Monitoring Officer Resume Sample
Callie Leuschke
1185 Hollis Expressway,
Houston,
TX
+1 (555) 603 9914
Work Experience
Asset Management Compliance Compliance Monitoring Officer Associate
01/2018
-
PRESENT
Philadelphia, PA
- Assist with the development, scoping and prioritization of the Bank’s compliance monitoring calendar
- Complete an average of 4 – 5 regulatory compliance reviews quarterly as assigned by the Compliance Monitoring Manager
- Reviews departmental compliance and operational processes and recommends enhancements to mitigate compliance risk and ensure the Bank’s compliance with applicable state and federal regulations, laws and policies
- Meets with department managers to discuss and provide recommendations for corrective action for compliance monitoring findings
- Supports the UNICEF Supply Strategy on Monitoring, particularly concerning the leveraging of experiences in support of UNICEF’s government partners engaged in strengthening their use of data in their supply chains, while also supporting performance measurements, data availability, visibility and monitoring of the UNICEF supply chain
- Supports the awareness on, advocacy for and communication of the work on supply chain Data for Management by developing communication materials and by deriving and/or generating and maintaining updated reportable data to help communicate internally and externally to governments and partners on progress, including country study cases
- Helps coordinate global initiatives to ensure the use of supply chain data in countries is included and/or considered in global assessment tools, electronic tools, and other demand and standard creating initiatives
Compliance Monitoring Officer
11/2011
-
12/2017
Boston, MA
- Highly motivated, self sufficient, and with a strong willingness to learn and take on new challenges.
- Advise Cazenove Capital Management’s businesses on regulatory requirements, best practice and the implementation thereof,
- Risk assessments – periodically review and update WM compliance risk assessments, which form the basis of its compliance monitoring programme. Liaise with heads of Compliance in other WM jurisdictions’ to ensure timely completion and updating of risk assessments for their jurisdictions
- Undertake quality assurance for the team’s work within own area of expertise and provide feedback to the team
- Support line manager and team members (training/coaching) as required
- Provide admin support as required
- Comply with regulatory requirements where applicable
Junior Compliance Monitoring Officer
06/2007
-
07/2011
Phoenix, AZ
- Supports the development and maintenance of the documentation on and organization of guidance and training materials in a central repository, and manages an online community platform and discussion forum
- Sub-national data initiatives for children: Sub-national dialogues take place in Kachin and in other states and regions, and generate increased access to geographically disaggregated data on children, ensuring that all children are counted and information feeds into state/regional level planning and sub-national social sector planning processes
- Situation Monitoring and Data Analysis: Timely monitoring, analysis and measurement of changes in conditions are conducted, in Kachin as well as in other states / regions, with the participation of relevant partners to facilitate national/sub-national planning, and assess the impact of the programmes and policies, and report on the progress being made
- M&E capacity building and systems strengthening: The monitoring and evaluation capacities of Country Office / Field Office staff and national / sub-national partners are strengthened, enabling them to increasingly engage in and lead monitoring and evaluation processes
- Communication, data visualization and youth engagement: Effective communication through data visualization and knowledge generation are achieved, and partnerships and engagement with youth around data visualization are explored, to stimulate joint engagement and create national capacities
- Support implementation of the group’s risk framework
- Supporting the Operational Risk Manager and COO team in the delivery of the department’s objectives
Education
Johnson & Wales University
2002 - 2007
Bachelor's Degree in Education Sciences
Professional Skills
- Good communication skills, including strong report writing skills and presentation abilities
- Good technical skills and experience
- Strong organisational skills and ability to manage multiple reviews in a timely manner
- Investigative skills and ability to identify root causes
- Good written communication skills are essential
- Good communication skills with the ability to build relationships internally and externally
- Relevant experience working in financial services (preferably compliance monitoring)
How to write Monitoring Officer Resume
Monitoring Officer role is responsible for research, trading, finance, credit, training, database, mac, security, planning, reporting.
To write great resume for monitoring officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Monitoring Officer Resume
The section contact information is important in your monitoring 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 Monitoring Officer Resume
The section work experience is an essential part of your monitoring 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 monitoring 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 monitoring officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Monitoring Officer resume experience can include:
- Design and execute ongoing monitoring reviews in accordance with the Firm’s procedures to provide ongoing independent assessment of compliance with applicable rules and regulations
- Engie services Limited is North East Lincolnshire Council’s long term Regeneration Partner delivering a number of services on their behalf, including the maintaining the Local land and Property database which feeds into the national Address Gazetteer
- Experience and proven track record of working within mortgage based financial services and/or FCA compliance environment
- Carrying out call listening and other checks to review and report on the effectiveness of the First Line Quality Monitoring function
- Monitoring and reporting on the effectiveness of internal systems and controls to regulatory rules and guidance
- Testing and reporting on the effectiveness of policies and procedures, together with the associated systems and controls within the area under review
Education on a Monitoring Officer Resume
Make sure to make education a priority on your monitoring officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your monitoring 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 Monitoring Officer Resume
When listing skills on your monitoring 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 monitoring officer skills:
- Experience of audit or monitoring activity, including report writing and unbiased investigative skills
- Good knowledge of the rules & regulations of FCA and LSE and ability to analyse legislation relating to other jurisdictions where Pershing Europe operate
- Decision making, good judgement, integrity, trustworthy and strong ethics
- To be an excellent communicator, with the ability to convey crucial and sometimes complex information to clients and stakeholders in a clear and effective way
- .Ability to communicate effectively at all levels, both written and oral
- Good experience in a compliance monitoring, operational risk, or internal audit environment
List of Typical Experience For a Monitoring Officer Resume
1
Experience For Compliance Monitoring Officer Resume
- Good working knowledge of the FCA Handbook (and ideally the General Data Protection Regulation)
- Experiences in project M&E or programme/project management
- Technical excellence in managing and using data, proven knowledge in quantitative methodologies
- Partner with Risk and Credit to conduct joint second line assurance reviews as part of a multi skilled team
- Experience in a similar (compliance/audit) role gained within Financial Services preferably in the Insurance sector
- Good analytical ability and detail focus
2
Experience For Fiduciary Monitoring Officer Resume
- Completion and reporting of automated/manual investment breaches, price errors, trading errors, transfer agency errors
- Own the Compliance Monitoring Methodology and Framework and the maintenance and development of this in line with internal and external developments
- Select and define with regions the products from Drive territories to monitor
- Build the Product Performance budget and capabilities resources
- Partner and negotiate with Mars R&D to share capabilities in some specific countries
3
Experience For Zonal Monitoring Officer Resume
- Do a stocktake of child-related SDG indicators in China: Review global SDG indicators, UNICEF’s SDGs for Children indicators, stocktake of data availability, including disaggregation and map these with government indicator frameworks, including the NPA
- Scoping analysis of UNICEF’s current sectoral engagement in country-led data collection activities (at national level, or piloting at provincial/county level to feed into national level)
- Present report findings to divisional senior management
- Assist with internal investigations, as required
- Responsible for designing and formulating the annual Compliance Monitoring Plan, paying due regard to appropriate internal developments, business priorities and external factors
- Responsible for the implementation of the Compliance Monitoring Review process and plans for all regulated entities (and where appropriate outsource providers) to monitor compliance with relevant rules and regulations
- Design and operate a formal review work programme, aligned to the key regulatory risks
- Keep senior stakeholders appropriately updated throughout the review process, providing clear, succinct and accurate verbal and written communications, focussed on the key risk areas identified, advising on remedial actions and driving these forward with agreement from senior management
- Develop and maintain meaningful compliance MI on the review process
4
Experience For Collateral Monitoring Officer Resume
- Self-starter, pro-active and enthusiastic individual with a keen eye for detail who is able to negotiate with and engage business management to adopt a compliance approach to business decisions and initiatives
- Able to build and maintain effective relationships across the business
- Good knowledge of FCA regulatory compliance in a Mortgage/Insurance arena
- High level of IT literacy and Microsoft Office packages
- Work with first and second lines of defense to identify, document, and maintain key monitoring activities and controls that are in place to ensure critical compliance risks are mitigated and to ensure compliance with applicable laws and regulations
- Manage and maintain the inventory of compliance related monitoring being performed by the first and second lines of defense in the Governance, Risk and Compliance (GRC) Management tool
- Collaborate with the first and second lines of defense to identify, document, and address monitoring gaps (no monitoring or insufficient monitoring) in key areas having elevated compliance risk
- Develop key risk indicators or other metrics to assist the second line of defense in observing/ensuring compliance with applicable laws and regulations, based on the monitoring being performed in the first line of defense
5
Experience For Asset Management Compliance Compliance Monitoring Officer Associate Resume
- Work with the first and second lines of defense to determine thresholds for those key risk indicators
- Collaborate with the first and second lines of defense to address self-identified compliance issues and/or compliance issues identified through the observation of key risk indicators
- Provide compliance and supervision support to a new start up digital broker based in Hammersmith
- Provide advice and guidance on regulatory and legislative issues as required
- Maintaining a close working relationship with colleagues within the FS Compliance team, sharing best practice and emerging trends of a conduct or operational nature
- Full CEMAP or equivalent
6
Experience For Local Land & Property Gazetteer & Monitoring Officer Grimsby Resume
- Assess and process system access requests from the operation
- Support internal and client compliance audits to ensure requirements achieved
- Ensure all risks and concerns around department quality are flagged to the relevant bodies, followed up and analysed for continuous improvement
- Work through pre-live processes to ensure new employees have the relevant checks and meet criteria to join the department safely, securely and on time
- Ensure all operational documentation meets compliance requirements
- Process non-conformance requests received into various work stream inboxes, within required SLA
7
Experience For Fund Monitoring Officer Resume
- Follow all appropriate safety procedures and report any potential hazards or possible misuse of the service to line manager
- Completion of cash flow monitoring, asset register and asset title verification checks. Tracking all issues on relevant logs and communication of issues to clients. Completion of monthly/quarterly client/board reporting
- Participation with other Trustee jurisdictions on projects associated with regulatory change (UCITS V, UCITS VI, Investor Money Regulations etc.) and process enhancement and standardization
- Assist in effective oversight of Trustee Operations COE Warsaw
- The Monitoring Officer tracks the ING operational systems and acts as defined in documented procedures
- Executes periodical tasks (daily, weekly, monthly) or at request on operational systems accordingly to documented procedures
- Is responsible for identifying, logging and complete management of events and alerts, in a timely matter, with the purpose of reducing duration of disruptions on the monitored and critical services
- Assures that the shift changes take place accordingly to defined procedures
- Review and check cases and provide feedback
8
Experience For Performance & Monitoring Officer Resume
- Conduct meetings as and when required to analyse and discuss key compliance performance indicators
- Assist in the development and maintenance of detection scenarios for different classes of financial instruments for automated transaction surveillance
- Maintain awareness of key regulatory updates and analyze their impact upon the various activities of the MAC Unit
- Work closely with the team to support any ad-hoc projects
- Review business practices against regulatory expectations
- Monitoring: The research set-up is clear and reported in time, the required information is collected and processed in time, the analyses are performed correctly and the conclusions are drawn correctly. Reports/publications are clear, complete and of a high quality
- Judgement, Provision of information & Reporting: the (complex, discipline-transcending) issues are dealt with correctly and in time and the required information is collected and processed in time
9
Experience For Monitoring Officer, Beijing, China Resume
- Strong willingness to learn and challenge new things
- Prioritise own work load essential
- Advise:Keeping up to date with relevant developments and sharing them with those involved
- Internal customer relation management: Internal releations are appropriately and sufficiently informed in time whereby needs are observed, communicated and registered. Internal customer satisfaction is tested and registered
- Preferably 3 years’ experience in an compliance monitoring, operational risk, or internal audit environment
- Preferably knowledge of relevant financial services regulations and legislation and/ or OFCOM, OFGEM, OFWAT, risk management frameworks and risk reporting
10
Experience For Product Performance Monitoring Officer Resume
- Policy development: Relevant internal and external developments are monitored and communicated with/reported to those involved
- Preferably knowledge of life & pensions, however candidates with general insurance, professional services, financial services would also be considered for the role
- Knowledge of PRA and FCA rules, especially the Consumer Credit sourcebook
- Commercial approach to compliance activities
- High levels of drive and self motivation
- Communicate at all levels, with authority, confidence and credibility
- Confident communicator and ability to influence
List of Typical Skills For a Monitoring Officer Resume
1
Skills For Compliance Monitoring Officer Resume
- Good technical knowledge of financial instruments and interest in developing an understanding of European fund regulations
- Experience working with trustee, custody, fund accounting or reconciliation systems would be an advantage
- Experience of working in a regulated firm and sound knowledge of the UK regulatory framework, including FCA rules and guidance in relation to Consumer Credit
- Experience in helping prepare documentation and data publications targeting different audiences
- Familiarity and experience with referring to FCA handbook for seeking clarity of rules and interpretation into operational advice practices
- Very strong understanding of relevant ERP system e.g. Oracle
- Expert level of skill with Microsoft office tools, including use of Excel and Word
- Experience in financial services, preferably in Trustee, Fund Accounting, Audit, Compliance, Regulatory, Risk, Control function
- Experience in transaction processing and reconciliation would be desirable
2
Skills For Fiduciary Monitoring Officer Resume
- Some experience with MS Excel tools (including VBA and SQL) would be highly desirable
- Familiarity with China’s official statistical systems in Line Ministries and a good understanding of indicators
- Nationality of P.R. China, with good understanding of China’s context
- Experience of ISO procedures
- The ability to build strong relationships within your team
3
Skills For Zonal Monitoring Officer Resume
- Have a proven conscientious and well organised approach to work load
- Mini 3 years’ experience
- Good awareness of ISA regulations
- Career focus, dedication, motivation, personal effectiveness and commercial awareness,
- Executing of the compliance cycle which includes risk assessments, monitoring actions, incident handling, reporting and advise
- Reviewing and considering other sources of data (e.g. complaints, cancellations) to identify any potential failings and /or recurring themes
- Capturing and recording Incidents and Breaches as appropriate – escalating significant issues to the Compliance Manager
- Preparing regular compliance reports for the Compliance Manager and assist in preparing on-going reports to the relevant Governance Forums
- Liaising and communicating with Senior management & key stakeholdersPeople who applied for this job also applied for
4
Skills For Collateral Monitoring Officer Resume
- Supporting & Working with Others
- Assisting the Compliance Manager with the management and implementation of the Annual Compliance Monitoring Plan
- Engaging with functional areas within JDW and relevant third parties to conduct each Compliance Monitoring review
- Understanding of Irish, German and Channel Islands rules and regulations
- Understanding and application of UK regulatory requirements
- Providing guidance to employees
- Supporting the delivery of the JDW Financial Services compliance strategy
- Carrying out other ad hoc investigations and business support activities as required
- A passion to contribute to maintaining and establishing robust monitoring framework
5
Skills For Asset Management Compliance Compliance Monitoring Officer Associate Resume
- Stand firm in delivering the right compliance messaging, escalating matters to management for decisive action if required
- Take the lead in carrying out monitoring reviews as agreed with the Compliance Monitoring Manager
- An evolving understanding of the FCA regulatory framework, particularly in relation to Collective Investment Schemes
- A keen interest in exploring and shaping technological advancements in a new robo-advice proposition, so therefore IT literate
- Promptly investigate and clearly communicate issues arising from the monitoring activities
6
Skills For Local Land & Property Gazetteer & Monitoring Officer Grimsby Resume
- Awareness and understanding of current and new regulatory requirements affecting the business
- Assist the Compliance Monitoring Manager with implementation of the Bank’s risk based compliance monitoring programme
- Produce high quality monitoring reports in a timely manner, clearly identifying issues and required actions
- Assist in the development and delivery of the Compliance Monitoring Programme in line with FS Compliance Monitoring Plan
- Assist with the timely and accurate set-up of new funds from the standpoint of investment monitoring, NAV review, daily banking and asset register
7
Skills For Fund Monitoring Officer Resume
- Build regulatory knowledge, keeping abreast of all update to UCITS/AIFMD regulations affecting funds
- Conduct thematic reviews in accordance to the Compliance Monitoring Programme
- Assist management in the continued development of the Compliance Testing programme
- Keep up to date with changing regulation to ensure the CMP remains relevant
- Conduct surveillance testing of processes in the international business units
- Full clean UK Driving LicencePeople who applied for this job also applied for
- Assist with the design and implementation of monitoring electronic exception reports and tools for JPMAM’s businesses in EMEA
8
Skills For Performance & Monitoring Officer Resume
- Knowledge of recent changes regarding regulation that could affect the business, e.g. Mifid ii
- Knowledge of the Money Laundering Regulations, Bribery Act requirements and other financial crime matters
- Accurately reporting when and how any cases are not compliant
- Subject matter expert level analysis of electronic communications and transactions pertaining to potential market abuse (main task)
- Define the way of operating within the teams
- Undertake appropriate preparatory work ahead of on-site visits, liaising with relevant business areas as required
9
Skills For Monitoring Officer, Beijing, China Resume
- Assist the Compliance Monitoring Manager in the production of monthly MI for discussion at relevant Boards and committees
- Able to provide difficult messages and manage conflict appropriately, taking a dispassionate approach
- Commercially minded whilst understanding the acceptable standards to keep customers safe and an operation compliant
- Implement and adhere to all departmental quality requirements including Business Continuity and Disaster Recovery processes
- Communicate changes through the operation in a clear, engaging manner to ensure processes are followed and the operation is compliant
- Ensure any mail leaving the operation is compliant to process and quality assured. This includes both electronic and physical post
- To keep up to date and complete training as requested
- Nights - Cash Operative / Warehouse Cashier / Production Cashier
10
Skills For Product Performance Monitoring Officer Resume
- To be an innovative thinker, keen to develop and introduce new procedures, to strengthen and simplify the way we work
- To be an innovative thinker, keen to develop and introduce new procedures to strengthen and simplify the way we work
- Professional qualification in compliance or law
- Confident to use Microsoft Office (Excel, Word, PowerPoint)
- General awareness of company law and the Financial Services & Markets Act and
- Analytical, technical, IT, numeracy and intellectual ability to understand derivatives within the context of regulations
- Able to use initiative and exercise sound judgment
- Flexible manner and approach
List of Typical Responsibilities For a Monitoring Officer Resume
1
Responsibilities For Compliance Monitoring Officer Resume
- Preferably knowledge of financial services and / or customer management e.g. life & pensions, mortgage / collection services, communications services, utilities
- Analytical skills and the ability to ‘think outside the box’ are critical
- Excellent profiency in written and spoken English required
- Knowledge of UCITS and AIFMD investment restrictions would be an advantage
Related to Monitoring Officer Resume Samples
Customer Officer Resume Sample
Work Experience
• Handle customer’s incoming calls as one servicing contact unit including general inquiries, statement and non statement related inquiries, Card member maintenance , Membership Rewards , Card acquisition , marketing programs , Merchant Services related inquiries , Risk Management related matters, disputed charges, applica...
Professional Skills
• Able to demonstrate customer care skills w...
• Excellent communication skills especially ...
• Strong IT and data management skills
Data Officer Resume Sample
Work Experience
• Create monthly reports of the team’s activities
• Maximum 25 year old
• Proficiency in MS. Excel (pivot & vlookup)
• Proficient in English(Oral and Written)
• Likes working and analyzing data
Professional Skills
• Excellent Microsoft Office skills, with hi...
• One year experience in a similar role, str...
• Good level of professional report writing ...
Monitoring & Evaluation Officer Resume Sample
Work Experience
• Ensure community feedback mechanisms are well understood by internal and external stakeholders
• Work with Communications team to support project teams translate / contextualize relevant project information materials and share with communities
• Produce timely and complete Fe...
Professional Skills
• Strong organisational skills and demonstra...
• Demonstrated strong communication and prob...
• Demonstrated skills and experience in data...
Fiscal Analyst Resume Sample
Work Experience
• Oversee, maintain, monitor and ensure the integrity of OMH billing system monthly bill runs. Resolve pended, denied and audited claims. Analyze services and recording statistics to identify unbilled visits and under-utilization of services. Audit and analyze data to ensure data accuracy and compliance with federal and st...
Professional Skills
• Excellent analytical, quantitative, writin...
• Demonstrated skills to compile and summari...
• Strong research, problem solving, and time...
Risk Governance Resume Sample
Work Experience
• Manage sensitive cross LOB client controls processes, including the Client Screening List (CSL)
• Work with firmwide LOBs and functions, including Global Financial Crimes Compliance (GFCC) to evolve current CSL process to clearly identify all necessary resources for “hits” communications to include...
Professional Skills
• Advanced sharepoint skills and advanced Mi...
• Outstanding written and oral communication...
• Proficiency in English, excellent analytic...
House Officer Resume Sample
Work Experience
• Graduate of an accredited APN program
• Excellent interpersonal skills including written and spoken English
• Proven security experience in a ‘soft’ customer service driven environment, where they have worked with minimal supervision utilising excellent judgement and decision...