AML Operations Resume Samples

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S Strosin

Sadye

Strosin

52628 Tillman Plains

New York

+1 (555) 625 5144

52628 Tillman Plains

New York

Phone

p +1 (555) 625 5144

Experience Experience

Los Angeles, CA

AML Operations Manager

Los Angeles, CA

Borer-Schuster

Los Angeles, CA

AML Operations Manager

Reporting unusual client activities which might relate to money laundering
Assisting in the development and implementation of improvement plans with quality assurance personnel
Providing line management for analysts, including performance management, coaching and supporting hiring and training
Distributing case work based on risk prioritization to team for review
Authorising closure of cases
Supporting the successful accomplishment of internal Risk Control, and Self-Assessment (RCSA) policies, as they apply to the department
Using global standard policies, procedures and tools

Phoenix, AZ

Senior AML Operations Manager

Phoenix, AZ

Pouros and Sons

Phoenix, AZ

Senior AML Operations Manager

This is an exciting opportunity to work with Clients regarding AML and to expand & develop operational legal and regulatory expertise
Performance Management/ Coaching/ Leadership training
Ensuring a framework is in place which cultures strong relationships with External and Internal Stakeholders including Our Clients, the TA teams in Global Fund Services, the Citibank Europe Plc MLRO, the Fund MLRO’s
Daily management of direct reports through effective communication of information and setting priorities to optimize performance
Review and implementation of new regulations; To include involvement in all phases of an implementation project, from initial analysis, vendor engagement, testing and roll out into the operations model
Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
Day to day management of team and adequate allocation of resource to ensure effective daily trade activity, screening, investor follow up and in-queries within the terms of our internal and external SLA

present

Dallas, TX

Head of Investor AML Operations

Dallas, TX

Stroman, Towne and Langworth

present

Dallas, TX

Head of Investor AML Operations

present

Manage the review of investor documentation in adherence with Northern Trust’s AML policy and procedures. Work with colleagues and line management in reviewing such investor documentation and efficiently sourcing outstanding investor due diligence documentation (if any) with professionalism of approach and timely escalation of material issues arising
Transfer Agency workflow processing system and concepts knowledge is beneficial
The successful candidate is expected to exercise due care and diligence, and ensure that the responsibilities of the role are organised and controlled within the ambit of regulation, compliance and risk management
Maintain an up to date knowledge of AML regulation and best practice and use this knowledge to initiate enhancements to Northern Trust’s AML processes and procedures
Effective risk management
Address the most complex problems and critical issues escalated from within the Investor AML Operations team, as well as those received from other internal and/or related external parties
Develop, implement and enforce policies, procedures and programs to increase business effectiveness and efficiency whilst minimizing potential money laundering risk

Education Education

Bachelor’s Degree in Criminal Justice

University of California, Santa Barbara

Bachelor’s Degree in Criminal Justice

Skills Skills

Acknowledged subject matter expert who through guidance and support exerts influence over staff members in the unit
Very good knowledge of English
Excellent corporate work ethics (timely, respectful and considerate to co-workers, and honest
Self motivated/self-starter, can take initiative, can work independently without supervision and can step in to support other team members initiatives; can work well under pressure
Can develop strong relationships with subordinates, peers and senior managers
Strong written and verbal communication skills
Ability to accurately listen; considers information and opinions from others in a non-judgmental way
Demonstrates commitment and accountability and is self-confident in executing responsibilities
Effectively communicate with all levels of Management both internal and external to department on all matters
Computer Literacy

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AML Operations Manager Resume Examples & Samples

Oversight of investigators and analysts - onboarding team members, ongoing coaching and training, and monitoring of the quality of investigations
Final SAR decisioning and filing (SAR, no SAR)
Development of project-specific investigative protocols, which adhere to global standards and procedures
Interaction with other investigative and compliance areas, external law enforcement
Provides guidance, problem solving, performance feedback, mentoring, and challenges to employees
Bachelor's degree in Criminal Justice, Finance, or related Businessfield
7-10 years of professional experience as an Investigator with demonstrated expertise/understanding of Bank Secrecy Act (BSA), Anti-Money Laundering (AML), Office of Foreign Assets Control (OFAC) and other AML regulatory policies
Must possess outstanding management skills, leadership ability, and discretion regarding highly sensitive and confidential issues
Demonstrated proficiency with PowerPoint and prior experience making presentations to senior leadership
Demonstrated proficiency with Excel, with knowledge of advanced functions
Must be proficient at interpreting situations that pose significant risk to the Firm
Possess above average analytical skills and comprehensive understanding of process management ,and internal policies
Excellent written and oral communications, along with negotiation skills
General business financial skills

AML Operations Manager Resume Examples & Samples

Validating and authorising submission of requests for further information, escalation or suspicious activity recommendations
Authorising closure of cases
Building and applying knowledge of money laundering processes
Generating workflow reports pertaining to analyst activity, scheduling and resource planning
Providing feedback to Ops Team Manager, Hub Head and Hub Optimization team on Mantas threshold applicability
Reviewing system access request to ensure that only staff are granted access at appropriate level. Line management for analysts, including performance management, coaching and supporting hiring and training

O&t-aml Operations Junior Analyst Resume Examples & Samples

Draft and raise Additional Information Request (AIR)
Demonstrated ability to perform detailed analysis of raw data based on policy and work instructions
Computer Literacy with advanced knowledge in Microsoft Excel and PowerPoint

AML Operations Manager Resume Examples & Samples

Distributing case work based on risk prioritization to team for review
Utilize Global standard policies, procedures and tools to make effective decisions
Assist in the identification, development, and implementation of improvement plans
Provide operational expertise in internal work groups, teams and committees focused on enhancing current processes and procedures and create efficiencies
Manage the internal risk and control process
Provide feedback to Operations Management and Process Support as necessary
Conduct performance reviews, provide ongoing coaching and mentoring to Analysts
Identify and appropriately escalate issues/red flags to Management
Providing the necessary guidance and reaching out to business contacts as necessary
5+ years of professional work experience in AML Operations
Knowledgeable of the laws applicable to money laundering, including the Bank Secrecy Act, the USA PATRIOT act, US Treasury AML guidelines, and OFAC requirements
General understanding of Senior Public Figures, Money Service Businesses, Wealth Management and Retail Banking preferred as well as compliance with those business segments
Excellent organizational, time management and project management skills
Strong Performance record with a history of increased responsibility and task/project delivery
Computer Literacy
Able to multitask and complete assigned task with minimal guidance and supervision
Highly effective verbal and written communication and presentation skills to all levels of management
Strong leadership skills and attention to detail
Preferred: Experience in team management

AML Operations NAM Summer Intern Resume Examples & Samples

Knowledge of Microsoft Office products – specifically Outlook, Word, Excel, and PowerPoint. Microsoft Project and process mapping (e.g., VISIO) is a plus
Aptitude / experience working with process analysis, data analytics, process, flows, intelligence, metrics and / or reporting
Excellent Communication: written, verbal, presentation

AML Operations Latam Summer Intern Resume Examples & Samples

Computer Literate: Adept in MS Office Products
Ability to speak, write and read Spanish
Exceptional teamwork
Document Management skills

AML Operations Manager Resume Examples & Samples

Validate and authorise submission of requests for further information, escalate or recommend suspicious activity
Report unusual client activities which might relate to money laundering
Authorise closure of cases
Use global standard policies, procedures and tools
Generate workflow reports pertaining to analyst activity, schedule and plan resource
Assist in the development and implement improvement plans with quality assurance personnel
Provide operations expertise to internal work groups, teams, and committees focused on enhancing current procedures and creating efficiencies
Ensure support for the business in matters relating to Compliance and/or Audit
Support the successful accomplishment of internal Risk Control, and Self-Assessment (RCSA) policies, as they apply to the department
Provide feedback to Ops Team Manager, Hub Head and Hub Optimization team on Mantas threshold applicability
Review system access request to ensure that only staff are granted access at appropriate level. Line management for analysts, including performance management, coaching and supporting hiring and training

AML Operations Manager Resume Examples & Samples

Responsible for managing the Lookback organization within Global Compliance Operations, including the documentation and implementation of operational policies and plans
Document and recommend enhancements to improve effectiveness and efficiency of services and systems
Review and provide feedback on alerts, cases and SARs per procedures and guidelines
Bachelor's degree in Criminal Justice, Finance, or related Business field

Analyst AML Operations Resume Examples & Samples

Professional licenses/certifications (i.e., FINRA Series 7, CAMs, CFE) preferred
Minimum 1-3 years of Financial Crimes alert processing/investigations, AML alert processing/investigations, and/or Fraud alert processing/investigations experience preferred
High level of analytical and problem-solving skills
Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically

Analyst AML Operations Resume Examples & Samples

Minimum 1-3 years of Financial Crimes alert processing/investigations, AML alert processing/investigations experience
Bachelor’s Degree and/or equivalent experience preferred
CAMs Certification preferred
High level of analytical skills and problem-solving
Working knowledge of AML, EDD and KYC regulatory requirements
Ability to work in a fast paced/high volume environment
Ability to work independently without close supervision
Ability to multi-task and work effectively
Self-Motivated and results-oriented
Capable of prioritizing and meeting deadlines
Strong attention to detail and display a consistent quality of work

Analyst, AML Operations Resume Examples & Samples

Minimum 1-3 years of Retail Broker/Dealer experience
FINRA Series 7 preferred
Working knowledge of Financial Crime Detection software, i.e. Mantas, SAS, Actimize, or similar
Professional demeanor in dealing with internal and external clients

MYS Ctsm Kl-aml Operations Pro-lead Resume Examples & Samples

Analyzing alerts and investigating transactional activities to detect any suspicions of money laundering or terrorist financing activity
Creating/maintaining cases
Apply or adapt knowledge (obtained from training) of any imposed sanctions or laws/regulation(s) to the task at hand
Required: Computer Literate - Proficient in Windows applications (Word, Excel, etc.)

Analyst, AML Operations Resume Examples & Samples

Knowledge of the Brokerage Industry preferred
Strong judgment and excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
Comfortable working with all levels of management
Strong analytical skills, problem solving, good critical thinking and decision making skills
Attention to detail and quality assurance
Ability to multi-task, work well under pressure with commitment to deliver under tight deadlines

Senior Director, AML Operations Resume Examples & Samples

At least 15 years of experience in risk or compliance roles with at least 10 years’ experience implementing AML/ATF and sanctions programs that are in compliance with US laws and regulations, specifically Bank Secrecy Act (BSA), USA PATRIOT Act and OFAC programs
Subject matter expertise in the areas of customer due diligence and activity monitoring and reporting
Strong knowledge of BSA/AML laws, regulations, and FFIEC guidelines
Strong understanding of Visa, its clients and its products
Hard worker who is self-motivated and adept at working on multiple and varied tasks
Ability to perform under pressure and capable of working collaboratively with employees throughout the company
Excellent written, oral, presentation and interpersonal skills to champion internal/external communication
Bachelor’s or higher level degree in law or another relevant discipline
Professional AML/ATF accreditation

MYS Ctsm Kl-aml Operations Resume Examples & Samples

Facilitate the organization of updates at Country level GBRCs and ensure day-to-day deliverables to Customers within the Global Customer Engagement Framework is as per service quality standards committed
Ensure stakeholders are periodically updated on the Hub performance and promptly informed of issues related to governance for oversight
Assist in the development and execution of the AML Operations communication framework with stakeholders with regards to change management to ensure impact assessment of significant changes in the Hub Operations is communicated appropriately and in a timely manner
Plan and execute against a continuous improvement culture in Customer service standards by monitoring service quality metrics and escalate where required for action
Conduct bi-annual Customer Survey to stakeholder for feedback, and, recommend and action appropriately based on the Customer feedback
Review and investigate unusual trends or issues raised by Stakeholders for resolution and address concerns appropriately
5 years working experience in an operations support area

P&A Lead Analyst VP, AML Operations Resume Examples & Samples

Lead FP&A processes and activities across all functions, including monthly management reporting and analysis on both actual and forecast, productivity validation, investment submission, MOR and budget related deliverables
Review headcount forecast provided by business planning team, understand the drivers and assumption behind the forecast and challenge where assumptions might need refinement
Prepare Operation managers for monthly financial review meetings with Americas AML Ops head
Ad hoc financial reporting and analyses, including business case analysis for location strategy, client allocation methodology change impact, and key operation initiatives financial impact analysis
Act as first point of contact for Operation managers and business planning team for finance related queries
Work closely with EO&T billing team on executing client allocation methodology (during budget and monthly) , understand monthly charges variance to Budget, provide data to facilitate quarterly charges true up, provide allocation variance commentary to Business and regional finance customers in LATAM
Manage inputs and integrity of forecast data in the forecast systems (Jade and CHAT)
Bachelor’s degree required in Accounting, Finance or Business Administration
At least 3 years of FP&A experience, preferably in a large matrix organization with responsibilities interfacing with business managers
Strong analytical and data management skills (pivots)
Detailed oriented with proven track record of high quality results
Ability to build strong relationships and interact at all levels in the organization
Strong influencing skills with clear communication
Ability to multi-task, prioritize, collaborate with stakeholders to complete deliverables in time
Client allocation experience a plus

AML Operations Manager Resume Examples & Samples

Manages a team of TEam Leaderas by: ◦Conducting monthly reviews of the team members QA reviews for the purpose of accuracy and consistency
1-3 years of experience and subject matter expert with AML/BSA matters. *A working knowledge of Anti-Money Laundering, Sanction & Screening laws and regulations is important to the performance of this position. *The individual should be prepared to provide training in the monitoring of new products when they are implemented
Intermediate Microsoft Suite knowledge
Strong analytical skills and administrative skills is required; attention to detail is necessary
Bilingual – depending upon the Hub responsibilities, local language skills may be required; must be able to read, write and speak requisite language
Acknowledged subject matter expert who through guidance and support exerts influence over staff members in the unit
Effectively communicate with all levels of Management both internal and external to department on all matters
Must be self-motivated and detail oriented, with the ability to juggle multiple competing priorities in a demanding environment
Excellent corporate work ethics (timely, respectful and considerate to co-workers, and honest
Self motivated/self-starter, can take initiative, can work independently without supervision and can step in to support other team members initiatives; can work well under pressure
Can develop strong relationships with subordinates, peers and senior managers
Demonstrates commitment and accountability and is self-confident in executing responsibilities
Ability to accurately listen; considers information and opinions from others in a non-judgmental way

MY Ctsm Kl-aml Operations Resume Examples & Samples

Participate in management decisions, and hold organization control of a large business group
Manage TMST Regional Standards Team responsible party for the successful implementation and maintenance of GSOM disposition standards initiatives in their region, to include local change control of operational policies and procedures, operational training, and re-engineering activities, while maintaining global standards
Ability to contribute to a highly-visible, multi-year global program to set an industry standard
Opportunity to enhance AML subject matter expertise in a large operational area within the context of a complex global financial services company
Work closely with peers in other regions to build and communicate best practices in a consistent manner across GSOM
Be the point of authority on AML policy and standards with Regional AML Operations and Compliance
Work closely with escalation channels such as Regional AML Compliance and FIU, as well as Quality Assurance to ensure that any challenges and considerations of the Case Review program are understood and resolved
Support reviews conducted by Internal Audit, Compliance Testing and regulatory exams and where required own the resolution of action items as a result of the reviews
Drive continuous improvement of AML disposition standards and training materials to improve both quality of investigative product and operational productivity by working with Global and Regional Continuous Improvement teams
Ensure supported Citi AML Operations staff are fully prepared and provided with development resources to maintain optimal risk mitigation for the region
Ensure regional alignment of Alert Disposition Standards and Operations training with other elements of GSOM
Support the Disposition Standards Adherence team with assessments of operational case dispositions in the supported region
Working with Regional Risk and Control, ensure adherence to operational standards. Support internal and external audits and regulatory examinations, as required
Maintain frequent communication channel with AML Hub partners to ensure disposition standards issues, including new hire performance concerns, are communicated and addressed in a timely manner
Adhere to internal data privacy standards when dealing with sensitive client data. Keep abreast of regional industry developments and communicate implications for Citi and AML Operations to GSOM
Bachelor's degree preferred in Business Administration, Finance, Management, or related area
5-10 years in Compliance or AML related activity functioning as a subject matter expert
2+ years exposure to regional/global operations
2+ years hands on experience in defining policy and procedure and delivering training
Strategic leadership with an ability to identify and understand the detail of key processes critical to success
Very strong influencing and partnering skills
Experience and ease interfacing with Senior Management
Strong organization and facilitation skills
Excellent organization, communication, negotiation and influencing skills
Effective coaching, training and mentoring skills
Sensitivity to cross-cultural communications and relationship building

Head of Investor AML Operations Resume Examples & Samples

AML Legislation/Regulation & Guidance/Best Practice
The Investor AML Department’s processes and procedures
Northern Trust’s Compliance, Risk and Audit programs
Maintain an up to date knowledge of AML regulation and best practice and use this knowledge to initiate enhancements to Northern Trust’s AML processes and procedures
Ensure that all queries from internal and external parties are dealt with efficiently and professionally
Address the most complex problems and critical issues escalated from within the Investor AML Operations team, as well as those received from other internal and/or related external parties
Develop, implement and enforce policies, procedures and programs to increase business effectiveness and efficiency whilst minimizing potential money laundering risk
Manage completion by Investor AML Operations of AML compliance support for clients in conjunction with Northern Trust colleagues and provide regular and meaningful periodic updates to line management and colleagues
Manage the review of investor documentation in adherence with Northern Trust’s AML policy and procedures. Work with colleagues and line management in reviewing such investor documentation and efficiently sourcing outstanding investor due diligence documentation (if any) with professionalism of approach and timely escalation of material issues arising
Build and maintain strong working relationships with clients and partners in other Northern Trust departments
Take responsibility for timely and accurate completion by Investor AML Operations of workload allocated including tasks processed through Northern Trust’s workflow process
Daily liaison and attendance of meetings with internal and external parties to deliver AML Compliance support services to clients, investors, Northern Trust partners and Fund Boards
Perform additional work where volume or absence requires such workload to be completed
Ensure that the Investor AML Operations team meets the required audit, risk and compliance standards as determined, from time to time, in accordance with changes in legislation and guidance
Knowledge of day-to-day Transfer Agency operations and the wider funds administration business
Previous people management experience
Previous experience in an AML Compliance role
Strong knowledge of the AML regulatory environment in Ireland
Strong organisational and communication skills
Effective risk management
Ability to research and understand complex issues and deliver solutions
General knowledge of Microsoft Office applications relating to designated areas of responsibility
The successful candidate is required to comply, and ensure reports and colleagues comply, with the AML regulatory regime in which Northern Trust operates as appropriate to the above role
The successful candidate is expected to exercise due care and diligence, and ensure that the responsibilities of the role are organised and controlled within the ambit of regulation, compliance and risk management
Transfer Agency systems knowledge is an advantage
Transfer Agency workflow processing system and concepts knowledge is beneficial

MYS Ctsm Kl-aml Operations Manager Resume Examples & Samples

Allocating alerts to analysts for investigation of transactional activities to detect any suspicions of money laundering activity
Reporting unusual client activities which might relate to money laundering
Using global standard policies, procedures and tools
2 years experience in AML Monitoring

VP AML Operations Resume Examples & Samples

Management of a team of directors and overseeing a team size of 150 – 250 employees, globally
Develop employees and their skill sets to expand the team capabilities and provide growth opportunities for future leaders
Act as the lead operations compliance contact for the development and implementation of significant regulatory initiatives
Oversees, through director level management, the global Financial Intelligence Unit including alert management functions (ML/TF and sanctions screening), AML IT and AML Analytics teams
Analyzes the key levers of the business to identify money laundering/terrorist financing trends and proactively take action to eliminate root cause
Stay abreast of current regulatory developments in the KYC, AML and OSFI fields, analyze for applicability to Payments Businesses, and develop & implement communications plans for necessary changes
Drives projects and process changes to improve and optimize money launder/terrorist financing risk management
Sets goals and is responsible for improvements in specific metrics for money laundering/terrorist financing
Achieve operational excellence and process improvement in our service level agreements (SLAs) for all processing activities
Drive continuous enhancements to the functionality and processes of the AML Operations team; these take the form of driving innovation through various channels - software requirements gathering and definition, world-wide project management, metrics definition, data structure improvements, etc
Maintaining the AML/ATF/Sanctions program including the AML/ATF Compliance Network as documented in the Compliance Handbook in conformity with the requirements of the Scotiabank Global Compliance (SGC) Program and current with the needs of SGC, industry trends, legal requirements and Regulations regarding AML/ATF/Sanctions compliance risk management
Co-ordinating AML/ATF/Sanctions-related activities with Global Compliance, and offer Executive Office functions, including Global Risk Management, Audit/Legal, Shared Services, Security & Investigation, and other areas with risk management responsibilities
Supporting business line management in the assessment and management of money laundering and other risks associated with criminal activity by providing advice and counsel in the design and development of standards, procedures, training, and monitoring and surveillance programs
Providing guidance and advice to business unit management in respect of money laundering/terrorist/sanction concerns, including risk assessment and management of any significant issues impacting the business unit
Provide oversight of the Financial Intelligence Units in Canada and internationally and guidance on SAR/STR/Sanctions reporting in complex cases
Providing advice and counsel to affiliated companies on money laundering/terrorist financing/sanctions risk management matters
Requiring that business lines review proposed new, or changes to, products and services, policies, procedures and systems to ensure that money laundering and terrorist financing risks have been adequately addressed, and reviewing these issues upon request
Developing and maintaining systems and processes designed to meet Scotiabank’s AML/ATF/Sanctions obligations
Managing the annual AML/ATF Self-Assessment Program
Receiving and reviewing reports pertaining to adherence to the AML/ATF Policy and the operation and effectiveness of the AML/ATF Program, as may be required by the AML/ATF Program or generated by other areas (e.g. Global Compliance, Audit) and initiating or supporting business lines with corrective action, as necessary
In Canada: acting as the first line AML Operations contact with OSFI, the Financial Transaction and Reports Analysis Centre of Canada (FINTRAC) and law enforcement agencies with respect to AML/ATF matters. Liaising with other regulators, as appropriate, on significant issues after discussion with applicable business line Compliance Departments
Developing and maintaining a team of AML/ATF/Sanctions specialists with sufficient knowledge, skills, experience, and capacity to meet the requirements of the Program
Providing Scotiabank employees with appropriate AML/ATF/Sanctions training
Reporting at least monthly to the CAMLO on adherence to regulatory and policy requirements, effectiveness of the Department including risks, status of monitoring functions, the adequacy of resources supporting the Department, and any potential risks; and
Chairing the Transaction Monitoring Governance Committee (TMGC)
Lead and manage direct reports to support achievement of business objectives

AML Operations Manager Resume Examples & Samples

Strong leadership and people management experience
Strong business relationship and engagement with Fraud Risk, Group Investigations, Group Risk & Compliance, AML Programs and Divisional / Business Unit compliance teams
Excellent problem solving, analytical and decision making ability - able to make sound decisions under pressure
Deep knowledge of AML/CTF legislation, Financial Crime and appreciation of emerging trends to enable implementation of appropriate strategies
Proven ability to manage operational teams and processes to provide ongoing support and accreditation
Excellent communication skills (both, written and verbal)

AML Operations Intermediate Analyst Resume Examples & Samples

Assist Team Leads in capacity/productivity planning
Assist Team Leads in identifying Analysts training needs and areas of improvement
Assist Team Leads in governance calls with Compliance
Identify potential gaps/risks in transactions analysis/review
Participate in global/regional projects/work streams
Reviewing Analysts’ recommendations for further enquiry, escalation or closure
Submitting requests for further information or suspicious activity recommendations
Supporting the successful accomplishment of internal Risk Control, and Self-Assessment (RCSA) policies, as they apply to the department
Operating within agreed business SLAs and confidentiality standards

AML Operations Issues Resume Examples & Samples

5+ years of direct experience with Anti Money Laundering
Risk / Operations / Audit / Management Experience
Awareness of AML regulations and banking products
Excellent written and oral communications
Excellent influencing and team coordination skills
Responsibility to Our Clients: Builds Client Relationships, Delivers Client Solutions, Leverages Functional and Business Knowledge
Responsibility to Each Other: Manages Performance, Recruits, Develops and Retains Talent, Builds Partnerships and Values Diversity, Communicates Effectively
Responsibility to Our Franchise: Drives Results, Uses Sound Judgment, Innovates and, Manages Change, Manages Risk and Control, Pursues Learning and Self Development
Audit Management: Allocates and Manages Workload, Makes Responsible well thought out Decisions, Builds and Applies Business, Regulatory and Country Knowledge
Stakeholder Management: Shares Information, Responds to Compliance and Business Queries
Innovation: Strives for “best in class practices”, Leads Innovation, Can build, not just run a BAU operation, Delivers Effective Solutions
Advocacy: Advocates AML within Citi and Externally Mentoring, Hiring and Training, Coaching / Training skills, Staff Development

AML Operations Manager Resume Examples & Samples

Supervise team of AML Support Workflow Coordinator and AML
Maintain effective internal control environment in order to achieve satisfactory audit
Oversee OFAC resolution when matches occur and ensure effective procedures are in
Required bachelor’s degree in business, criminal justice, law, accounting or related
3-5 years’ experience required in BSA/AML and/or Financial Crimes investigations
Advanced understanding of the recordkeeping and reporting requirements of the BSA

AML Operations Manager Resume Examples & Samples

Providing feedback to Operational Team Manager, Hub Head and Hub Optimization team on Mantas threshold applicability
Experience in Manager role
Experience in AML Monitoring and knowledge of AML regulations and trends are an additional asset

MYS Ctsm Kl-aml Operations Intermediate Analyst Resume Examples & Samples

Activities include implementation support, administrative and operations coordination for the various products, programs and services offered by the business
Product management includes expanding Operations capabilities for new products and services
Includes user acceptance testing and platform rollouts
Individuals in this job family serve as liaisons between operations staff, managers, regional and hub heads, and clients
Support activities dealing with record/documentation maintenance, storage and retrieval, and administering/maintaining these activities
To prepare the recurring Productivity Report, Outlier Report and Capacity Tracker
To prepare the recurring MIS (for both Countries and Region) - Regional report coordinated for India, China and other potential sites
To prepare the recurring Weekly and Monthly Aging (MIS) to Global
To prepare the recurring QA Status Report (Hub)
This includes QA Monitoring (responses to Potential Re-open, flagging off observations/re-opens, assignment for re-open corrections and monitoring completion)
To prepare for and lead UAT Coordination (CSWF Enhancements/Merchant/Citi KYC/Dual-Weekly Batch)
To prepare and ensure Audit readiness and consistent monitoring of key Audit areas, working with the team to ensure compliance at all levels and times
To work with, coordinate and ensure all technology issues are addressed in a timely manner and to completion
Analysing and reviewing errors with files received and reporting/investigating with necessary team
To participate in all VoE related initiatives and activities including providing valuable inputs to increase engagement
Use sound understanding of operations functions. Utilizes fundamental knowledge across a variety of operations functions to gain internal understanding
Requires attention to detail when making judgments based on the analysis of factual information
Applies professional judgment when interpreting data and results
Computer Literate - Proficient in Windows applications (Word, Excel, etc.)
Proficient in internet and commercial database searches
University degree/Diploma in any discipline

AML Operations Intermediate Analyst Resume Examples & Samples

Serving as Subject Matter Expert, for multiple products, in the analysis of alerts and investigation of customers who match SDN, PEPS and Negative Media during the account opening and maintenance processes in order to protect the organization and its customers in the global marketplace
Providing training and mentoring to analysts on investigative techniques, internal systems, products, money laundering policy and sanctions regulation
Building and applying knowledge of sanctions and anti-money laundering processes
1 year experience in Sanctions or AML Monitoring
Demonstrate initiative and creativity in problem solving
Computer Literate. Proficient in Windows applications, Internet and commercial database searches
Builds relationships with various business units within the organization
Delivers client solutions
Responsibility to Each Other
Responsibility to Our Franchise Drives results
Uses sound judgment
Innovates and manages change
Manages risk and control
Makes responsible decisions
Strives for “best in class practices”
Delivers effective solutions

MYS Ctsm Kl-aml Operations Manager Resume Examples & Samples

A person in this role has a passion for uncovering the truth and exposing potential criminal activities
Experience in managing a team (Preferred)
Proven background to interact with senior management

BSA / AML Operations Associate Resume Examples & Samples

Reviews customer accounts for large currency transactions
Assists in identifying customers who may be conducting cash structuring
Prepares CTR’s for review by the AML Operations Manager prior to filing
Identifies business customers who may eligible for CTR reporting exemption and makes recommendation to BSA Operations Management
Ensures that all information contained on the CTR’s is accurate and complete
Obtains missing personal and financial information for the CTR prior to filing
Identifies Bank employees who may be consistently lax in obtaining the complete and correct information when completing a CTR and recommends to the AML Operations Manager a request for additional training
Reports any late CTR filings or potential late filings to the AML Operations Manager
Works directly with retail staff regarding any questions or concerns on large currency reporting procedures and policy
Assists the BSA Organization in identifying any concerns or issues that may arise regarding BSA/AML issues
Maintains appropriate professional certifications by attending training as required for CPE’s
Maintains proficient use of the Bank’s automated software systems
Exercises discretion and good judgment in the performance of all job functions
Assists the BSA Organization as otherwise required
Willingness to gain knowledge of the FFIEC BSA/AML regulations
Ability to work with remotely located co-workers
Ability to multi-task and prioritize work projects
Investigative techniques using Internet, Public Websites and Thomson Reuters CLEAR
Ability to travel including overnight stays
Mobility sufficient to coordinate activities within the assigned department is helpful, but not essential
Ability to sit or stand, intermittently or for an extended period of time (up to and including four hours per day), and
Ability to lift a typical office-sized storage container (box) for shipment of records being retained (up to 30 lbs.)
Bachelor’s degree in related field or equivalent related experience
1 year experience in retail banking or banking operations preferred
Professional Certification (CAMS, CFE, CBAP, CRCM, or equivalent) required within 6 months after hire (bank sponsored)
6 months previous work experience preparing and editing reports
Experience with BSA/AML monitoring software (Bankers Toolbox, Patriot Officer, JHA Yellow Hammer, Verafin, or something similar) preferred

AML Operations Production Lead Resume Examples & Samples

Dynamic Woking environment
Excellence opportunity to be part of a growing business
Contribute to super regional goal

Senior AML Operations Manager Resume Examples & Samples

Day to day management of team and adequate allocation of resource to ensure effective daily trade activity, screening, investor follow up and in-queries within the terms of our internal and external SLA
Responsible for follow up with investors regarding outstanding AML documentation and update of records in this regard, in order to be able to report effectively to investors, Clients, Auditors and Internal Compliance, regarding investor AML compliance
Effective maintenance and archiving of all AML documentation in line with regulation
Remediation of investor bases converted form other administrators as appropriate
Implementation of new Clients and streamline process
Ongoing screening of investor against sanctions lists and appropriate internal and Client reporting based on results
Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
Ensuring a framework is in place which cultures strong relationships with External and Internal Stakeholders including Our Clients, the TA teams in Global Fund Services, the Citibank Europe Plc MLRO, the Fund MLRO’s
Review and implementation of new regulations; To include involvement in all phases of an implementation project, from initial analysis, vendor engagement, testing and roll out into the operations model
Review of current processes and systems with the intention of identifying opportunities for operational efficiencies and defining a best in practice operating model for the AML team
Management of team and stakeholders through accurate and relevant metrics
Minimum seven years funds experience, preferably in a TA/AML or Compliance environment (other AML experience will be considered)
Ability to demonstrate management, coaching and leadership skill gained as a Team manager
Detailed knowledge of Irish AML regulations and familiarity with the global AML environment
Experience of running an operational team of at least 6 people
Knowledge of hedge and mutual funds, including investor AML
Experience of core systems used for TA/AML/Record keeping
Experience of system development from an SME perspective
Experience of process review
Strong planning, scheduling and organizational skills
Excellent people management, including people development and coaching
Ability to delegate, with appropriate controls to ensure effective running of the team
Strong risk and control skills
Attention to detail and strong analytical skills
Ability to demonstrate good leadership and judgment in an ever changing environment
Agile, adaptable and highly motivated
Excellent verbal and written communication skills, including ability to negotiate and influence
Demonstrable ability to interact with senior management and clients showing in-depth knowledge of AML
Ability to manage numerous competing concurrent activities
Highly PC literate with excellent IT skills (e.g. Excel, PowerPoint, Word, Outlook)
Valuing Diversity
Relevant third level qualification
ACOI or equivalent compliance qualification
Performance Management/ Coaching/ Leadership training

Senior AML Operations Manager Resume Examples & Samples

Will provide oversight for the day-to-day activities of all functional areas within AML Operations
Manage a team comprised of Ops Managers and Analysts. Primary responsibilities may include
Daily management of direct reports through effective communication of information and setting priorities to optimize performance
Review and monitor productivity, quality, managing staff levels and capacity
Interface with internal clients, senior stakeholders in GBAM, Global Financial Crimes Compliance, and other operations teams
Ensure management controls are in place
May have indirect oversight of virtual offshore teams
College degree and/or equivalent work experience
3-5 years management experience
1-2 years AML/KYC experience preferred
Excellent analytic, verbal and written communication skills
Risk-minded and detail-focused
Highly organized and motivated

AML Operations Manager Resume Examples & Samples

Manage a team of AML Analysts and CTR Analysts, providing guidance and oversight of the day-to-day operations of the group
Maintain metric reporting to track departmental performance for AML and CTR functions
Ensure timely analysis of potential money activity through both system generated alerting and manual referrals
Establishing relationships with law enforcement agencies and responding to requests for information
Perform ongoing analysis of departmental functions to ensure current procedures and workflows are operating in an efficient and regulatory compliant manner
Identification of process enhancements, presentation of those enhancements to management, followed by oversight of implementation
Adhere to bank policy, procedure and regulatory requirements and maintain a strict level of confidentiality
Establish a team oriented and collaborative environment to ensure overall unit goals and deadlines are met
Establish working relationships with key business partners across all lines of business
Provide support and guidance to bank’s operational areas and assist with implementation of BSA related programs for the bank
Assist with special projects and data gathering for audit and/or regulatory purposes
Assist with internal audit and federal regulatory examinations
6+ years of work experience in BSA/AML compliance
3+ years experience in managing direct reports
Extensive experience in conducting financial crimes investigations up to and including SAR filing
Expert knowledge of money laundering and other criminal typologies
Knowledge of CTR filing process and associated regulations
BS/BA degree preferred, or equivalent work or military experience
CAMS Certification preferred, or the ability to obtain within one year
Expert knowledge of bank products including deposit, lending, ACH, ATM, RDC and correspondent banking
Ability to meet regulatory deadlines with a sense of urgency while maintaining a high level of professionalism
Advanced knowledge of transaction monitoring and/or case management software
Proficiency with Microsoft Office, including WORD, EXCEL, and POWERPOINT

Investor AML Operations Resume Examples & Samples

The Ireland Investor AML Department’s processes and procedures
Takes responsibility for timely and accurate completion by Investor AML Operations of workload allocated including tasks processed through Northern Trust’s workflow process
Actively participates in Investor AML Operations’ review of investor documentation in adherence with Northern Trust’s AML policy and procedures
Works with colleagues and line management in reviewing such investor documentation and efficiently sourcing outstanding investor due diligence documentation (if any) with professionalism of approach and timely escalation of material issues arising
Escalates, and assists with resolution of, more complex problems and critical issues as referred to the Investor AML Operations team, as well as those received from other internal and/or related external parties
Ensures that all queries from internal and external parties are dealt with efficiently and professionally, with support from line management where required
Actively participates in the completion of AML compliance support for clients in conjunction with Northern Trust colleagues and provides regular and meaningful periodic updates to line management and colleagues
Develops and maintains strong working relationships with clients and partners in other Northern Trust departments
Works with line management to ensure that the Investor AML Operations team meets the required audit, risk and compliance standards as determined, from time to time, in accordance with changes in legislation and guidance
Maintains an up to date knowledge of AML regulation and best practice and uses this knowledge to promote enhancements to Northern Trust’s AML processes and procedures
Ability to research, understand and deliver solutions to issues, including more complex issues as agreed with line management
Some previous experience in an AML Compliance or Transfer Agency role
General knowledge of the AML regulatory environment in Ireland
The successful candidate is required to comply with the AML regulatory regime in which Northern Trust operates as appropriate to the above role
The successful candidate is required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of such duties