Senior Compliance Analyst Resume Sample
Yolanda Deckow
769 Gaston Mews,
New York,
NY
+1 (555) 459 1682
Work Experience
Senior Compliance Analyst
02/2017
-
PRESENT
Houston, TX
- Monitoring that trading by the use of various surveillance tools
- Support key program development initiatives to enhance Citi’s complaint practices
- Extract and manipulate data from various sources for analysis, risk assessment and scoping of compliance monitoring, based on Business Controls’ compliance monitoring needs
- Maintain a library of continuous analytics test scripts through regular updates
- Work closely with Global Sanctions Compliance, Operations, Business units, and Technology to complete evaluations of screening logic during major/minor releases and patches
- Work closely with Global Screening Solutions colleagues, and Technology to ensure timely completion of evaluations
- Collect and prepare documentation as needed for testing
- Recommend an appropriate level of oversight or corrective action to management and the firm’s respective risk management committees
Nerc CIP Senior Compliance Analyst
10/2010
-
01/2017
Detroit, MI
- Coordinate with other units of GRC and Legal to complete reviews or support related investigations
- Maintain awareness of industry news, and changes in the business or regulatory landscape
- Experience in performing complex investigations
- Develops and maintains a strong working knowledge of the requirements of the Code of Conduct with a focus on those portions pertaining to employee account disclosure requirements, the related functions of the employee compliance monitoring system, and how that system’s reports and data are generated and used to ensure timely and accurate accessibility to employee account disclosure data
- Monitors junior team members’ account statement work for completion and accuracy; provides feedback to assist junior team members with resolution of incomplete account statement records; ensures all required communications are delivered in a timely manner and required statements are received and processed
- Use judgment and knowledge of money laundering patterns to assess whether transactions are suspicious; conduct investigations and make recommendations as to the appropriate course of action; draft suspicious transaction reports where required
- Investigate and assess the risk of alerts identified by Manulife’s customer risk assessment tools. Maintain proper records and audit trail of investigation activity and disposition actions for all alerts
- Prepare case reports for review outlining the depth of investigation activity, risk assessment, and recommended remediation actions
- Prepare FINTRAC regulatory reporting within prescribed timeframes to ensure compliance obligations are met and financial penalties are not delivered by regulator
Senior Compliance Analyst, Jnam
04/2006
-
06/2010
Boston, MA
- As an AML subject matter expert, provide direction and guidance to the business
- Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practices, criminal typologies and developing trends. Assist in identifying systemic procedural weaknesses and additional training enhancements for Manulife
- Execute AML self-assessment testing and monitoring of functional areas
- File Anti-Terrorist Financing reports as required by regulators
- Setup and configuring the Common Controls Hub for building and managing Cargill’s Unified Compliance Framework (UCF)
- Select the technical authoritative resources that are applicable to Cargill’s business environment and build up the common control set that Cargill needs to comply with globally, creating the UCF as the foundation for the ISMS
- Help with creating the link between the UCF Common Control Hub and Cargill’s Archer GRC Tool with the Archer Team to manage associated risk centrally
- Fair understanding of Citi’s Technology landscape – Consumer Rainbow Platform, ICG and Private Bank systems
Education
Strayer University - Birmingham Campus
2002 - 2006
Bachelor's Degree in Accounting
Professional Skills
- Excellent verbal, written, and presentation communication skills in addition to strong editing and research skills
- Excellent attention to detail, strong written and verbal communication skills, and analytical and critical decision-making skills required
- Excellent verbal and written communication skills, including public speaking/presentation skills
- Strong written and oral skills and team building and mentoring skills
- Superior analytical and problem-solving skills as well as demonstrated organizational skills
- Exceptional verbal and written communication skills and interpersonal skills with the ability to effectively listen and communicate to varied levels
- Strong, proven problem-solving skills and the ability to identify, analyze, and resolve problems, driving solutions through to completion
How to write Senior Compliance Analyst Resume
Senior Compliance Analyst role is responsible for interpersonal, analytical, organizational, business, advanced, compliance, computer, microsoft, presentation, organization.
To write great resume for senior compliance analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Senior Compliance Analyst Resume
The section contact information is important in your senior 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 Senior Compliance Analyst Resume
The section work experience is an essential part of your senior 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 senior 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 senior compliance analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Senior Compliance Analyst resume experience can include:
- Competent regulatory background, with knowledge in MAS regulations, Banking Act, Companies Act, Outsourcing Guidelines, Anti-Money Laundering and Countering of Financing of Terrorism, Personal Data Protection Act
- Strong organizational skills and ability to work independently on multiple priorities
- Proven analytical, planning, problem solving and decision making skills
- Excellent communication, organizational, planning, and problem solving skills
- Experience in Compliance/regulatory/legal or financial institution, including demonstrated experience in overseeing risk management programs
- Strong critical thinking, problem solving skills and attention to detail
Education on a Senior Compliance Analyst Resume
Make sure to make education a priority on your senior 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 senior 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 Senior Compliance Analyst Resume
When listing skills on your senior 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 senior compliance analyst skills:
- Strong interpersonal and teamwork skills required; including the ability to work effectively in multicultural environment
- Excellent interpersonal and collaborative skills necessary to engage effectively with colleagues globally
- Strong verbal communication skills; able to effectively communicate investigative findings and recommendations with senior leadership & law enforcement
- Good organizational skills and the ability to handle multiple activities with changing priorities
- Moderate to advanced Excel skills (e.g. VLOOKUP, pivot tables etc) to extract, analyse, manipulate, present and interpret large amounts of data effectively
- Excellent interpersonal skills with a strong client service focus
List of Typical Experience For a Senior Compliance Analyst Resume
1
Experience For Nerc CIP Senior Compliance Analyst Resume
- Strong written communication skills and good interpersonal skills
- Strong interpersonal skills and ability to work collaboratively and effectively with Compliance peers and business clients
- Solid analytical skills and excellent attention to detail
- Solid project management skills; ability to prioritize, coordinate with others and follow through on projects
- Demonstrates professional demeanor and is perceived as highly competent with emerging leadership skills
2
Experience For Senior Compliance Analyst Global Sanctions Compliance Resume
- Good written and verbal communication skills in Chinese and English (both written and spoken) in order to review compliance manuals and marketing materials
- Excellent verbal and written communication skills in interacting with different stakeholders across businesses, locations and time zones
- Prioritize workload and prioritize for effectiveness in meeting deadlines
- Strong analytical and problem solving skills. Ability to identify issues, formulate solutions and determine when to elevate issues to management
- Good project management and multi-tasking skills; and
- Strong PC skills, including proficiency in MS Office and PowerPoint
- Strong Microsoft Office Suite skills (Word, Excel, PowerPoint, Access)
- Model strong leadership skills, impeccable integrity and focus on delivering results
3
Experience For Senior Compliance Analyst Supervisory Controls Unit Resume
- Demonstrated analytical, written and oral communication skills
- Good written and verbal communication skills in English and Japanese due to the need for interaction with stakeholders across different countries
- Solid presentation and relationship management skills
- Strong research, investigative, and interpretation skills
- Strong experience with Experience with NIST 800-171, NIST 800-53, FedRAMP, FISMA standards and related Federal compliance frameworks
- Excellent Computer skills (Word, Excel, PowerPoint, Outlook)
- Exhibit project management, interpersonal, sound decision making, and intuitive thinking skills
- Experience years experience in writing and preparing Suspicious Activity Reports (SARs) in accordance with applicable regulatory requirements
4
Experience For Senior Compliance Analyst, Jnam Resume
- Applies advanced knowledge skills/abilities and understanding of disciplines within business application
- Good work organization, good documentation ability, and clean recordkeeping
- Possess analytical skills & market knowledge for handling queries raised from team members, related to surveillance alerts, systems, etc
- Clear and persuasive communication skills (verbal and written) and ability to influence based on the message versus relying on authority
- Proven ability and experience in performing technical IT control/security assessments and audits
- Experience: 3+ years related work experience, including 2+ years in Information Technology and 1-2+ years in IT Audit
- Prior operational experience in client service or clearing functions at a broker-dealer or insurance company
- Demonstrated ability to exercise good judgment using quantitative and qualitative data
5
Experience For NPH Senior Compliance Analyst Resume
- Prior experience with Rule 206(4)-7 testing
- Demonstrates strong collaboration competencies and team orientation
- Able to affect change in business team practices through personal influence and negotiation skills
- Relevant experience and/or demonstrated knowledge of mutual funds, Exchange traded funds, and managed accounts in a regulated sales environment
- Self-motivation, time management and organizational skills
6
Experience For Senior / Compliance Analyst Resume
- Preference given to candidates with Foreign Language skills and/or computational linguistics (Arabic, Chinese, Urdu)
- Prioritize multiple tasks well with have good time management; and well-organized
- Demonstrate ability to prioritize and drive results with a high sense of urgency
- Work experience in a financial institution with specific work experience in AML
- Detail oriented with proven ability to work independently, able to operate in a complex matrix environment
- Desirable Advanced Skills: MS Word, MS Excel, SharePoint, and PowerPoint; SAS or similar statistical tool
7
Experience For Regional KYC Senior Compliance Analyst Resume
- Demonstrated experience with compliance and audit industry standards and best practices
- Compliance related experience in financial services (or a JD in lieu of some experience)
- Initiative and ability to work independently and to expand knowledge and skills
- Advanced Microsoft Office Excel, Access, and Word skills
- Quality & Service Oriented Advanced writing and analytical skills
- Expert interpersonal and communication skills, and the ability to work within cross-functional teams
- Expert relationship development and leadership skills
- Mentoring and providing guidance to less experienced advertising review analysts on complex reviews
8
Experience For Senior Compliance Analyst Aml-hnw Resume
- Reviewing and documenting testing results which evidence conclusions reached
- Understanding of internal control concepts and experience in applying them to plan and perform audits and execute SOX projects
- Reviewing the adequacy of the Firm’s procedures to validate adherence with Advisers Act Rule 206(4)-7
- Maintaining trackers, logs, and other management tools to monitor execution of key GSC Policy unit priorities and report on status to GSC leadership
- Strong working knowledge of auditing, including analyzing relevant information and preparing reports
- Responsible for ongoing monitoring and auditing of compliance systems and processes and reporting to compliance leadership with regard to effectiveness
- Experience in producing and/or designing reporting package for AML metrics
9
Experience For Senior Compliance Analyst Exchange Operations Resume
- Experience in producing and/or designing AML training, particularly as relates to AML/CFT typologies
- Experience leading and influencing colleagues at all levels using sound judgment to collaboratively execute strategies
- Experience in reviewing and approving Know-Your-Customer files for complex banking products
- Previous experience leading teams or mentoring/supervising staff
- Demonstrated competence crafting policies and procedures as well as evaluating processes and creating written documentation to describe them
- Experience researching and interpreting regulation and performing internal investigations
- Technical expertise and experience implementing security controls including SOX compliance
- Experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or financial investigations
- Experience within a Corporate Compliance function focusing on anti-money laundering and anti-corruption
10
Experience For Senior Compliance Analyst Sanctions Resume
- Experience with monitoring and testing functions
- Skilled at analytical and creative thinking and problem solving
- Experience capturing and monitoring metrics
- Experience in reviewing customer transactions and information for potentially suspicious activity and performing AML or fraud investigations
- Create and deliver effective testing training for participants
- Three years experience in reviewing customer transactions for potentially suspicious activity and performing AML related investigations
- Perform rating calculations and rating validation processes to measure and report Compliance risk and controls across various products and geographies
- Experience working with and maintaining framework relationships in a GRC system
List of Typical Skills For a Senior Compliance Analyst Resume
1
Skills For Nerc CIP Senior Compliance Analyst Resume
- Possession of excellent critical thinking and analytical skills, including communicating effectively under both normal and stressful situations; and
- Superior oral and written communication skills, includes strong presentation skills
- Strong computer skills; in particular, advanced skills in Excel and PowerPoint
- Strong computer skills, including experience with Word, Powerpoint, Excel, WestLaw, JIRA and NILS
- Excellent analytical skills, critical thinking and good judgement
- Demonstrates strong personal communication skills
- Strong analytical and critical thinking skills and decision-making abilities
2
Skills For Senior Compliance Analyst Global Sanctions Compliance Resume
- Excellent presentation skills and comfortable training colleagues as well as presenting to senior management
- Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities. Demonstrated problem solving skills
- Strong analytical thinking and end-to-end problem solving skills
- Good verbal and written communication skills in interacting with different stakeholders across businesses, locations and time zones
- Strong computer skills including ability to work with MS Excel, MS Word, PowerPoint and SharePoint
- Strong project management skills including the ability to work well under pressure and meet critical daily deadlines
3
Skills For Senior Compliance Analyst Supervisory Controls Unit Resume
- Demonstrated interpersonal, leadership, and team-building skills
- Strong computer skills including Excel, Word, and Power Point
- Demonstrated experience in a fast-paced environment, possessing the ability to prioritize and manage multiple assignments and tasks
- Strong analytical and problem-solving skills; able to make recommendations based on analysis; knowledge of PEX or process improvement methodologies
- Excellent project management and organizational skills and capability to handle multiple projects at one time
4
Skills For Senior Compliance Analyst, Jnam Resume
- Responsible for validation of documents utilized to ensure the applicant’s good character, prior employment, education, and financial disclosures
- Good follow-up skills and sense of ownership and urgency
- Solid analysis, research and audit skills with attention to detail and accuracy
- Investigative-minded problem solver with demonstrated analysis, research, and problem solving skills
- Strong organization, analytical, and writing skills
5
Skills For NPH Senior Compliance Analyst Resume
- Excellent analytical and organizational skills; highly detail-oriented
- Strong written skills with the ability to draft policies and training materials
- Strong analytical ability with a demonstrated background in collecting, generating and analyzing metrics and data reporting
- Experience in planning, executing, and reporting on compliance testing reviews and regulatory issue validation activities
- Project management skills; including project planning, scheduling and accountability
- Prior experience performing individual or group based training / public speaking
- Related experience in ICRM, Risk Management, Audit or similar function, with experience in auditing, compliance testing, and monitoring activities
- Strong leadership required. Proven ability to manage high volumes under tight deadlines while maintaining accuracy and minimizing risk to the company
6
Skills For Senior / Compliance Analyst Resume
- Experience in Project Management or managing multiple activities and priorities while meeting tight deadlines
- Advanced PC skills including word processing and spreadsheets
- Problem solving and team building skills required
- Exceptional research and analytical, cross-referencing, and deductive reasoning skills
- Broad, long-range approach to understanding emerging trends to plan ahead effectively
- Resolve a variety of problems utilizing your well-honed discernment and decision-making skills. Gather and aggregate information in a meaningful manner
7
Skills For Regional KYC Senior Compliance Analyst Resume
- Investigative and database research skills, including expert knowledge of industry databases and tools (Dow Jones, Westlaw, Lexis-Nexis); and
- Principles of effective analysis and highly effective writing
- Help ensure that compliance requirements are correctly and effectively communicate in training and communications
- Technical and professional skills or knowledge of testing methodology, risk and controls analysis
- Proven ability to prioritize assignments and maintain and/or exceed established processing time-frames
- Superior organizational, communication, grammatical and writing skills
8
Skills For Senior Compliance Analyst Aml-hnw Resume
- Prior experience working for or heavy interaction with DCAA (Defense Contract Audit Agency) is desirable
- Proven ability to prioritize assignments and maintain and/or exceed established processing timeframes
- Demonstrable report writing skills
- Work experience with at least 1-year experience in the insurance, securities, or customer servicing role
- Work effectively in teams including cross-border communications
9
Skills For Senior Compliance Analyst Exchange Operations Resume
- Assist in the development of, and carry out, assessment programs to ensure compliance controls are operating effectively
- Demonstrates ability to define problems, collect data, establish facts, and draw valid conclusions
- Communicate effectively, both verbally and written (English/Vietnamese/Mandarin) across various levels within the organization and externally
- Able to communicate effectively with business leadership to achieve change
- Able communicate to effectively with people inside and outside the company who have diverse backgrounds, languages and objectives
- Communicate effectively with diverse groups including attorneys, physicians, patients, allied health staff, researchers, and vendors
- Strong experience and knowledge of IT systems
- Cultural fluency and ability to work effectively with a diverse, global population a +
10
Skills For Senior Compliance Analyst Sanctions Resume
- Hands on experience with implementing and validating security policies and procedures
- Communicate effectively with all levels of the company regarding SCU projects; and
- Prior experience testing broker-dealer controls or similar internal or external audit function
- 2 – 5 years’ work experience with at least 2-years’ experience in the insurance, securities, or customer servicing role
- Effectively plans and implements a broad variety of tasks related to area of responsibility
- Multi-task and manage multi-functional projects effectively
- Analyze and validate large, complex data files prior to submission to internal or external reviewers
- Communicates effectively with the ability to adapt communication styles appropriately for the program or audience
- Assist in the production of training and communications to increase the regulatory knowledge and skills within Cardif Pinnacle
List of Typical Responsibilities For a Senior Compliance Analyst Resume
1
Responsibilities For Nerc CIP Senior Compliance Analyst Resume
- Liaise with the KYC Validation Manager to ensure that KYC policies and risk rating programs are implemented in conjunction with the Bank’s Transaction Monitoring programs
- Communicate effectively with strong written and verbal communication skills
- Excellent organizational and prioritization skills, follows through to complete deliverables timely
- Three to Five years of prior audit experience in public accounting or with a publicly held global manufacturing company or other relevant experience
- Strong accounting systems, MS Excel and communications skills
- Strong computer literacy skills, including familiarity with Microsoft Office
- Excellent interpersonal skills and an ability to work collaboratively with various departments across all levels
- Demonstrated leadership and engagement skills
2
Responsibilities For Senior Compliance Analyst Global Sanctions Compliance Resume
- Strong communication (written and verbal) and technical skills
- Detail oriented and organized individual with strong analytical and problem solving skills
- Prior experience in public accounting/consulting/advisory industry
- Relevant experience including 2+ years' experience in Compliance or related function required
- Effectively and proactively communicate important compliance risk information to management
- Communicate effectively with Representatives, Advisors, and OSJs throughout the complaint resolution process
- Effectively communicates regulatory issues to internal and external groups in order to ensure process compliance and adherence
3
Responsibilities For Senior Compliance Analyst Supervisory Controls Unit Resume
- Working knowledge and experience ensuring compliance with one or more of the following standards or regulations: PCI-DSS, Sarbanes Oxley, SOC 2, EU GDPR
- Scripting experience (e.g. Python, Perl, Bash, etc.)
- Experience in compliance tracking, assessment, and reporting, as well as risk identification, performance and reporting
- Experience in mitigating online fraud, such as account takeover, phishing, online card testing, etc. is desirable
- Experience in performance management, reporting, metric tracking, and working with key internal stakeholders
4
Responsibilities For Senior Compliance Analyst, Jnam Resume
- Strong focus on analytical, detailed thinking alongside equally important strategic planning and execution
- Experience shaping and delivering defined strategies
- Knowledge of the federal regulations that govern the securities business is necessary. Experience in areas of auditing and training is highly desired
- 10)Compliance monitoring and spot checks, including privacy audits, to ensure effectiveness of internal compliance instruments and measures
- Experience in working with current CPT, ICD-10 and HCPCS coding nomenclature and rules
- Experience in Banking/Financial Institutions
- Analytical experience with at least 2 of that being in the Payments sector
- Develop strong working relationships at all levels
5
Responsibilities For NPH Senior Compliance Analyst Resume
- Experience with compliance testing and QC software such as ComplianceEase and Cogent QC
- Experience with PWM business and onboarding platforms
- Lead interaction with regional screening hubs to ensure validation of AML list updates
- Strong knowledge of securities products including advisory
- Adaptability: is receptive to change and is willing to alter ideas or opinions based upon new information or contrary evidence
- Maintains solid working knowledge of Federal and State managed care regulatory requirements related to assigned care center
- Works with operational staff to ensure that a specialized training process is in place and effective
- Experience working at a mid-sized or larger CPA firm as an Auditor of Sox policies
- Relevant experience in Audit, Security, Compliance Consulting or Risk/Control Advisory work in support of a technical environment
6
Responsibilities For Senior / Compliance Analyst Resume
- Proven analytical and problem solving abilities with a keen attention to detail
- Demonstrated subject matter expertise in two or more categories of NPMP (mobile banking/mobile payments/prepaid access/internet payments) required
- Knowledge and experience with AML and Sanctions regulations, risks and typologies, including those specific to Digital, Agile or other New Payment Methods
- Strong understanding of broker-dealer functions, products, services, and industry regulations
- Plan and manage multiple and competing priorities with a high level of detail; flexible and able to quickly adapt to change
- Set clear expectations with business partners, negotiate against competing priorities when appropriate, and escalate when necessary
7
Responsibilities For Regional KYC Senior Compliance Analyst Resume
- Experience patching Linux and Windows servers
- Experience working on a team that follows Agile methodologies
- Have experience working for a Broker Dealer and/or Registered Investment Advisor
- Demonstrate understanding/interpretation of NERC Reliability Standards and regional ISO rules
- Internal audit and/or public accounting experience
- Partner with relevant businesses in conjunction with the CCO to ensure effective regulatory compliance controls are in place which includes the following
- Experience with regulations including Sarbanes-Oxley, Payment Card Industry, Data Privacy, etc
8
Responsibilities For Senior Compliance Analyst Aml-hnw Resume
- Experience implementing change, project management, cross-functional and cross-business teams
- Work with all IT functional teams to ensure controls are effective and appropriately address the relevant compliance requirements including IT SDLC
- Demonstrated ability to lead and execute across a range of businesses and functions with differing issues and interests
- Work experience in Compliance-related functions within, but not limited to, the following areas
- Audit experience in a multi-facility manufacturing environment
9
Responsibilities For Senior Compliance Analyst Exchange Operations Resume
- Experience in one of the following
- Experience dealing with senior stakeholders
- A good knowledge of banking products and services, AML technologies, industry best practices and associated risks
- Good understanding of rules and regulations
- Experience in understanding of healthcare products and services
- Excellent work ethic (respectful, honest, considerate, self-motivated, can work independently, readily adapts to change, accountable)
- Develops strong and productive work relationships with others: peers, management, etc
10
Responsibilities For Senior Compliance Analyst Sanctions Resume
- Demonstrate the ability to collaborate with team members and colleagues in executing a global initiative with cross functional stakeholders
- Strong Compliance risks knowledge
- Effective time management for self and the team
- Validates resolution plans to ensure they adequately address the root cause of identified issues found in testing
- Mortgage originations and/or mortgage servicing experience
- Conducts a detailed review of evidence to support the closure and remediation of issues
- Mortgage compliance experience
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