Wealth Management Compliance Resume Sample
Queen Yost
896 Juston Mountain,
Dallas,
TX
+1 (555) 344 5976
Work Experience
Head of Wealth Management Compliance Americas
12/2017
-
PRESENT
Detroit, MI
- Conduct periodic desk reviews or test checks of the PWM business’ activities
- Monitor for regulatory changes and communicate such to the relevant staff
- Deal with ad hoc regulatory inquiries
- Performs routine compliance tasks and deals with routine compliance issues, typically concerning documentation, reporting, etc
- Seeks guidance on complex and technical issues from more experienced staff
- Follows established guidelines and procedures
- Coordinate internal compliance reviews and investigations, including the periodic review of ‘first line’ compliance efforts
Wealth Management Compliance
10/2011
-
07/2017
Philadelphia, PA
- Experience in the financial services industry
- Monitor the Firm’s banking, private banking and securities-related compliance issues- Advise the Firm on banking-related issues
- Build regulatory relationships with regulators, especially the Hong Kong Monetary Authority
- Coordinate internal, external and regulatory inspections, audits, surveys and reviews
- Develop new surveillance reports and systems with IT and PWM Management LI-LT2
- Updating and maintaining group’s content on various Firm intranet sites
- The review of Financial Advisors’ “book of business”, including the analysis of money movements, trading activity, investment products and strategies
- Preparing detailed written reports about Financial Advisors’ “book of business” and presenting the findings to key stakeholders in the Business Unit, Legal, Compliance and Risk
Wealth Management Compliance Operations Coverage
02/2007
-
07/2011
Philadelphia, PA
- Overseeing and managing all of the Financial Advisor’ “book of business” reviews conducted by Field Compliance
- Conduct of appropriate training
- Escalation of significant compliance issues and deficiencies to the relevant local and Head Office, WM business leaders, operating committees, boards of directors and RBC Global Chief Compliance Officer, as considered appropriate
- Execution of the EMEA GWM Compliance Testing Program in accordance with the firm’s standards and expectations
- Responsible for the day-to-day supervision of a team of analysts (Registration Team) who perform forms filing functions associated with the registration of individuals with states and SROs
- Serve as a subject matter expert in Examination Requests and Forms Filing Requirements which are necessary for registration of individuals associated with the Firm
- To develop a strong department that is results oriented and create a productive environment that encompasses the Firms core values
- Establish and maintain effective departmental procedures and processes
- Keep senior management and staff informed and up-to-date on departmental issues and/or concerns, regulatory updates, changes as appropriate
Education
Virginia International University
2001 - 2006
Bachelor's Degree in Business
Professional Skills
- Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
- Organized, detail-oriented, enthusiastic and professional with a strong work ethic; and Managing and implementing regulatory change
- Advising on the regulatory obligations of the Platinum Banking business, as well as BMO Harris Investment Management Inc. and BMO Trust Company (as required)
- Acting as a liaison and providing compliance support to various internal business lines and their management
- Managing and responding to inquiries from external dispute resolution bodies as a principal point of contact
- Work with the business group to address compliance issues/recommendations resulting from the monitoring and testing efforts
- Create and maintain clear and transparent reporting related to monitoring and testing efforts
How to write Wealth Management Compliance Resume
Wealth Management Compliance role is responsible for languages, english, interpersonal, retail, securities, training, security, trading, equities, reporting.
To write great resume for wealth management compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Wealth Management Compliance Resume
The section contact information is important in your wealth management 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 Wealth Management Compliance Resume
The section work experience is an essential part of your wealth management 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 wealth management 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 wealth management compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Wealth Management Compliance resume experience can include:
- Excellent interpersonal skills and commercial acumen
- Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment
- Good judgment – know when and how to escalate issues
- Work with the Compliance Monitoring and Testing teams to create/enhance surveillance, monitoring, and testing processes
- Sound knowledge of banking operation & business and regulatory requirements & controls of Hong Kong banking services environment
- Work with regional compliance in ongoing projects, responding to changes in the firm’s businesses and changes in regulation
Education on a Wealth Management Compliance Resume
Make sure to make education a priority on your wealth management compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your wealth management 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 Wealth Management Compliance Resume
When listing skills on your wealth management 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 wealth management compliance skills:
- Inquisitive and investigative skills
- Strong knowledge of Swiss Anti-Money Laundering rules and regulations and regulatory expectations
- Highly proficient in Excel (particularly experience in handling volumes of quantitative data), Visio, PowerPoint and Word
- Good understanding of the fundamentals of the financial industry
- A team player with strong customer orientation
- Prioritize and make decisions in a fast paced-environment
List of Typical Experience For a Wealth Management Compliance Resume
1
Experience For Head of Wealth Management Compliance Americas Resume
- Assess training needs, develop and review training materials and conduct training for BUs
- Work independently and to multi-task with minimal supervision
- Provide prompt, sound and consistent compliance advice, interpretation and recommendation on regulations and policies as well as new products and other business initiatives to PB and TPC
- Work closely with BUs and other compliance teams to establish and implement appropriate compliance policies and procedures particular for those relevant to PB and TPC
- Handle compliance and regulatory assignments such as complaint handling, regulatory reporting and survey, regulatory examination and PB/TPC related ad hoc project
- Develop, maintain and revise policies and procedures for the general operation of the business and its related activities to prevent compliance breaches, unethical, or improper conduct
- Manage day-to-day operation of the PB and TPC’s compliance program and review product / service marketing materials, proposals and implementation of sale process for PB and TPC
- Act as an independent review and evaluation function to ensure that compliance Issues/concerns within PB and TPC are being appropriately evaluated, investigated and resolved
- Monitor and coordinate compliance activities of other departments/ stakeholders to remain abreast of the status of all compliance activities and to identify trends for PB, TPC/ DBSHK as a whole
2
Experience For Asset Wealth Management Compliance Resume
- Work closely with BUs to establish, review and update internal rules, policies and guidelines so as to formulate proper internal control procedures and meet best practice regulatory and industry standards
- Collaborate with other departments on behalf of PB Compliance Team lead (e.g., Risk Management, Internal Audit, HR and operations) to direct compliance issues to appropriate existing channels for investigation and resolution. Works with legal team as needed to resolve difficult legal compliance issues
- Respond on behalf of PB Compliance Team lead to alleged violations of rules, regulations, policies, procedures, and internal code of Conduct by evaluating or recommending the initiation of investigative procedures
- Assist in the Identifying of potential areas of compliance vulnerability and risk for PB and TPC; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future
- Provide reports on behalf of PB Compliance Team lead on a regular basis, and as directed or requested, to keep senior management informed of the operation and progress of compliance efforts/ tasks (i.e. BRC, PBNA meetings etc)
- Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies (i.e.HKMA, SFC, PCO etc) as appropriate and/or required
3
Experience For Wealth Management Compliance Operations Coverage Resume
- Institute and maintain on behalf of PB Compliance Team lead an effective compliance communication program for the PB and TPC. To work with other compliance teams and BUs to develop and implement compliance monitoring programs
- Work with the Human Resources Department and other stakeholders as appropriate to develop an effective compliance training program for DBSHK and PB/ TPC, including appropriate introductory training for new employees as well as ongoing training for all employees and managers
- In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to private banking business
- Good leadership skills to foster compliance culture, in particular in business unit & in the team
- Excellent people management and analytical skills
- Develop and coach staff and colleagues
- Provide prompt, sound and consistent compliance advice, interpretation and recommendation on regulations and policies as well as new products and other business initiatives to CBG as directed by CBG Compliance Team lead/ Head of Compliance
4
Experience For Wealth Management Compliance Branch Examinations Data Analytics Professional Resume
- To work closely with BUs and other compliance teams to establish and implement appropriate compliance policies and procedures particular for those relevant to CBG as directed by CBG Compliance Team lead/ Head of Compliance
- To handle compliance and regulatory assignments such as complaint handling, regulatory reporting and survey, regulatory examination and CBG related ad hoc project as directed by CBG Compliance Team lead/ Head of Compliance
- To assess training needs, develop and review training materials and conduct training for BUs as directed by CBG Compliance Team lead/ Head of Compliance
- To act as the main conduit/interface and foster good relations between BUs and various regulatory authorities as directed by CBG Compliance Team lead/ Head of Compliance
- Develop, maintain and revise policies and procedures for the general operation of the CBG and business and its related activities to prevent compliance breaches, unethical, or improper conduct
- Manage day-to-day operation of the CBG’s compliance program. This includes supporting new business intiatives and product launches. To review product / service marketing materials (e.g term sheets), proposals and implementation of sale process for CBG as directed by CBG Compliance Team lead/ Head of Compliance
5
Experience For Manager, Wealth Management Compliance Resume
- Act as an independent review and evaluation function to ensure that compliance Issues/concerns within CBG is being appropriately evaluated, investigated and resolved as directed by CBG Compliance Team lead/ Head of Compliance
- Compliance / regulatory advisory experience
- Develop a rapport within Consumer Banking but maintaining independence
- Foster compliance culture, in particular within Consumer Banking and the compliance team
- Create product-related training
- In-depth knowledge of banking and financial sector laws and regulations, compliance best practices and understanding of financial products and operating business, in particular those relating to Consumer Banking
List of Typical Skills For a Wealth Management Compliance Resume
1
Skills For Head of Wealth Management Compliance Americas Resume
- Excellent verbal and written English communication skills essential, fluency in Asian languages e.g. Mandarin or Cantonese advantageous
- Key focus on client experience
- Experience in the financial services industry,
- Financial services industry or government agency/regulatory body experience
- Strong knowledge of international and domestic AML/OFAC/Sanctions laws and regulations
- Working knowledge and application of Swiss AML and sanctions laws and regulatory expectations
2
Skills For Asset Wealth Management Compliance Resume
- Management Information (MIS) – compiling of data and producing frequent reports and other ad-hoc reports as required for team management and senior management
- Work with regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
- Assist with the review of marketing materials with the business unit and the Compliance Marketing Review team
- Periodic travel required, averaging 20% over the course of one calendar year
- Creates and performs UAT esting
- Additionally, the group engages in the development of training plans and materials, application support models and other user-facing issues related to specific projects
- Ensuring that compliance monitoring and governance policies and procedures align to regulatory obligations and enterprise compliance expectations, and where appropriate, supporting the development of new control mechanisms
3
Skills For Wealth Management Compliance Operations Coverage Resume
- Acting as the subject matter expert on the application of laws and regulations on the business and assisting and advising on regulatory and related questions, communicating findings, and making recommendations for compliance as necessary
- Oversight, reporting, monitoring and testing of regulatory requirements and internal business practices, policies, and procedures
- Identifying and communicating control weaknesses and other issues involving risk management and operational matters affecting the businesses and their respective compliance programs
- Supporting new initiatives, products, and client segment issues and identifying, interpreting, and assessing the risk associated with existing and emerging regulatory requirements
- Coordinating internal compliance reviews and investigations, including the periodic review of ‘first line’ compliance
- Preparing compliance reporting to the Chief Compliance Officer, senior management and the Board of Directors
- Assisting the lines of business with conducting thorough investigations into complaints lodged by clients, and tracking, reporting on, responding to, and settling client complaints for the lines of business
- Striving to deliver results and exemplifying the behaviours contained in BMO’s Our Way Model
- Establish standard policies and procedures for the effective implementation of regulatory and firm compliance programs relating to complaints and regulatory issues
4
Skills For Wealth Management Compliance Branch Examinations Data Analytics Professional Resume
- Develop and implement policies, procedures and initiatives to ensure compliance with regulatory requirements and internal policies, in accordance with the ECP Program
- Identify areas of regulatory, financial and reputational risk and provide advice and opinions to reduce or eliminate risk associated with client complaints and regulatory concerns
- Knowledge of transaction flows (SWIFT) and sanction screening technology
- Execute and manage global ad-hoc projects based on compliance or business requirements that helps in enhancing the compliance of the firm
- Perform daily, monthly and ad hoc surveillance of sales and trading activities
5
Skills For Manager, Wealth Management Compliance Resume
- Specifically, provide Compliance support for equity Sales and Trading Desks, Syndicate Desk and support functions
- To review the adequacy of existing policies and procedures of the business groups and, if appropriate, recommend and help implement improvements
- Ensure effective reporting structure and processes are in place to identify risks and/or gaps that need to be mitigated. This includes an assessment of both internal and quality controls
- Conduct internal investigations on staff misconduct to determine whether escalation and/or external reporting is required
- Communication and education on new policies and procedures
- Prepare recommendations for Internal Discipline
6
Skills For Wealth Management Compliance Registration Supervisor Resume
- Work with colleagues from Legal, Risk, Operations, Global Security and Investigations and the Lind of Business and coordinate investigations across those areas of the firm
- Present case overviews to management and peers; proactively update management on major, high profile and/or high risk cases
- As part of the investigation process, identify compliance risk and control gaps and communicate findings to management. Propose updates to guidelines and procedures as necessary
- Build understanding and trust
- From time to time engage in projects as required
- In Financial Services, Operations and/or Compliance
- Strong judgment and excellent written and oral communications skills with the ability to present information in differing degrees of details and form depending on the audience
- Excellent verbal and written English communication skills are essential and fluency in Asian languages e.g. Mandarin or Cantonese advantageous
- Participate as Compliance representative on relevant committees and councils, including but not limited to WM Americas Operating Committee, WM Americas Executive Committee, WM Americas Non-Financial Risk Committee, and New Product Committees
7
Skills For Director of Complaints Wealth Management Compliance Resume
- Member of PWCC Compliance senior leadership team
- Working knowledge and application of OFAC and international (HMT, EU, Swiss, Canada, Asia) sanction laws and regulations, including blocking, rejecting, reporting requirements
- Working knowledge of the financial services industry with a focus on private banking and wealth management services, registered funds (e.g. mutual funds, SICAVs), and product distribution channels
- Hold regular staff meetings that are structured and driven by an agenda
- Interview prospective new hires
- Respond to audit request internal and external as appropriate
- Review quarterly staff supervisory reviews
- Promote and support community involvement and committee participation
- Handle all escalated matters as appropriate
8
Skills For Wealth Management Compliance Team Lead Resume
- Communicate findings to compliance colleagues and suggest potential corrective actions to address issues
- Proactive, self-motivated and organized
- Know when and how to escalate issues
- Ensure compliance with laws, regulations and rules and the Firm’s policies, procedures and standards
- Advise the PWM Business Unit on all regulatory Compliance matters in particular in the areas of product and suitability, procedure manuals
- Work closely with PWM Management on new business proposals and regional projects as well as represent Compliance in relevant committee meetings
9
Skills For Wealth Management Compliance Technology Project Manager Resume
- Develop policies and procedures to facilitate compliance with laws, regulations and rules and the Firm’s policies, procedures and standards and industry best practice, and monitor for compliance with these policies and procedures
- Maintain Compliance documentation including Compliance Notices, rules database, and Compliance plans
- Conduct periodic desk reviews/audits of the firm’s activities
- Provide oversight to ensure staff are properly registered and trained
- Handle internal, external and regulatory inspections and audits
- Develop new surveillance reports and systems with IT LI-GK2
- To provide regulatory and compliance advice/guidance to the Equities Business within the Wealth Management Capital Markets Business, as well as to the Morgan Stanley Branches, the Regulatory Examination Group, the Early Dispute Resolution Unit, Operations, and Risk Units
- Assist in the design and maintenance of written supervisory procedures, as prescribed in FINRA Rules 3110 and 3120
10
Skills For Private Wealth Management Compliance Resume
- Collaborate extensively with the relevant business management teams, Legal, and various control functions to ensure compliance with regulatory requirements and firm policies and procedures
- Interact with technology support, operational support and risk management to ensure sales and trading technology and trading practices remain compliant with Firm policies and industry regulation
- Excellent organizational and communication (written/verbal) skills
- In depth knowledge of Equity Markets
- Experience interacting with traders, sales staff and support personnel and be confident and professional in all dealings with business personnel and senior management
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