Analyst, AML Resume Samples
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Analyst, AML Resume Samples
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JH
J Homenick
Joelle
Homenick
757 Ardella Island
Chicago
IL
+1 (555) 198 4594
757 Ardella Island
Chicago
IL
Phone
p
+1 (555) 198 4594
Experience
Experience
San Francisco, CA
AML Risk Analyst
San Francisco, CA
Bahringer, Renner and Cole
San Francisco, CA
AML Risk Analyst
- Program construction, monitoring and auditing, emphasizing the management of internal risk assessments and/or investigations
- Banking-related products and services, operations, processes. commercial, retail, private banking, broker dealers and transactional flows
- Common and emerging issues impacting Financial Services clients
- Analyze and evaluate data from new and existing operational processes that support AML KYC policies and controls
- Management of multiple work streams or project teams to execute against an existing project or work plan
- Promotion and driving toward standardization of service and/or solutions delivery and activities to provide efficient client service
- Provide simple, concise and clear communications of complex data trends and analyses to senior management
Houston, TX
AML / SAR Analyst
Houston, TX
Hyatt, Rice and Stroman
Houston, TX
AML / SAR Analyst
- Perform other related duties as assigned
- Adapt quickly and effectively to procedural changes; assist with other special projects
- Process patron payments and perform related due diligence
- Promote department initiatives, teamwork and sharing of information with other analysts
- Perform Anti-Money Laundering investigations
- Provide analysis and documentation
- Communicate effectively and diplomatically with all levels of staff and management across different divisions and departments
present
Boston, MA
Gdm-sis-aml-crs-project Analyst
Boston, MA
Zieme-Kerluke
present
Boston, MA
Gdm-sis-aml-crs-project Analyst
present
- The role of Senior Analyst – Strategic Information Solutions group is based at GDM COE’ Bangalore Center and reports to the Manager/AVP
- Position Title: Senior Analyst
- Business Group: CSIL-GDM
- Individual Contributor (IC)/Managerial: IC
- Data driven solutions and working on critical Initiatives ,Identify opportunities to drive data analytics solutions
- Timely partner communication and attending business calls
- Develop consistency across reports and develop meaningful dashboards and publish them
Education
Education
Bachelor’s Degree in Regulatory Compliance
Bachelor’s Degree in Regulatory Compliance
Chapman University
Bachelor’s Degree in Regulatory Compliance
Skills
Skills
- Strong understanding of the Banks operating models in order to support BSUs deliverables
- Working knowledge of the Bank Systems including AML, Mantas Quickscreens & ECADD
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Individual should have product knowledge and experience in AML issues
- Self-motivated with good interpersonal and teamwork skills
- Strong Microsoft Office (Excel & Word) skills
- Excellent written and verbal communication skills
- Strong process facilitation, project management, and analytical skills
- An enquiring analytical mindset with the ability to identify risks, issues and trends
- Proficient computer skills, especially Microsoft Office applications
15 Analyst, AML resume templates
Read our complete resume writing guides
1
CB AML / KYC Industry Risk Forensic Analyst Resume Examples & Samples
- At the request of the Team Lead or the Industry Risk Officer, the Analyst assimilates client account research information, performs transaction analysis and helps assess HRI clients against the CB AML Risk Tolerance Policy regarding the client’s AML Program and the client’s specific AML risks; this includes treasury, investment and credit products within wholesale banking and may extend into consumer products
- As directed by the Team Lead, performs on-going client analysis and maintains summary level executive management metrics for forensic client account activity research and resolution
- Will support the Industry Risk Officers in comparison of actual versus expected/disclosed client activity and may participate in negative media searches, researching industry trends and reputational risk considerations
- Will assess account activity with product subject matter experts and provide recommendations to the Industry Risk Officer regarding cases of improper product or account use by the client and suggest offering instruction or an alternative product to the client; in cases where client misconduct is suspected, the case will be sent to the CB AML/KYC Escalation Team for further in-depth investigation
- Escalates significant issues to the Industry Risk Officer, Team Lead and CB AML/KYC Industry Risk Manager that indicate additional AML risks to the firm
- Partners with the Industry Risk Officer and the deal team (Banker, Treasury Officer, Credit Risk Officer and Service Rep) regarding the accurate completion of the client’s Due Diligence Form (DDF) and provides supporting documentation and risk decision rationale for the underlying reference data associated with the forensic analysis
- May assist in periodic review of databases and the internet (Bridger, WorldCheck, Lexis-Nexis, Google) for client related adverse media coverage and reputational concerns
- May accompany the Industry Risk Officer and/or Banker on a client call to discuss account and transaction activity and offer up instruction on proper account usage or alternative products or account structure
- Specific to their designated industries and in coordination with their Industry Risk Team, this individual ultimately must become a forensic risk expert in the designated industries and must stay current in related AML risks by participating in industry events and research in order to identify industry trends and emerging issues; must develop and maintain AML procedures regarding for the Forensic Analysis process; may also develop and deliver training to the deal teams
- Ability to soundly execute quantitative and qualitative analysis and draw salient conclusions
- Proven ability to communicate effectively in both oral and written form; must also present information in concise and effective manner
- Strong interactive personal skills and ability to influence others for positive results
- Experienced in providing innovative and proactive solutions
- ACAMS certification a plus
2
AML Continuous Improvement Reengineering Analyst Resume Examples & Samples
- Quickly understand the Anti-Money Laundering processes, business requirements, data and functional challenges
- Support Project Team by liaising with and managing Technology partners to ensure the delivery of assigned global programs
- Ensure risks & issues are identified, tracked, reported on and resolved in a timely manner
3
AML Risk Analyst Resume Examples & Samples
- Undertake actioning of Account Information Requests from the ATAC Hub including liaising with the Branch Network to ensure appropriate information is provided
- Perform Quality Checks on Customer Due Diligence (CDD) reviews including information validation for all unassigned Customers
- Conduct Transaction Monitoring on non ATAC managed alerts
- Undertake customer contact calls in resolution of CDD, HRAC and other AML enquiries
- Support AML suspicious matter investigations through obtaining information and lodgements of Suspicious Matter Reports to AUSTRAC
- Assist in the preparation of metrics and maintain accurate records and reporting
- Ensure that relevant policies and procedures are adhered to in conducting CDD, HRAC, HUB and Transaction Monitoring analyses
- Meet Service Level Agreements and deliver accurate and timely reporting and metrics
- Report compliance concerns in an appropriate and timely fashion
- Maintain highest levels of personal integrity, including confidentiality
- Ensure mandatory training is conducted timely
- Min 3 years exposure to Banking and Finance roles with AML experience
- Working knowledge of the Bank Systems including AML, Mantas Quickscreens & ECADD
- Articulate, confident communicator with polite phone manner
- Working understanding of the transaction monitoring, HRAC, CDD and sanctions processes for the Bank
- Self-motivated with good interpersonal and teamwork skills
- Strong Microsoft Office (Excel & Word) skills
- Strong understanding of the Banks operating models in order to support BSUs deliverables
- Working understanding of key AML risk and concepts
- An enquiring analytical mindset with the ability to identify risks, issues and trends
- Confidence in findings and timeliness in reporting to management
- Methodical and systematic in work approach with excellent time management
- Ability to investigate, make logical findings and clearly articulate those findings
4
AML Entitlements Analyst Resume Examples & Samples
- Perform as the Entitlement Coordinator by becoming a Subject Matter Expert (SME) on the day to day operations of the entitlement process for creating, modifying and deleting entitlement access; perform semi-annual entitlement reviews within the prescribed time frames and in compliance with corporate policies. Must comprehend and execute entitlement process components as defined in the procedures
- Must have the ability to gather and define processes / procedures for acquiring new systems access and software required by AML. Respond to changes in the business or compliance / regulatory environment to minimize business impact. Gain knowledge and understanding of all corporate policies and regulatory requirements that affect each business line within AML
- Anticipate and respond to internal customer needs; follow through and complete requests on time
- Intermediate Microsoft Suite knowledge with emphasis in Outlook, Word, Excel, and PowerPoint
- Bachelors Degree or 2 yrs of Corporate Business experience required
- Present self in confident and professional manner
- Strong analytical, multitasking, and administrative skills required. Attention to detail necessary
- Excellent corporate work ethics. Ability to interact with others in a professional and courteous manner
- Self-starter with the ability to work within and across teams to develop strong relationships with subordinates, peers, and senior managers to accomplish goals in a timely manner
- Demonstrate commitment and accountability
- Demonstrate the ability to make sound decisions with management review. Ability to deal with ambiguity and adapt where necessary
- Demonstrate ethical behavior with regard to information security and other Citi directed policies and training
5
EDD Analyst, AML Risk Resume Examples & Samples
- A good working knowledge of Corporate and Investment Bank product set
- Ability to interact with all levels of staff within the Bank
- Excellent priority management
- Sound analytical ability and judgement/recommendations
- An ability to convey the results of investigations involving complex product sets with clarity (essential)
- Understanding of the external regulatory environment we operate in and the internal policy and control environment
- Experience in an AML / EDD Compliance role, in a large complex multinational financial institution
6
AML Institutional Securities Group Analyst Resume Examples & Samples
- Have a 4 year college degree with strong academic credentials
- Have [0-2 (for an analyst); 3-6 (for other non-officers)] years of professional experience within the banking industry in an AML/compliance or internal audit capacity or experience within a financial services regulatory agency (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation, etc.)
- Have experience in know your customer requirements including customer identification program, customer due diligence and enhanced due diligence
- Possess a strong understanding of the financial markets and banking, including broker-dealer product-based knowledge
- Maintain awareness of current laws, rules and regulations related to AML
- Have strong written and verbal communications skills, attention to detail and effective time management skills
- Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
- Have the ability to use various PC, MS Office and internet applications and tools to support AML processes
- Be able to handle highly confidential information professionally and with appropriate discretion
- Possess strong analytical thinking and critical reasoning skills
- Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
- Be self-motivated and must have the ability to work independently
7
Intake Analyst, AML FIU Resume Examples & Samples
- Critical thinking (working)
- Good interpersonal skills (strong)
- Work ethic (strong)
- Organization Understanding (working)
- Risk Management (working)
- Flexible, Resilient and Resourceful (working)
8
CB AML / KYC Industry Risk Forensic Analyst Resume Examples & Samples
- Assimilates client account research information, performs transaction analysis and helps assess HRI clients against the CB AML Risk Tolerance Policy regarding the client’s AML Program and the client’s specific AML risks; this includes treasury, investment and credit products within wholesale banking and may extend into consumer products
- Performs on-going client analysis and maintains summary level executive management metrics for forensic client account activity research and resolution
- Supports the Industry Risk Officers in comparison of actual versus expected/disclosed client activity and may participate in negative media searches, researching industry trends and reputational risk considerations
- Assess account activity with product subject matter experts and provide recommendations to the Industry Risk Officer regarding cases of improper product or account use by the client and suggest offering instruction or an alternative product to the client; in cases where client misconduct is suspected, the case will be sent to the CB AML/KYC Escalation Team for further in-depth investigation
9
Analyst FCC AML Investigations SAR Filer Resume Examples & Samples
- Demonstrate clear understanding of Compliance disciplines
- The nature of the role requires close working contact with stakeholders across the Group and the FCC, RC and reputational risk/client selection teams in the Group’s major markets and main subsidiaries
- Where necessary, escalation of AML Investigations and FCC-related issues as required to Senior FCC managers
- The role holder is required to think proactively use initiative in finding solutions to problems
- Work collaboratively within the immediate team and more widely within the FCC team
- Work with the team to provide a highly professional, competent and skilled service to the Business
- Exercise any/all delegated authorities with due care and diligence
- Take decisions based on your knowledge and experience
- Think proactively and come up with ideas for enhancements to FCC AML activity
- Regular communication with Senior Manager Quality control, and production of MI where required
- 1-3 years’ experience in the Financial Services industry and/or Compliance industry
- Familiar with the following programs World Check, SCION, Client Connect, and Windows applications
- Good planning and organisational skills are essential for this role
- Strong communication skills, verbal and written, together with strong interpersonal skills and the ability to build rapport and relationships with colleagues
10
AML Query Analyst Resume Examples & Samples
- Day to day processing of daily queries and AML documentation reviews
- 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
- Implementation of new Clients
- Minimum one to two years funds experience
- Knowledge of Irish Anti Money Laundering AML legislation
- Ability to draft concise written correspondence with attention to detail
- German Language an advantage
11
Quality Analyst Aml-month FTC Resume Examples & Samples
- Review of regulation and legislation to ensure that procedures reflect the latest requirements
- Liaising with compliance on all file escalations
- Maintaining procedures in a version controlled manner
- Provide training and coaching to the team based on results of QA reviews and build changes into procedure
- Awareness of global AML regimes, as they compare to Ireland
- Excellent interpersonal skill, including previous experience coaching and training
- Ability to apply legislation and regulation in real situations
- Relevant legal background/qualification
12
Quality Analyst AML Resume Examples & Samples
- Liaising with Compliance to ensure any operational changes are agreed
- Perform and provide analysis and feedback on QA reviews of all activity in the department and offshore
- Agree or recommend agreement of exceptional files, including payments to non investors where allowed
- Knowledge of hedge and long funds, including investor AML
- Private equity fund experience an advantage
- In depth knowledge of Irish Anti Money Laundering legislation and regulation as it is applied to the Funds Industry
- Interpersonal skill
- Decent operational understanding of management information systems
13
AML ISG Analyst Resume Examples & Samples
- Have experience of Anti-Money Laundering or broader regulatory Compliance experience within the financial services industry, at a financial services regulator, or at a law firm
- Candidates from other areas such as risk management or operations may also be considered where candidates can demonstrate the desire and ability to adapt to working in a Compliance function
- Strong knowledge of Money Laundering Regulations in the UK; knowledge of requirements in other jurisdictions in which the Firm operates is also desirable
- Experience in Know Your Customer requirements including customer identification program, customer due diligence and enhanced due diligence
- Understanding of financial markets and products (in particular, Equities, Fixed Income, Commodities and Investment Banking/Capital Markets)
- Demonstrate meticulous attention to detail
- Possess strong written and verbal communications skills
- Have excellent interpersonal skills and ability to work effectively with colleagues across the Legal & Compliance Division (in UK, across the Firm’s EMEA offices and in other regions), other Infrastructure and Control Functions (e.g. Operations) and Front Office
- Possess the ability to research and resolve issues independently while working across teams to acquire information
- Have the ability to effectively handle a fast paced environment and work to tight deadlines; be able to re-prioritise work in response to changes in business needs, without compromising standards
- Be able to recognize and escalate risks and issues appropriately
- Be self-motivated and have the ability to work independently and as part of a team
- Be able to handle highly confidential information with appropriate discretion
- Have demonstrable good judgment (e.g. able to apply regulatory requirements to unique transaction/client situations)
- Supervise others’ work (in particular, reviewing client due diligence documentation and carrying out routine Quality Assurance on others’ work) and provide effective feedback
14
Interm Compl Analyst Aml Resume Examples & Samples
- Analysis and investigation of alerts for both corporate and commercial businesses
- Suspicious activity investigations and preparations
- Manual and automated AML monitoring reports
- To liaise with the business units in the country regarding handling KYC/CIP queries
- Advising and assisting business on sanctions requirements
- To complete Monitoring & Testing activities that are assigned
- To follow the new AML related regulations and the announcements received from the regulators
- To identify training needs of business and participate in face-to-face AML trainings provided to business
- MIS preparation
- To raise the issues where it is identified that there is incompliance with the current regulations and advice, support and guide the business lines to ensure the compliance with the relevant policies and regulations
- Experience in banking and operations or compliance
- Deep knowledge in AML monitoring
- Deep knowledge in Anti Money Laundering Regulations
- Good product and industry knowledge are a prerequisite
- Good understanding of local regulatory requirements
- Ability to priorities workload and meet deadlines
- Information sharing
- Ability to recognize risks and issues in time
- Ability to work as an individual and remain professionally independent at all times
- Proactive, self-motivated and methodical
- No registrations with authorities required
15
Analyst, AML Investigations Resume Examples & Samples
- Fundamental understanding of Anti-money laundering and terrorist financing framework with knowledge of regulatory requirements and sanction applications
- Excellent organizational, planning and time management skills
- Proficiency with computer software such as Microsoft Word/Excel/PowerPoint/SharePoint
- Established knowledge of CIBC’s organization and business accountabilities
16
AML Alerts Analyst Resume Examples & Samples
- Disposition and fully document all alerts, including supporting data, analysis and rationale within the case management system in a timely manner
- Build relationships with AML Investigations units, and effectively communicate and transfer information for case investigations
- Conduct periodic internal account/customer reviews to identify potentially suspicious activity
- Participate in the development of goals and execution of strategies within the function or department
17
AML / KYC Risk Analyst Resume Examples & Samples
- Evaluate, design and recommend process and procedural actions to create or enhance AML/KYC reporting to ensure a sustainable, efficient, customer centric and cost effective operating environment
- Develop key risk, diagnostic and performance indicators with provision of predictive information to facilitate decision making and enable preventative actions
- Perform the root cause analysis to identify the underlying cause(s) of key risk indicator breach that has occurred or could potentially occur for implementation of effective solution(s)
- Develop reports and metrics to identify, track and analyze referral, receipt and investigation of Potentially Suspicious Activity (PSA)
- Develop strategic plans to capitalize on technology solutions to automate risk reporting and enhance risk metrics governance for effective collaboration and escalation to mitigate issues
- Perform data testing and validation for annual AML & Office of Foreign Asset Control (OFAC) Risk Assessment
- Assist with development and/or evaluation of Business and Functional Requirements related to execution of AML projects, User Acceptance Testing, Policies, Procedures, Quality Controls and post implementation validation
- Perform Quality Assurance reviews of reporting and metrics to proactively address deficiencies
- Become subject matter expert on CB KYC database reporting, Integrated Consumer Data Warehouse, Client Central, and various AML related systems and reporting tools
- Interface directly with the KYC technology, business, and project teams in order to facilitate proper reporting
- Manage changes to the Access Database reporting tool to comply with User Developed Business Application (UDBA) Governance
- Special projects and ad-hoc analysis as needed
- Minimum 3-5 years banking experience in operational, system and reporting analysis required; commercial or automotive experience is a plus
- Past experience in supporting operations groups is a plus
- Bachelor's degree in technology related field, or accounting with strong technical skills preferred
- Must have very strong database (SQL, Oracle, Teradata, Toad for Oracle, Business Objects, SAS or related) Excel, Visual Basic, and Access database skills
- Excellent communication skills, both verbally and in writing with expertise in effective presentation / visualization of data and findings and the ability to proactively communicate through with all levels of management
- Strict attention to detail; strong analytical, technical, problem solving, and critical thinking skills
- Excellent organization and time management, results oriented
- Motivated, self starter with ability to work independently as well as in a team environment
- Willingness to build knowledge in both a business and technology perspective
- Excellent interpersonal skills with ability to build strong working relationships with team members within the business and across LOBs
- Ability to multi-task in fast paced environment and prioritize as necessary
18
AML KYC Cbsu Analyst Resume Examples & Samples
- Perform reviews of profile forms (APF) to ensure completeness and accuracy
- Execute responsibilities with a dual emphasis on AML risk mitigation and client focus
- Track production issues and action steps to issue resolution as needed
- Knowledge of a wealth management business within a financial services company would be preferable
- Able to understand interdependencies between different departments to support processes through interaction with same level CBSU staff or other teams as required
- Strong written and oral communication skills - Ability to interact and facilitate across diverse audiences
19
Analyst, AML Optimization Resume Examples & Samples
- Creating detailed plans regarding the scheduling of tuning and testing related to the production and pre-production monitoring rules within various AML monitoring and OFAC/sanctions screening technology and analytics solutions systems
- Assisting management as directed for tracking system changes, data validation and parameter changes for AML monitoring and OFAC/sanctions screening systems to ensure a comprehensive audit trail is maintained
- Planning and preparing technical reports, memoranda, and desktop procedures in order to document program development
- Financial services companies (retail banking, small business banking, commercial, institutional, private banking)
- Statistical/data analytical skills, including data quality validation, descriptive statistics and predictive modeling experience
- AML and Sanctions regulations, including the Bank Secrecy Act, USA PATRIOT Act and OFAC
- AML transaction monitoring systems (preferably Mantas) and/or OFAC/sanctions screening systems (preferably LexisNexis Bridger)
- Produce meaningful reports from output of AML monitoring and OFAC/sanctions screening technology for communication to senior management
- Execute the ongoing testing and model optimization strategy
- Develop procedures documenting the processes implemented by the AML Optimization team
- Bachelor’s Degree in Finance, Computer Science, or Mathematics, with a minimum of three (3) to five (5) years of experience in complex AML data analysis and statistical tools
20
Aml-fiu Analyst Resume Examples & Samples
- Support and strengthen at the country level Citi's efforts to assist in the global battle against money laundering
- Provide guidance to ICG&GCB Businesses ensuring full compliance with the letter and spirit of all applicable laws and regulations designed to combat money laundering
- Coordinate and monitor ICG&GCB day-to-day compliance with local and global anti-money laundering requirements
- Assist the ICG&GCG business in designing and maintaining an effective, state-of-the-art anti-money laundering program
- Administer the Country ICG&GCB program for compliance with requirements of US and local sanctions laws/requirements ensuring full compliance
- Provide support to and serve as back-up to the Country AMLCO
- Ensuring that changes to the local AML regulations be reviewed, analyzed, tracked and embedded in the required processes within the country/businesses in an effective, efficient and timely manner
- Ensure that the country’s businesses have procedures for sanctions screening (at account opening, when adding signatories, for operations (e.g., funds transfers)) as judged necessary based on a risk assessment, and on a periodic basis for the account base
- To ensure deficiencies are identified and alternative controls are implemented
- Regulatory & Inter-Bank Management: -
- At least a college graduate of any business course, preferably major in accounting or finance or possesses a law degree
- Minimum 2-3 years working experience in regulatory compliance, legal or audit in the banking industry or in the financial services
- Meets the necessary AMLCO certification standards as set by Global AML Office and local regulatory standards, if any
- Working knowledge of Compliance-related functions
- General understanding of banking operations
- Technical skills in Microsoft Office, specially Excel
- Thorough knowledge of US and local AML regulations and related Citi Policies
- General knowledge of the business--its goals and strategies
- Understanding of compliance risk management concepts
21
Analyst, AML Resume Examples & Samples
- Investigate alerts generated by the AML engine as well as those raised by Law Enforcement Agencies, or from other internal sources
- Use a variety of information sources and systems to assist in the investigation process
- Liaise with other areas within the organisation to gain and provide feedback where required
- Conduct follow-up enquiries, document actions and ensure relevant procedures are adhered to at all times
- Undertake analysis of customer and transaction data and recommend appropriate actions in line with AML compliance obligations for enhanced due diligence and suspect matter reporting
- Escalate issues to appropriate level to ensure appropriate course of action is taken
- Maintain integrity of information contained in authorised support systems
- Adhere to required standards for telephone, written and general verbal communication
- Previous experience in Law Enforcement, AML, Sanctions, KYC, Risk or Compliance will be highly regarded
- A Customer driven commercial approach to business
- Strong Relationship Management skills
- A continual focus on system and process improvement
22
Global AML BP&A Analyst Resume Examples & Samples
- Headcount and expense tracking and reporting,
- Monitoring of cost centers,
- Understand key cost drivers and its sources
- Working with Function Heads to prepare budgets and forecasts for their respective areas
- Working with Operations and Financial control provide explanation to expenses and billing related queries
- Collaborate with Finance unit by providing required information on the business trends, Investments and productivity, forecasts, explain variances
- Assist in the preparation and presentation of financial information to Senior Management
- Develop on one’s own packs/reports used on regular basis in financial reviews with Senior Management and communication and meetings with clients
- Create and assist in establishing dashboards, reports, work lists, web site pages, and other necessary and related materials; organize material for efficient reporting and retrieval
- 2+ years equivalent relevant experience in MI reporting or business planning & analysis
23
Global AML T-code Team Enhancement Analyst Resume Examples & Samples
- Manage T-Code change management automation solution by providing day-to-day maintenance of the tool and support for the users as well as develop enhancements,
- Continuously identify improvements and further automation opportunities to increase overall process efficiency, Quality Assure / validate Change Requests to ensure correct AML applicability
- Support UAT of the relevant t-code systems and processes
- Support the successful accomplishment of internal Management Control Assessment (MCA) policies,
- Produce periodic status reports on various initiatives for senior management and t-code process stake holders
- Provide data for any ad-hoc requests from senior management or our partners
- Adhere to global standard policies, procedures and tools as defined within the Global Standard Operating Model (GSOM)
- Define processes and procedures to ensure internal & external regulatory procedures & policy adherence,
- Represent AML Ops globally; provide input to all T-Code related initiatives by acting as a point of contact within all Regional AML M&I groups
- Build a detailed understanding of the end-to-end data lineage from Product Processor to AML system to ensure T-Code controls are in place to mitigate regulatory risk
- Demonstrated ability to work independently, interact effectively, with different levels of management and to operate with excellent corporate work ethics
- Knowledge of Compliance, AML policy, financial services, investment & retail banking products / services back and middle office operations
- Strong Project Management discipline
- Capable of quickly automating (including controls) processes where significant manual operations are initially involved
- Demonstrated initiative and creativity in problem solving
- Experience in a multinational corporation with a proven ability to work with people across geographic regions/countries and diverse cultures
- Advance Proficiency in Microsoft Office (Word, Excel, PowerPoint, Access, and Outlook). Working knowledge of VBA and SQL
24
Cpwm-aml World Check Analyst Resume Examples & Samples
- Knowledge of SOX and other regulatory requirements and operational risk concepts
- Demonstrate communications and presentation skills and ability to support initiatives as assigned
- Risk management experience
- Knowledge of related industry or division
25
AML Benefit Management Analyst Resume Examples & Samples
- Manage the process of Benefit Management within CI Unit (globally and cross Regions)
- Accountable for benefit realization process
- Seamlessly integrate benefit tracking data from multiple sources across projects, operations and finance
- Analyze and interpret data from the metrics and reports, indentifying trends, providing insights and recommending key actions including up to modeling what if scenarios
- Leverage our full systems capability to create impactful visual representations of metrics to aid understanding enabling customers unfamiliar with data analysis and technology to easily interpret insights and determine strategic decisions
- Lead monthly meetings with regional senior management to analyze productivity numbers
- Minimum of 3 years of experience in Operational Finance or Financial Planning and Analysis (Experience with Citi desirable)
- Financial educational background
- Excellent quantitative, analytical skills
- Ability to communicate effectively with diverse teams in multiple locations, including senior managers
26
AML CQA Issues Analyst Resume Examples & Samples
- Three to five years of experience in financial crimes, audit, compliance or risk management
- Knowledge of BSA/AML and OFAC regulations, investigations and affiliated technology
- Knowledge of Wholesale Banking customers and products/services
- Professional certification(s) (CAMS, CIA, FIBA, etc.)
27
AML Complex Analyst Resume Examples & Samples
- Investigating customer information using a variety of data providers, including public information, internet searches and relationship managers' information - to make a judgement about the risk and status of each case
- Making recommendations and taking decisions as to whether we should continue the relationship with the customer or not after an investigation
- Escalating difficult and complex cases, and calling upon the support of the wider team where necessary
- Documenting the review process, maintaining a clear audit trail, and completing periodic reviews
28
AML / SAR Analyst Resume Examples & Samples
- Perform Anti-Money Laundering investigations
- Provide analysis and documentation
- Communicate effectively and diplomatically with all levels of staff and management across different divisions and departments
- Adapt quickly and effectively to procedural changes
- Clearly describe casino transaction details, research and support
- Promote department initiatives, teamwork and sharing of information with other analysts
- High school diploma, preferred
- Minimum of 3 years of casino related experience
- Experience reviewing customer transactions for potential suspicious activity and performing anti-money laundering investigations
- Knowledge of regulations under Title 31 of the US Code of Federal Regulations, guidance from the Financial Crimes Enforcement Network (FinCEN) and regulations and guidance of the Office of Foreign Assets Control (OFAC)
- Must possess 1+ year(s) SAR/AML experience in the areas of research, analysis and review
- Experience with analyzing customer financial transactions for Title 31 compliance. Must be detail oriented and possess ability to perform analysis, documentation and findings related to casino transactions
- Requires intermediate knowledge of computer software applications, including Microsoft Excel, Word
- Must be self-motivated, able to work in a fast-paced environment. Must have highest level of professional ethics and integrity within a team setting and be capable of sharing knowledge
- Must be detailed oriented
29
AML Detection Analyst Resume Examples & Samples
- Perform in depth research by utilizing internal banking systems, as well as, external open source systems to investigate alerted transactional activity
- Decision alerted activity consistent with departmental procedures
- Prepare reports with guidance and oversight by AMLD Senior Analyst II
- Assist with periodic systems testing, data validation and research to aid in the creation of new alerting methodologies and scenarios
- Collaborate with AMLD Senior Analysts II on alerts, assisting by answering questions and providing details on researched items
- Follow departmental standards, procedures and governmental policies in every aspect of the job responsibilities to comply with the Bank Secrecy Act and Patriot Act guidelines
- High school diploma or the equivalent
- PC proficient, advanced Internet research skills, and strong investigation and analytical skills
- Proficient verbal and writing skills with the ability to identify and clearly articulate reviewed transactional activity
- Ability to make decisions based on internal and external open source research
- Ability to perform efficiently in a fast self-paced, changing environment, while continually meeting productivity and quality assurance standards
- Associate’s Degree from a 2 year or Technical College
- Bachelor’s Degree in Criminal Justice, Intelligence Studies or possesses related practical business experience
- Certification of Anti-Money Laundering Specialist (CAMS)
- General knowledge of anti-money laundering laws, regulations and guidance (e.g., Bank Secrecy Act, Patriot ACT, Know Your Customer etc.) and be able to respond to questions regarding anti-money laundering
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AML Risk Analyst Resume Examples & Samples
- Lead analytical work to assess AML Risk and business impact from the implementation of AML KYC initiatives
- Leverage analytics experience and business acumen to observe key trends / threats / inaccuracies and drivers of those observations
- Provide simple, concise and clear communications of complex data trends and analyses to senior management
- Lead the implementation of AML KYC initiatives and ensure consistency and compliance with global AML KYC policy
- Analyze and evaluate data from new and existing operational processes that support AML KYC policies and controls
- Understand and interpret business requirements and ensure proper data is delivered to meet project objectives
- Collaborate with all partners and stakeholders cross-functionally in the implementation of AML KYC initiatives
- Manage end-to-end projects communication with business, operations and technology partners
- 5+ years of financial services experience in analytic role is required (customer analysis, database marketing, risk, financial/operational reporting and/or data analytics)
- Bachelor's degree in Business, Statistics, Mathematics, Engineering or Economics
- Proficient SAS/SQL programming skills and advanced spreadsheet skills. Knowledge and experience of segmentation, reporting and analytic tools are required
- Experience with credit card industry is a plus; experience with Anti-Money Laundering or Know Your Customer is a plus
- Strong data analysis skill; ability to identify issues and derive business insights
- Superior problem solving ability. Manages through ambiguous circumstances by planning and taking action
- Superior communication skills (oral and documentation) and influencing skills
- Computer literacy with MS Office software required
- Ability to work in a fast-paced environment independently
- Strong attention to detail and willingness to “roll up sleeves”
- Quick learner and self-starter
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AML Risk Analyst Resume Examples & Samples
- Conduct analytical work to assess AML Risk and business impact from the implementation of AML KYC initiatives
- Provide simple, concise and clear communications of complex data trends and analyses
- Supports the implementation of AML KYC initiatives to ensure compliance with global AML KYC policy
- 3+ years of financial services experience in analytic role is required (customer analysis, database marketing, risk, financial/operational reporting and/or data analytics)
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AML Issues Management Analyst Resume Examples & Samples
- Assist with updating and management of business line AML Issues reporting
- Ensure resolution plan activities are sufficient to remediate an issue
- Act as a liaison between the business line and the Corporate AML Office or other internal business partners as needed
- Makes recommendations for improvement to management in regard to issue management processes, procedures, and reporting
- Monitors business line issue management activities, progress and adherence to AML regulations and corporate standards. Researches compliance laws and regulations and provides guidance to the LOB
- May acts as liaison with Corporate Audit Services during audits and other compliance examinations
- Determine potential areas of risks appraise their significance and make recommendations to improve issue management effectiveness
- 5-7 years of financial experience in the compliance, BSA/AML or Sanctions Screening (OFAC) disciplines
- Bachelors degree, or equivalent, relevant experience
- Proven track record with managing an overseeing project driven activities
- Issues Management experience (internal or external customers)
- A self-directed and independently motivated individual, who places a high value on organizational skills and maintains strong business acumen
- Ability to build a project plan and effectively manage to the key deliverables and milestones that have been established
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AML FIU Analyst Resume Examples & Samples
- The AML Compliance Analyst is responsible for managing a caseload of investigations, perform analysis and follow-up and work cases from beginning to completion according to Citi AML procedures and policies. Investigations are generated from various sources like
- Automated alerts generated via Case Management Tool (e.g. Mantas)
- Non automated monitoring referrals
- Client-On boarding and Maintenance and Transaction monitoring referrals
- Referrals from business partners and other control units / functions / areas
- Law enforcement agencies notifications, etc
- Collect and examine financial statements and documents to assist in identifying unusual transaction patterns
- Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations
- Write and file Suspicious Activity Reports (SARs) and recommend relationship retention or termination and track account closures as required
- Responsible for communicating with internal and external entities, members of the sale team and other Citi AML monitoring units
- Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case like Operations, IBCs, product teams and frontend
- Liaise with other FIU units, Advisory, Business Compliance teams, CSIS, FIU Legal, GIU, and Law Enforcement
- Ability to foresee risks and challenges
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AML Detection Analyst Resume Examples & Samples
- Demonstrate strong investigative/analytical skills and be able to formulate and clearly articulate a supportable rational behind the decisioning of the alerted activity while complying with departmental procedures
- Collaborate with AML Investigations on cases, assisting by answering questions and providing details on researched items
- Assist Key's Enterprise Security Services in achieving its overall strategic objectives
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Analyst, AML Investigations, FIU Resume Examples & Samples
- Program Execution
- Assist in the creation and management of case files for investigations
- Track work internally for individual and team operational performance
- Collaborate with team to implement initiatives and projects sponsored and approved by management
- Professional licenses/certifications (i.e., FINRA Series 7, CAMS, CFE) preferred
- Minimum 1-3 years of Financial Crimes/Fraud alert processing/investigations and/or AML alert processing/investigations experience
- Minimum 1-2 years’ experience in reviewing transactions in bank and/or brokerage accounts
- Working knowledge of AML and Fraud regulatory requirements
- Working knowledge of Financial Crime Detection software, i.e. Mantas, SAS, Actimize, or similar
- Excellent written and oral communication skills with the ability to present information in differing degrees of details and form depending on the audience
- Strong judgment and experience with escalation of matters and recommended solutions
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Gdm-sis-aml-crs-project Analyst Resume Examples & Samples
- The role of Senior Analyst – Strategic Information Solutions group is based at GDM COE’ Bangalore Center and reports to the Manager/AVP
- Position Title: Senior Analyst
- Department: GDM
- Grade/Level: C10
- MIS Reporting and Data Analysis: Undertake complex analysis to accomplish the project objective. Code, Test and Execute information systems projects
- Business Knowledge: Develop understanding of the Credit card domain/function
- Design and development - MIS and Business reporting (BAU and Ad hoc), business analysis , other data requirements (Code, Test and Execute) and assist with simple analytics requirements (this is not a modeling/complex analytics role)
- Data manipulation , extraction of data from huge/complex databases using SAS/SQL is required (SAS, SQL hands-on experience is a must)
- Design and development of complex reports , design of dashboards etc. is required
- Hands-On knowledge – SAS( Base and Advanced), MS SQL Server, UNIX, (SAS hands-on experience is a must)
- Excel, VBA automation and BI reporting skills
- Working experience in Visualization tools like Qlikview, SAS VA exp preferred
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AML / SAR Analyst Resume Examples & Samples
- Perform Anti-Money Laundering investigations by reviewing and analyzing financial transactions and customer data using systems such as ACSC, NEWave, Bravo, PaperClip, and DataMagine
- Prepare reports that clearly describe casino transaction details, analysis, investigation findings, and supporting documentation
- Review and analyze transactions utilizing internal and external systems and tools
- Partner and communicate with team members across the corporation to gather information and develop comprehensive investigations
- Act as a front line resource for the business groups and escalation point regarding suspicious activity/anti-money laundering matters
- Perform diverse duties and ad-hoc projects to support the AML/SAR Operations Department
- Conduct due diligence using WorldCompliance, CheckForRisk, Experian, LexisNexis and/or other Internet-based investigative tools
- Maintain solid knowledge of Title 31 regulations and related guidance issued by FinCEN as they pertain to a casino environment
- Conduct audits focused on detecting suspicious activity for purposes of filing Suspicious Activity Reports
- Conduct audits focused on reconciling cash transactions for purposes of filing Currency Transaction Reports
- Process patron payments and perform related due diligence
- Adapt quickly and effectively to procedural changes; assist with other special projects
- Must have highest level of professional ethics and integrity; promote team work and be capable of sharing knowledge with other analysts
- High School Diploma required; Bachelor’s degree preferred
- Ability to communicate clearly and effectively in English, both in spoken and written form
- 3 years experience in a casino, bank, or other financial institution preferred
- 3 years experience in the areas of research, analysis, and documentation of findings related to customer financial transactions for Title 31 compliance preferred
- Demonstrated experience in reviewing customer transactions for potential suspicious activity and performing anti-money laundering investigations
- Working knowledge of regulations under Title 31 of the US Code of Federal Regulations and guidance from the Financial Crimes Enforcement Network (FinCEN)
- Must possess intermediate knowledge of computer software applications, including Microsoft Excel and Word
- Must be detail oriented and have excellent writing skills
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Global AML Benefit Management Analyst Resume Examples & Samples
- Identify and/or drive efficiency and effectiveness strategies for improving AML Operations
- Formalize a productivity benefit realization process and contribute to AML and Citi wide Re-engineering efforts
- Ensure all productivity saves are measured, validated and justified
- Integrate benefit tracking data from multiple sources across projects, operations and finance in order to provide accurate productivity reporting
- Prepare Business Cases and methodology for their calculation for efficiency driven initiatives
- Prepare AML Productivity reviews presentation to the Global SLT to inform about productivity delivery status, trends, risks, opportunities and propose improvement recommendations
- Active cooperation with project working groups
- Experience of working within a global and virtual team desirable
- Ability to communicate effectively with diverse teams in multiple locations
- A positive and pro-active attitude, self-starter
- Minimum of 2 years of experience in Operational Finance or Financial Planning and Analysis (Experience with Citi desirable)
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AML / ATF Analyst Resume Examples & Samples
- Contributes to the overall success of the Global Financial Intelligence Unit by ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures
- Review of all customer’s activities alerts for the assigned business unit, investigate and report any violations of compliance or regulatory standards to the authorized officer or regulator
- Prepare case reports or risk assessment worksheets for AML/ATF Operations management review describing the suspected AML typology, the scope of the investigation, risk assessment, and recommended remediation actions
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
- Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner
- Proven fact-finding ability with clear understanding of key points and probing when conducting corresponding conversations
- Proven use of logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems
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Transfer Agency AML Product Analyst Resume Examples & Samples
- Preparation of policies and procedures, to include timely update and sign-off by IOB Managers and others
- Maintenance of a global portal where all policies, procedures and training materials are maintained for easy, version controlled, access by Global IOB teams
- Maintenance of TA Risk Assessment Matrix
- Maintenance of Global Checklist Tool (Access-based)
- Assistance with the development of a global IOB training program that is formal, comprehensive, documented and closely tied in with Procedural change
- Liaison with IOB Management to ensure the maintenance of product reporting for TAAG and other purposes
- Liaison with Global IOB colleagues to ensure a smooth escalation process
- Analysis of metrics with a view to the enhancement of the screening process and the mitigation of AML/Sanctions Risk
- Support for the Periodic Quality Review Program
- Support for IOB in its interactions with internal and external assurance functions such as Compliance, Audit, Risk, Regulators etc
- Assistance in responding to RFIs from Compliance and IA
- Maintenance of IOB Client Summary sheet, with key details of each IOB Client, e.g., MLRO
- Maintenance of all IOB Services SLAs, ensuring they are reviewed and updated as appropriate to ensure accuracy
- Preparation of enhanced client facing materials and standard prospect and client due diligence slides
- Enhancement and maintenance of IOB materials for DDQs and RFIs
- College Degree or professional qualification required
- AML designations/training
- Minimum of 5 years overall Funds experience with minimum of 1 year of experience in a Transfer Agency, Regulatory, Compliance, Risk, Change Management or Audit environment
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AML Prevention Analyst Resume Examples & Samples
- 1 Year experience on Client profiles review / AML
- Experience on Name screening / Negative media match disposition processes
- Experience on KYC procedures applicable on ICG Clients
- Skills on Microsoft Office software tools (Word, Excel, Access)
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AML Risk Analyst Resume Examples & Samples
- Individual should have a Bachelor’s degree and experience working for or with a financial institution
- Individual should have product knowledge and experience in AML issues
- Individual needs organizational skills, as well as solid teamwork and communication skills
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Analyst, AML / KYC Risk Manager Resume Examples & Samples
- Work with Global and Regional In Business teams to develop strategic solutions for KYC related matters
- Responsible for analysis of data and preparation of escalations to Senior Management to ensure timely execution of KYC record completions
- Liaise with internal Compliance and O&T personnel on the application of KYC policy
- Interact with bankers and product sales and service on AML-related risk issues
- Responsible for evaluating internal KYC reports, databases, and operations to produce strategic and operational analyses inclusive of quality controls
- Assist in development of enhancements for KYC Ownership tool and maintain organizational structure database
- Assist with regulatory and audit inquiries as appropriate
- 2+ years of professional work experience in the financial service industry, specifically within Banking and/or TTS
- Strong writing, analytical, communication and presentation skills
- Highly proficient with MS Office tools: PowerPoint, Excel, SharePoint, Visio
- Must be pro-active and keen attention to detail
- Must be able to function in an unstructured environment and solve issues by taking ownership and following though until the task is complete
- Experience with SQL Server a plus
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AML / KYC New Business DD Analyst Resume Examples & Samples
- CIB products and services
- Wholesale banking KYC and an SME understanding of due diligence
- A specialist understanding of clients and industries
