Compliance Monitoring Cover Letter

Please consider me for the compliance monitoring opportunity. I am including my resume that lists my qualifications and experience.

Previously, I was responsible for continuing advice and guidance to peers in the Name Screening/AML PEP and CTR monitoring functional areas regarding HNAH’s BSA/AML Policy.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• A proven track record in delivery under competing priorities is essential
• Design, develop and deliver a comprehensive proactive, independent second line compliance monitoring plan/framework across the group through the development and implementation of a robust compliance risk assessment process
• Familiarity with UK and international financial services regulation
• Demonstrable experience of actioning steps and developing realistic plans in order to accomplish objectives and goals
• Understanding of capabilities and limitations of automated transaction monitoring systems
• Willingness to challenge
• AML Financial Crime Certificate or Qualification would be an advantage
• Knowledge of federal consumer financial laws and state laws governing consumer finance

I am excited to be applying for the position of compliance monitoring. Please accept this letter and the attached resume as my interest in this position.

In my previous role, I was responsible for support to first line of defence in the development and maintenance of appropriate controls and procedures to ensure compliance with AML, CTF and Sanctions regulations.

My experience is an excellent fit for the list of requirements in this job:

• A curious mind and a willingness to learn
• Strong knowledge of consumer banking compliance regulations
• Possess competency and experience in the areas of risk management, business and operational processes, internal auditing, and other internal controls, and regulatory compliance
• A strong understanding of the FCA Handbook - in particular COBS, CASS, SYSC, SUP, APER and AML, obtained from working in an FCA authorised and regulated firm
• Bank operations experience in mortgage originations, mortgage servicing, community banking
• Working knowledge of Microsoft Word, Access, Outlook and Excel
• Working knowledge of federal and state insurance laws and regulations
• Holds at least one professional certification (CFE, CPA or CIA)

Please consider me for the compliance monitoring opportunity. I am including my resume that lists my qualifications and experience.

In my previous role, I was responsible for relationship management, coordination, and tracking of documentation for Ally Invest's BSA/AML/OFAC exams and internal audits.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Previous knowledge of financial statements and financial covenants
• Solid analytic and problem resolution skills needed
• Deep understanding of a variety of concepts, practices, and procedures related to investment management activities
• Fluent, excellent English (both verbal and written), with experience in reports and business writing
• General understanding of Healthcare Law
• Strong understanding of money laundering schemes AML legal and regulatory environment, specifically the laws, regulations, and guidance promulgated under the BSA and USA PATRIOT Act
• Strong presentation, influencing and interpersonal skills
• Experience in a multi-cultural, international organization

I submit this application to express my sincere interest in the compliance monitoring position.

In my previous role, I was responsible for advice and direction to the business on matters such as client risk issues, client closures, new business and product initiatives and activities, AML regulations and best practices, resolution recommendations for audit, regulatory, internal/external review of AML/OFAC issues, etc.

I reviewed the requirements of the job opening and I believe my candidacy is an excellent fit for this position. Some of the key requirements that I have extensive experience with include:

• Knowledge of applicable federal and state consumer lending laws and regulations, including, among others, Truth in Lending Act (Regulation Z), Equal Credit Opportunity Act (Reg B), Fair Credit Reporting Act (Reg V), UDAAP, and Gramm-Leach-Bliley Act (Reg P)
• Providing general compliance advice to the firm
• Knowledge and experience of a similar wholesale, retail or professional services firm
• Knowledge of and experience with laws, regulations and industry guidance that affect the pharmaceutical industry including, but not limited to, OIG and PhRMA guidelines, healthcare standard operating procedures, federal Sunshine Act, state disclosure laws, anti-bribery laws, and state price reporting statutes
• Experience with an Ethics and Compliance program in a life-science industry with a working knowledge of finance tracking systems, data analytics and reporting tools, aggregate spend reporting experience preferred
• Mortgages or financial crime, or
• Previous experience of compliance monitoring
• We don’t require any particular experience but previous work experience in the financial services sector would of course be of value

I submit this application to express my sincere interest in the compliance monitoring position.

In the previous role, I was responsible for timely and quality advisory support on AML and Sanctions related matters to Business/Support Units as well as to country AML Compliance team.

Please consider my experience and qualifications for this position:

• Assist with the delivery of the Compliance Risk Based Monitoring Program (RBMP) and the Data Protection Monitoring Program to ensure it is followed using analytical skills, assisted by system and desk-based techniques and/or departmental visits
• Assist with reviews in identifying gaps or risk areas in the business which are not being addressed which are then highlighted for inclusion in the risk based monitoring program
• Asset with capture and recording of breaches, or potential breach, of FCA rules
• Assist with management of Compliance registers
• Handle client queries and treat clients fairly at all times
• Build/maintain a monitoring & testing program to help ensure Barclays’ compliance with permissible US activities and operations under US banking rules
• Plan for and manage compliance reviews according to the established review schedule and ad hoc regulatory / business commitments, including determining review scope, budget and testing approach
• Work with business Compliance Officers and management to agree on appropriate action plans