiliency, and/or Operational Risk, preferably within a Business and Technology Risk Management environment
- Familiarity with the emerging regulatory environment as it relates to risk management
Intermediate Compliance Analyst Sanctions Control & Implementation
04/2014
-
04/2017
Boston, MA
- Evaluates moderately complex and variable operations issues that have substantial potential impact, and recommends changes to streamline processes as required. Assumes informal/formal leadership role within the operations teams, and is involved in coaching and training of new recruits
- Working knowledge of SharePoint – Data manipulation,
- Working knowledge of Marketplace and associated templates
- Working Knowledge on basic AML regulations and Data Privacy concepts
- Basic knowledge on software installation requirements
- Basic knowledge on Network Mapping and Shared Drive functionalities
- Performing/reviewing enhanced due diligence results for more complex and higher risk cases. This includes conducting various searches (when necessary), reviewing customer and account information and analyzing compiled data to determine if the client poses a risk to Citi
- Escalating certain risk elements to management for review
Intermediate Compliance Analyst Giu Investigative Analyst
10/2011
-
01/2014
San Francisco, CA
- Interacting with lines of business, other analysts and management daily regarding KYC Profiles currently under review
- Risk management and/or
- Know your customer reviews/Enhanced Due Diligence for high risk accounts and/or
- Financial crime investigations
- Assist with monitoring the firm’s compliance with its AML program
- Develop and enhance controls around the submission and maintenance of the Account Closeout Process
- Communicate with investigators and supervisors for corrections, updates, and approvals of SARs and supporting
- Perform feedback loop with various internal and external entities
- One-Two years’ experience in reviewing customer transactions for potentially suspicious activity and performing AML related investigations
Education
Southern Adventist University
2006 - 2011
Bachelor's Degree in Business
Professional Skills
- Excellent written and verbal communication skills as well as human relations skills
- Investigatory experience and skills to assist with undertaking KYC, Customer Due Diligence (CDD) reviews and/or account activity reviews
- Technical skills such as moderate experience with Excel and other MS Office products
- Exceptional analytical, interpretative, organizational and negotiation skills
- Demonstrated effectiveness process management – in particular target setting, prioritization and operational effectiveness
- Prior Securities Surveillance experience
- Up to 2 years relevant work experience in the mutual fund or securities industry or a strong desire to learn mutual fund compliance
How to write Intermediate Compliance Analyst Resume
Intermediate Compliance Analyst role is responsible for research, software, retail, finance, credit, securities, training, integration, equities, reporting.
To write great resume for intermediate compliance analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Intermediate Compliance Analyst Resume
The section contact information is important in your intermediate compliance analyst 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 Intermediate Compliance Analyst Resume
The section work experience is an essential part of your intermediate compliance analyst 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 intermediate compliance analyst responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular intermediate compliance analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Intermediate Compliance Analyst resume experience can include:
- Ensuring strong collaboration and communication with wider surveillance colleagues on integration of surveillance processes
- Demonstrate an in-depth understanding of the Foreign Correspondent Banking business, particularly the AML risks involved
- Experience in reviewing and approving Know-Your- Customer files for complex business products
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
- Experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or financial investigations
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
Education on an Intermediate Compliance Analyst Resume
Make sure to make education a priority on your intermediate compliance analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your intermediate compliance analyst 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 Intermediate Compliance Analyst Resume
When listing skills on your intermediate compliance analyst 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 intermediate compliance analyst skills:
- Excellent judgment, assessment and communication skills
- Effectively applies fundamental concepts; makes recommendations for changes to procedures and performs varied work, requiring originality or ingenuity
- Technical skills such as knowledge of MS office products
- Two years experience in reviewing customer transactions for potentially suspicious activity and performing AML related investigations
- Works with GIU managers to appropriately prioritize case handling
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
List of Typical Experience For an Intermediate Compliance Analyst Resume
1
Experience For Intermediate Compliance Analyst Sanctions Control & Implementation Resume
- Conducting more complex enhanced due diligence investigations in support of policies and procedures
- Conduct more complex alert investigations using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements
- Create summaries of the legislation and recommendation for course of action for various departments affected by changes in legislation
- The Analyst is responsible for identifying any potential risks for the firm that would then be escalated to a designated supervisor to action. The analysis process does not include any direct communication with employees or management
- The role consists of intensive review of daily electronic communications.
- Analyzing more complex alerts and investigating customers who match with SDN, Politically Exposed Persons and Negative Media lists during the account opening and maintenance processes
- Provide support for the Global Financial Intelligence Unit’s (FIU) Enhanced Manager’s Control Assessment (MCA) Program
- Experience in AML Compliance, preferably related to performing enhanced due diligence reviews of high risk clients, reviews of client transactions and/or AML investigations
2
Experience For MYS Ctsm Kl-intermediate Compliance Analyst Resume
- Assists Management with day-to day function of the department
- Communicate potential impacts to stakeholders
- Assist with the oversight of sub-advisers by reviewing daily post trade exception reports, quarterly reporting materials, other testing reports, and other information utilized in order to confirm each sub-adviser’s and service provider’s compliance with applicable securities laws, prospectus requirements, and firm policies
- Conducts weekly reviews of case progression lists to ensure GIU goals and standards are being met and updates management on progression metrics
- Assist with BAU training and communications related to OneKYC goals and organizational alignment; and ensure messages are consistent and aligned closely with the Program’s objectives
- Provide guidance and support to Sales and Marketing in creation of state mandated product training
- Analyze and interpret existing and proposed insurance and securities laws, regulations and bulletins to determine potential impact
3
Experience For Intermediate Compliance Analyst Giu Investigative Analyst Resume
- Prepare company responses to state insurance departments and regulators including but not limited to insurance department complaints, inquiries, and allegations of agent misconduct and sales practices
- Effectively applies fundamental concepts; works on assignments of moderate scope and complexity, with limited oversight; makes recommendations for changes to procedures and performs varied work, requiring originality or ingenuity
- Document and report the investigation findings and prepare case files with required supporting documentation (e.g. media search, copies of statements/checks, result from internal system searches etc.)
- Collect and exam financial statements and documents to assist in identifying unusual transaction patterns
- Write and prepare Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements and/or performing AML or financial investigations
- Document and review the account closure recommendation and prepare case files with the required supporting documentation (e.g. media search results, responses from the business, results from internal system searches etc.)
- Review new Outside Business Activities and document checks that have been conducted prior to presenting the case for approval/denial to CCO
4
Experience For Intermediate Compliance Analyst Trp Aml Adivsory Resume
- Scanning and uploading of all statements into Citi’s Employee Trading Due Diligence system
- Reviewing employees statements monthly
- Conducting a quarterly reconciliation process to identify statements which have not been received
- Sending Policy reminders to employees who violate Citi’s policies
- Conduct Markets and Prudential monitoring and surveillance in the event of absence of the Markets Monitoring and Surveillance AVP
- Provide training to employees; and
- Assist in the development, maintenance and implementation of policies and procedures. Key contact responsible for maintaining policy and procedure manuals
5
Experience For Intermediate Compliance Analyst Fiu Aml Investigations Resume
- Prepare compliance training content for agents/representatives
- Conduct training for agents/representatives
- Conduct research on the available Bank systems, the Internet and Commercial Databases consistent with the resolution of the Post Investigation case review
- Review Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required
- Conduct annual attestation program
- Escalate issues that arise to Chief Compliance Officer ("CCO")
- Prepare (weekly/monthly/quarterly) reports that are required by regulatory authorities and the CCO
6
Experience For Intermediate Compliance Analyst Resume
- Collaborate with compliance counterparts to ensure where possible there is a consistent approach in Canada and attend different internal governance forums
- Retrieve deliverables required for examinations by Regulators and the Internal Audit
- Key liaison for regulatory audits – preparation and coordination of audit requirements (i.e. reports), management of audit responses/action plan, maintenance of all audit items. Revision of policies and procedures on required amendments and enhancements
- Provide recommendations for the enhancement/clarification of compliance policies, procedures
- Develop and distribute compliance bulletins/communications to field agents/reps and internal departments
7
Experience For Intermediate Compliance Analyst Sanctions Control & Implementation Resume
- Handle assigned compliance projects; align with business needs and in accordance with regulatory developments
- Back-up Daily Compliance team responsible for daily tier 2 transaction supervision, leverage loan review and approval, letter of indemnity review and processing, trend reporting and analysis
- Two years industry/regulatory/securities experience in legal, contract development, claims, underwriting legal research and communications
- Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC)
- Identify and work with the appropriate contacts maintaining an innovative and open-minded approach to plan resolutions for improvements
- Follow the legislation/regulation through to see it is implemented, providing research and guidance, as needed
- Participate in implementing new compliance programs and enterprise-wide initiatives
- Proficiency with various research systems including but not limited to LexisNexis, World Compliance, Factiva, etc
- Proficient with Microsoft Office Suite and Adobe
8
Experience For MYS Ctsm Kl-intermediate Compliance Analyst Resume
- Identify the Monthly Global Client Population required for production in accordance with the scope and requirements, and assist with delivering formally to all regions. Perform monthly analysis to verify the accuracy of the list, renewal dates in CitiKYC, and FCB flags in CitiKYC
- Develop and maintain end-to-end metrics showing the record renewal lifecycle, whilst identifying and escalating any trends causing delays. Examples include reasons for record rejection, areas of disconnect between business and compliance, escalation mismanagement, and duplication of efforts
- Liaise with technology, KYC Owners, and the Business Support Unit (BSU) on client records which have identified issues (i.e., tech issues, renewal date shifts, etc.) helping ensure the client population selection is accurately identified, especially in instances that the business has more up-to-date information not yet reflected in CitiKYC
- Frequently collaborate with regional teams and SMEs to gather feedback on all initiatives, ensuring overall consistency in the process and procedures is in place, as well as for any implementation of new processes or changes to the program
- Develop presentations and walkthroughs to audit, regulators, and internal groups where necessary demonstrating an in-depth understanding of the KYC Maintenance Program through a well-versed demeanor
- Track and communicate new accounts, as well as account closures where applicable
- Lead or participate in the development, implementation and/or maintenance of processes and procedures to ensure compliance with current regulatory guidance and Citi policy and achieve a “best in class” performance
- Lead or participate in hiring, training, mentoring and assessment processes
- Lead or participate in the development, testing, training, and implementation of new or enhanced procedures
9
Experience For Intermediate Compliance Analyst Giu Investigative Analyst Resume
- Provide innovative, relevant, and substantial input on project-level initiatives in consideration of all regions in the Global KYC Maintenance Program
- Work with limited/unfamiliar resources (i.e., transactional data sources, individuals in other regions, etc.) while balancing regulatory commitments specifically around working with new client types, jurisdictions, and products
- Provide timely, concise updates to management with the ability to organize updates by priority level focusing on the urgency of risks/roadblocks and milestones/deliverables
- Manage/coordinate compliance projects, including corrective actions
- Develop & maintain metrics on the use & execution of SWIFT KYC platform by the Due Diligence Analyst team in EMEA
10
Experience For Intermediate Compliance Analyst Trp Aml Adivsory Resume
- Extensive years of AML Compliance experience required preferably related to performing Due Diligence reviews of high-risk client types and/or business related KYC experience
- Analyze new/revised legislation/regulation, create summaries and provide a recommended course of action for the Company
- Conduct research to address company questions or needs
- Analyze new/revised laws/regulations to determine potential impact on the Company’s products and processes
- Summarize the legislation or other regulatory guidance and identify a recommended course of action for the various departments affected
- Manage or participate in corrective actions and other compliance projects to assure timely completion
- Understand applicable policies, procedures and regulations required
List of Typical Skills For an Intermediate Compliance Analyst Resume
1
Skills For Intermediate Compliance Analyst Sanctions Control & Implementation Resume
- Strong interpersonal skills; Develops strong and productive work relationships with others: peers, management, etc
- Two years of regulatory, securities, or advertising compliance experience
- Knowledge of concepts and technical experience in reviewing website server logs, application logs and non-repudiation logs
- Work experience in Compliance-related functions within, but not limited to, the following areas
- Experience in an Advisor facing compliance or related role
- AML Compliance experience, preferably related to performing enhanced due diligence reviews of high-risk account types
- Strong knowledge of FX, Credit, Rates or Commodities trade lifecycles/trade flows preferable
2
Skills For MYS Ctsm Kl-intermediate Compliance Analyst Resume
- Analyze the change requests to help Management determine level of priority to be assigned
- Pulling data for Surveillance related regulatory inquiries
- Assist in managing internal and regulatory inquiries and investigations involving representatives
- Assist in reviewing and responding to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels
- Assist management in identifying potential risks and in identifying ways to review and report those risks
- Proficiency with using various research systems including but not limited to LexisNexis, World Compliance, etc
3
Skills For Intermediate Compliance Analyst Giu Investigative Analyst Resume
- Knowledgeable of the local/regional laws applicable to money laundering such as along with Suspicious Activity Reporting requirements
- The Analyst reviews employee communications including email, instant messaging and chat room activity
- Provide Management Information and key risk indicators in relation to the Employee Trading Program/Outside Business Trading program
- Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements
- Assist in compiling information for Regulatory filings such as the Form BD and Form ADV
- Assist in periodic testing to ensure compliance with applicable regulations
- Analyze and interpret existing and proposed insurance and securities laws, regulations and bulletins to determine potential risk to the firm
4
Skills For Intermediate Compliance Analyst Trp Aml Adivsory Resume
- Assist management in creation and updating of Surveillance procedures
- Assist in developing ways to automate current Surveillance reviews to reduce manual work and allow more Surveillance reports to be worked
- Review trades for improper processing or potential trends of misconduct
- Work with Supervision and management in resolving potential concerns reported
- Where required, review CPB Marketing material in the absence of the CPB BCO
- Review current policies and procedures; identify and help to implement new and/or enhanced practices
- Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization
- Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments
- Compile information for completion of reporting, including reports for management and state/federal regulators. Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement
5
Skills For Intermediate Compliance Analyst Fiu Aml Investigations Resume
- Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training
- Update and maintaining complete and accurate policies, procedures, compliance logs or files
- Assist team members with research and assigned tasks, and provide training to supported teams
- Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms)
- Research and analyze reports, referrals and alerts for potential AML or fraud and determine whether to open or close a case. Conduct simple and more involved external and intermediary fraud and financial crimes investigations with direction from senior level staff
- Coordinate annual reports and/or training for filing
6
Skills For Intermediate Compliance Analyst Resume
- Assist in responding to regulatory inquiries with direction from senior levels
- File and maintain FINRA securities registrations and coordinate notification of FINRA continuing education
- Work with Operations to provide guidance on Sanctions program
- Provide AML, Sanctions and fraud compliance oversight as needed to ensure activities/transactions are consistently handled and/or referred
- Provide input on department processes and procedures; work with senior levels to implement changes
7
Skills For Intermediate Compliance Analyst Sanctions Control & Implementation Resume
- Assist in more complex fraud and financial crimes investigations with other senior levels
- Foster a culture of compliance to help prevent, detect and reduce company risk with respect to financial crimes
- Work closely with CCO in management and coordination of applicable securities industry compliance program
- Foster a culture of compliance to help prevent, detect, and correct violations of securities rules and regulations
- Provide assistance to support and educate business partners, representatives and supervisors
- Review and analyze trade data for representatives for potential risks or patterns of potential misconduct
8
Skills For MYS Ctsm Kl-intermediate Compliance Analyst Resume
- Prepare reports for Supervision and management that summarize trade data concerns or representative business analysis and any trends identified
- Projects in addition to regular assignments to be determined by management of moderate scope and complexity, with limited oversight
- Conduct focused reviews of Foreign Correspondent Banking clients (FCBs, MSBs, Central Banks, Development Banks, etc.) based on unusual activity, high-risk geography, referrals, etc
- Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations and comply with procedures and documentation requirements
- Interface with responsible global Relationship Managers (RM) to understand standard business practices in local jurisdictions, possible areas of concern and resolution of potentially suspicious matters
- Document and report the review findings, ensure RM awareness of conclusions and prepare reports of findings for Compliance and Business management
- Responsible for communicating with internal and external entities to include senior managers, members of the sales team and other Citigroup AML monitoring units to ensure findings are incorporated in all aspects of the ICG AML control program
- Ensure that research assignments are completed within the specified review period
- Provide subject matter expertise on research results as well as applications and tools used to support the investigative process
9
Skills For Intermediate Compliance Analyst Giu Investigative Analyst Resume
- Excellent work ethic (respectful, honest, considerate, self motivated, can reliably work independently, works well under pressure, readily adapts to changing work priorities, is accountable)
- AML monitoring experience required
- Knowledge of contract law and company operations
- Desired: AML Certification, or equivalent
- Experience in AML Compliance, preferably related to performing enhanced due diligence reviews of high risk clients, reviews of client transactions and/or AML investigations
10
Skills For Intermediate Compliance Analyst Trp Aml Adivsory Resume
- Experience in AML Compliance, preferably related to performing enhanced due diligence reviews of high risk clients, reviews of client transactions and/or AML investigations
- Experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements is required
- Experience in Anti-Money Laundering/Compliance, Project Management
- Excellent written and oral formats, including presentations
- Proven ability to collaborate and work within a team
- Demonstrates initiative, creativity, and teamwork within the framework of the position responsibilities
List of Typical Responsibilities For an Intermediate Compliance Analyst Resume
1
Responsibilities For Intermediate Compliance Analyst Sanctions Control & Implementation Resume
- Exposure to audiences ranging from Senior Managers, Regulators, Auditors to Analysts as evidenced by the ability to concisely and meaningfully explain and support research conclusions, both in written and verbal formats
- Effective project manager and highly proficient at multitasking
- Three years of experience in the financial industry
- Communicate with management, and be able to work under pressure
- Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable) or willing to obtain the licensing
- Be able to take on more than 1 task at a time
- Product knowledge involving mutual funds, variable annuities, equities and bonds, unit investment trusts, variable universal life policies and other securities products
2
Responsibilities For MYS Ctsm Kl-intermediate Compliance Analyst Resume
- Work independently and meet required deadlines and ability to work as a team
- AML Certification desired
- Review exception reports
- Series 65 or 66 and 24
- Able to multitask and complete projects and assignments in a fast-paced, time-sensitive environment
- Knowledge of the laws and regulations applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC requirements, FinCEN requirements, and Suspicious Activity Report (SAR) requirements
- Support any documented requirement end-to-end from requirements elicitation to production support, including, as needed, teaching Technology and Business Partners Assist with BAU training and communications related to OneKYC goals and organizational alignment; and ensure messages are consistent and aligned closely with the Program’s objectives
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