Analyst, Regulatory Compliance Resume Samples

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G D'Amore

Garth

D'Amore

74809 Luther Drives

Philadelphia

+1 (555) 917 7047

74809 Luther Drives

Philadelphia

Phone

p +1 (555) 917 7047

Experience Experience

Detroit, MI

Regulatory Compliance CTR Analyst

Detroit, MI

Hintz-Turner

Detroit, MI

Regulatory Compliance CTR Analyst

Provide day to day information regarding the operational functions of the Currency Transaction Report process
Bank Secrecy Act, Anti Money Laundering knowledge working with Currency Transaction Report and Monetary Instrument record keeping
Assess the effectiveness of systems, processes and tools used to monitor Currency Transaction Report risks and identify opportunities for improvement
Gathering data necessary to determine whether activity is in the scope of Currency Transaction Report reporting
Monitor the moderate complex accounts to identify suspicious activity and the avoidance of Currency Transaction Report reporting
Analyze and interpret monthly key risk indicators and statistics to identify operational issues requiring further attention
Conducting due diligence on customers

New York, NY

Analyst Portfolio Compliance Regulatory

New York, NY

Hammes-Kautzer

New York, NY

Analyst Portfolio Compliance Regulatory

Opportunity to be part of and develop within a truly global international group and firm
Monitor and perform checks on various Fiduciary activities
Daily interaction across with business groups including Portfolio Management, and Legal and Compliance
Performing pre & post trade checks for Blackrock affiliates in syndicated activities
Assist with training of team members
Communicating internally in a timely, accurate, and professional manner with relevant groups
Liaising with internal and external partners to obtain and review documentation to ensure compliance with policies

present

San Francisco, CA

Regulatory Reform & Compliance Analyst

San Francisco, CA

Rau-Kirlin

present

San Francisco, CA

Regulatory Reform & Compliance Analyst

present

Influencing change and partnering with Legal, Compliance, Regulatory Affairs, Regional Management and Cluster Heads
Partnering with compliance on the identification of new rules and amendments and developing scope in partnership with Legal and Compliance
Reviewing rules with the relevant Run the Bank (RTB) stakeholders to assess impact
Focusing on determining whether COO is operating effectively, with existing and expected Rules and guidelines and identifying potential gaps
Assessing how comprehensive COO is complying with rulemakings, through interaction with impacted RTB stakeholders and Compliance
Partnering with RTB and Change the Bank (CTB) during the CTB Project stage, to ensure consistent reform standards are applied
Escalating gaps and ensuring remediation through ongoing RTB stakeholder engagements

Education Education

Bachelor’s Degree in Business

Rutgers University

Bachelor’s Degree in Business

Skills Skills

Communicates ideas both verbally and in written form in a clear, concise, and professional manner
Comprehensive knowledge of at least one substantive area of compliance, such as banking regulations, anti-money laundering, or anti-corruption
Excellent analytical skills
Ability to understand and apply learned concepts
Ability to understand technical documents and legal or regulatory reference materials
Business fluent german/english
Willingness to travel

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Regulatory Control Matrix Compliance Program Analyst Resume Examples & Samples

Assist in coordination and support the production of the regulatory risk matrix reporting for the EMEA region and demonstrate the oversight monitoring process by Compliance where appropriate
Collaborate and partner with EMEA countries, UK Product Compliance and relevant global functions across EMEA region
Partner with country compliance officers and local global function representatives to identify key legislation, controls and assessments and facilitate the roll out of the EMEA RCM Implementation
Support to ensure sustainability of RCM Program, including inventory quality and reporting capabilities
Work with colleagues to ensure the connectivity between RCM and other key compliance programs
Assist in delivering technology enhancements, including training to team members and other colleagues

Compliance Analyst Regulatory Intelligence & Public Entities Resume Examples & Samples

Ability to interact with a wide range of Key employees at all levels within the organization
Conduct research and advise employees related to Public Entities policies and procedures including gifts and entertainment, political activity, and procurement lobbying
Engage with business partners to ensure that regulatory changes are identified, assessed and appropriately implemented. Utilize good judgment in analyzing and escalating
J.D. and 1-5 years of experience
Has a high ethical standard and ability to maintain confidentiality
Prior experience with identifying and summarizing regulatory changes with respect to the financial services industry
Project management experience a plus

Regulatory & Core Compliance Analyst Resume Examples & Samples

Bachelor’s degree in business, management, finance, accounting, or similar study
2+ years of experience in a similar role
Strong communication, writing and inter-personal skills
Independent thinker and team player
Experience in compliance or other experience in the regulated financial services industry
Understanding of the Investment Advisers Act of 1940, Investment Company Act of 1940 and other relevant federal securities laws

Senior Compliance Analyst Regulatory Resume Examples & Samples

Advise employees on applicable regulations and Citi policy
Review requests by employees to make personal political contributions or to provide gifts, meals or entertainment to public officials, and approve or deny based on applicable laws, rules and regulations
Work with various business units to identify employees involved in specific, regulated activities and provide related training
Draft policies, procedures, and supporting materials, and coordinate with relevant stakeholders on implementation
Perform monitoring and surveillance of political activities and gifts and entertainment data to identify instances of non-compliance; analyze trends and report to management
Liaise with audit and testing teams, business compliance officers, and information technology on political activities and gifts and entertainment issues
Participate in the development and implementation of automated systems used by the department; assist employees with questions related to system use
Complete special projects as needed to comply with new laws; to further develop the Political Activities unit; and in support of compliance initiatives
Bachelor’s degree required; MBA or strong business or finance education preferred
3+ years of relevant experience or equivalent
Strong software proficiency (MS Word, PowerPoint, SharePoint); deep understanding of MS Excel, including comprehension of data analytics
Ability to read, understand, apply and explain relevant laws, rules, regulations and policies
Solid interpersonal, writing and speaking skills
Demonstrated work ethic, self-motivation and commitment to the highest standards of professional integrity, maturity and judgment
Compliance, risk management, legal or regulatory background desired, ideally in a financial services organization

Intermediate Compliance Analyst Regulatory & Policy Resume Examples & Samples

Support examination leads in coordinating and overseeing regulatory examinations
Develop and maintain tool to track examination document requests
Work with businesses and functions to identify and collect requested documents
Maintain examination files and records
Coordinate onsite visits by examiners and schedule requested meetings
Produce examination reports and metrics for senior management
Work with representatives of ICG business and functions while gaining exposure to various products and businesses
Excellent interpersonal, organization and communication skills
Ability to multi task and prioritize workload
Proficiency in SharePoint, Excel, PowerPoint and Word required
Ability to work collaboratively in a fast paced environment
Exceptional judgment
Prior experience in a Legal/Compliance/Controls area of a financial services company and knowledge of financial services regulation preferred

Compliance Analyst, Regulatory Supervision Resume Examples & Samples

Bachelors degree or equivalent experience required
A minimum of 2+ years experience preferred
FINRA Series 26 required within 90 days
Ability to exercise a high degree of independence
Interest and ability to perform presentations at the leadership level
Experience working within a Financial Services or highly regulated environment

Analyst Portfolio Compliance Regulatory Resume Examples & Samples

Becoming acquainted with Bloomberg and BlackRock’s various Aladdin applications, trade flow process, and data environment to ensure new issue purchases were pre-cleared and appropriately allocated
Liaising with internal and external partners to obtain and review documentation to ensure compliance with policies
Assist global teams in preparing tax reports as per the local regulatory requirements
Monitor and perform checks on various Fiduciary activities
Experience of working in the investment management industry and of investment products preferred
College Graduates with a background in finance or similar fields

Coo-mcc Compliance Regulatory Advisory & Monitoring Analyst Resume Examples & Samples

Validate accuracy of MCC documentation, including Methodology, Tolerances, Materiality Filters & KOPs
Conduct a 4-eye review of all potential off-market escalations from MCC Finance to Onshore Compliance
Ensure all escalations identified as breaches are accurately documented and have undergone senior management review
Review integrity and independence of data sources utilized by Finance MCC and ensure data sources are accurately maintained
Ensure Business line adherence to L1 ‘off market’ exceptions approval process
Conduct periodic review of records of L1 approval documentation, consents, booked trades and relevant archiving
Assist in the development and conduct of the MCC Policy (L3) and in the bank-wide training on the Policy
Provide bespoke training for Finance RPL and MCC as necessary
Review and sign-off on all materials provided to global regulators in relation to enquiries on MCC process/monitoring
Create MCC CRAM MI and support the monthly MCC MI Dashboard
Ensure adequacy of documentation on all roles and responsibilities of MCC relevant functions
Review the effectiveness of L1 (DCO) MCC control framework e.g. definitions, policy and procedures, approval process, supporting documentation and archiving
Perform sample checking for correct mapping of new books as MCC exempt/ non-exempt
Perform sample review of existing books tagged as exempt from MCC to confirm if appropriately tagged
Validate MCC exceptions determined by Finance with Front Office
Perform deep dive in MCC exempt trading books to ensure no MCC relevant in-scope trading activity
Ensure product completeness for MCC through independent liaison with Divisions/Businesses
Ensure the timely review of open potential escalations and backlog responses
Review the adequacy of ‘intra-day pricing’ calculation and perform subsequent monitoring of output
Conduct period review of filtering thresholds applied in MCC Tracker and validate the appropriateness of thresholds
Review compatibility and accuracy of supporting documentation for product thresholds
Monitor MCC tracker warning and alerts for outages, missing and/or completeness of feeds, system processing capacity and resiliency
Assist MCC Compliance in meeting regulatory requirements including bespoke divisional, product, legal entity reporting and MI functionality
Actively supports the business strategy, plans and values, contributing to the achievement of a high performance culture
Takes ownership for own career management, seeking opportunities for continuous development of personal capability and improved performance contribution
Acts as a role model for new employees, providing help and support to facilitate early integration and assimilation of their new environment
At least 6 years of relevant work experience in a bank or financial institution
Knowledge of the regulatory and compliance environment affecting the banking industry
Strong knowledge of financial instruments and banking products, including the OTC market
Knowledge of Investment Banking business processes - front to back
Proven experience in business and data analysis and working to tight deadlines whilst achieving good quality outputs
Good oral and written communication skills proven through report writing experience
Results orientated and ability to work in a fast paced environment
Strong working knowledge of Microsoft Excel, Word, Visio and PowerPoint

Senior Compliance Analyst Regulatory Response Resume Examples & Samples

Assist with regulatory exams and inquiries as well as assist with the development and maintenance of written supervisory procedures
Review and approve securities transactions for suitability and documentation, including variable annuities, mutual funds, equities, and alternative investments
Project management, planning and issue resolution – This role will be relied upon to handle complex issues and aggressive deadlines
In conjunction with the Regulatory Affairs and Litigation groups within the Legal department, collect, analyze and provide books and records for regulatory and litigation matters
Keep abreast of, analyze, and understand regulatory requirements, compliance procedures, and internal processes
4+ years of industry experience, which is defined as significant experience working in the brokerage or investment advisory industry handling compliance issues
Series 7, 66 (or 63 and 65). 24 (or 9 and 10), 53 required (or the ability to obtain S53 within 90 days)
Series 4 and Life and Health Insurance license a plus
Strong knowledge of FINRA, SEC and State rules and regulations
Knowledge of mutual funds, annuities, general securities, and other financial products
Ability to develop compliance processes and strategies for effective supervision
Strong analytic and organizational skills and the ability to keep track of multiple deadlines and projects
Exceptional oral and written communication skills and the ability to independently draft letter and other documents
Proficiency with all Microsoft applications, particularly Excel, Word, Access and PowerPoint

Regulatory Reform & Compliance Analyst Resume Examples & Samples

Driving the regulatory and assurance reform life cycle for your areas
Managing the relationships with other areas of COO, dealing with cross business units including Corporate & Investment Banking, Global Markets, Asset Management, Private, Wealth and Commercial Clients for consistency in approach and knowledge-sharing
Focusing on a sub-set of COO operations, namely those impacting Tier 1 and Tier 2 Regulations i.e. European Market Infrastructure Regulation, Markets in Financial Instruments Directive 2, etc
Focusing on determining whether COO is operating effectively, with existing and expected Rules and guidelines and identifying potential gaps
Influencing change and partnering with Legal, Compliance, Regulatory Affairs, Regional Management and Cluster Heads
Operating within a regulatory reform and assurance structure, that ensures COO is compliant with new and amended rules and regulations
Partnering with compliance on the identification of new rules and amendments and developing scope in partnership with Legal and Compliance
Reviewing rules with the relevant Run the Bank (RTB) stakeholders to assess impact
Partnering with RTB and Change the Bank (CTB) during the CTB Project stage, to ensure consistent reform standards are applied
Raising regulatory awareness across COO for rules, including regular stakeholder meetings, Cluster meetings, Executive Committee material, intranet site contributions
Driving regulatory compliance projects, including supporting global regulatory adherence projects
Partnering with Compliance to develop an understanding of the rules which COO Operations and Technology should be following
Determining COO impacted areas
Assessing how comprehensive COO is complying with rulemakings, through interaction with impacted RTB stakeholders and Compliance
Escalating gaps and ensuring remediation through ongoing RTB stakeholder engagements
A Bachelors degree in Banking, Finance or similar background, or have the equivalent experience or qualifications
Strong thought-leadership skills, with an ability to influence across all levels of an organisation
A sound understanding of COO Operations and Technology functions (beneficial)
Familiar with the Deutsche Bank UK & Ireland environment and structure
Strong communication and negotiation skills across all levels, including targeted communication and escalation to appropriate audience levels
Strong interpersonal skills across a broad set of stakeholders
Fluency in an additional European Language in both writing and verbally (beneficial)

Regulatory Compliance Senior Analyst Resume Examples & Samples

Participate in the Regulatory Change Management process (evaluate, disseminate, and monitor relevant insurance laws and regulations throughout CNA)
Conduct research into laws and regulations, complete reviews, make recommendations, and oversee implementation of changes as necessary
Participate in processes to strengthen the company’s compliance program and mitigate compliance exposures, such as economic sanction screening and enhancements
Utilize compliance trends and data to identify business processes for review
Strong understanding of corporate regulatory compliance practices with a preference for specific insurance related compliance knowledge
Strong analytical and problem solving skills with the ability to effectively resolve moderately complex situations and issues
Detail-oriented with strong project management, organization and planning skills with the ability to manage multiple projects effectively
Strong interpersonal, presentation, verbal and written communication skills with the ability to effectively interact with internal and external business partners
Strong knowledge of Microsoft Office Suite and other business-related software systems, including processing systems and applications
Bachelor’s degree in a related discipline, or equivalent
Typically 3-5 years of related work experience
Law degree or compliance certification preferred
Strong interest in compliance required

Regulatory Service Compliance Analyst Resume Examples & Samples

Monitors and communicates regulatory changes that impact FIS services and business activities
Responds to issues and matters pertaining to regulatory compliance of FIS services and business activities
Performs periodic reviews and evaluations of FIS services and business activities to validate compliance with
Communicates ideas both verbally and in written form in a clear, concise, and professional manner
Business fluent german/english

Regulatory Compliance Data Analyst Resume Examples & Samples

Develops process mapping documentation for complex business processes
Researches institution’s applications and data repositories to identify data sources for development of metrics and key risk indicators
Collaborates with subject-matter experts in Regulatory Compliance to create interactive workpaper templates for conducting compliance monitoring activities
Conducts data quality reviews to ensure data integrity for all metrics, dashboards, and reporting produced
Conducts routine and ad hoc data analysis activities in support of the Regulatory Compliance Program
Creates and maintains data governance documentation for all reporting produced
Produces written reports and presentations
College degree required, preferably in management information systems (MIS) or related field of study
Advanced Microsoft Excel skills required
1-3 years in an analytics role with a financial institution or in a risk management function
Familiarity interpreting and creating Key Risk Indicators (KRIs) desired
Familiarity with database management systems and reporting tools (Tableau, OBIEE or similar) preferred
Risk management experience preferred

Bank Regulatory Compliance Senior Analyst Resume Examples & Samples

Knowledge of, and experience working with, federal banking regulations, such as Truth in Lending, RESPA, Equal Credit Opportunity, Electronic Funds Transfer, Truth in Savings, Availability of Funds, and Bank Secrecy Act Regulations
Minimum 3-5 years of experience working with banking regulations
Certified Anti-Money Laundering Specialist (CAMS) a plus
Certified AML and Fraud Professional (CAFP) a plus

Regulatory & Compliance Senior Analyst Resume Examples & Samples

Ability to work independently, under general guidance
Experience working in a team environment
Experience establishing COOP Programs for Federal or private sector clients
Experience developing continuity plans to include COOP plans, business continuity plans and information system contingency plans (ISCP)
Experience in the health sector
Continuity planning or related certification (DRII, FEMA etc.)
M.A. / M.S. degree

Advisory Regulatory & Compliance Project Delivery Analyst Resume Examples & Samples

Typically has 1 or more years of consulting and/or industry experience
Ability to work independently under general guidance
Experience working in teams and in a team environment that is process-oriented and deadline-driven
Problem solving and troubleshooting skills with the ability to exercise mature judgment
Asset Management expertise
Experience with conducting existence & completeness training, valuation, data reconciliation, warehouse testing, and developing research papers on relevant guidance
Experience with developing and conducting testing plans based on FIAR guidance and other authoritative audit readiness guidance

Regulatory Compliance Senior Analyst Resume Examples & Samples

Monitor functional and operational areas for compliance risks related to State and Federal regulations. This is accomplished through formal and informal monitoring and assessment activities, and may include government regulatory agencies (ex. HIPAA, HITECH, Medicare, Medicaid, etc)
Identify and interpret new State and Federal laws, regulations, and other contractual requirements by providing notification to internal and external customers, obtaining necessary approvals for implementation, and implementing and monitoring of the applicable law, regulation, or requirement and its impact to Dell and Dell customers
Respond to internal NTT Data and external customer legal, compliance, or audit inquiries relating to day to day business situations by conducting research and composing appropriate opinions
Manage the regulatory compliance relationship with customers and/or regulatory agencies
Participates in forums and organizations, internal and external, to review training and educational materials regarding regulatory guidelines and mandates
Assist AML Officer to collaborate with various Administrative Teams in implementing AML requirements and reviewing financial transactions for potential AML red flags
6+ years of relevant compliance related experience or equivalent combination of education and work experience
Experience analyzing and applying State and Federal regulations
Experience working with AML requirements, to include reviewing financial transactions for potential AML red flags

Compliance Analyst, Regulatory Response Resume Examples & Samples

Respond to complaints and inquiries received through the Bank regulatory agencies
Use intelligence gathered from complaint analysis to identify areas of regulatory concern and process improvement. Share opportunities with Compliance Advisory and other business partners to facilitate corrective action or process enhancements
Serve as subject matter expert for complaints in general and specifically the area of the business assigned. Partner with Compliance Advisory to provide insight to detailed complaints and high level trending to impacted business area(s)
Assist with and/or lead process improvement project or initiatives to enhance the complaint response process. Projects typically would entail partnership with other areas of Compliance and the business
Assist in responses to complaints and inquiries received through other channels, such as the Better Business Bureau
1 to 2 years work in banking or compliance field
Additional Knowledge, Skills, and Abilities
Deadline driven - can prioritize and recognize and communicate roadblocks
Ability to work in collaborative environment
Prior experience handling escalated situations or consumer complaints
Alliance Data is an Equal Employment Opportunity employer

Regulatory & Compliance Documentation Analyst Resume Examples & Samples

Document CCAR and other stress testing methodologies for Trading, Counterparty and CVA businesses
Liaise with team members and modelers in completing documentation requirements under tight time pressure
Maintain high degree of documentation standards per internal specifications and targeted to satisfy regulatory expectations
Liaise with team members, Technology and modelers within the Firm to ensure all regulatory deliverables are met with sufficient evidence
Ensure timely production of reporting for senior management related to regulatory exams and internal audits
Suitable candidates will have an excellent academic background, preferably in, but not limited to a Bachelor’s Degree in economics or finance
Attention to detail, project management and organizational skills will be key in balancing daily deadlines with timely review and implementation of regulatory guidance
Strong organization skills with the ability to multitask and prioritize; ability to work under pressure and to tight deadlines
Proficiency in Microsoft Office applications, especially Excel and PowerPoint

Analyst Regulatory Compliance Retail Bank Wealth Management Hsbc Investment Funds Inc Resume Examples & Samples

Provides direct support to AVP & Director Corporate Compliance, HIFC CCO and HIFC Senior Managers, RC RBWM
Satisfy MFDA Policy 2 requirements for Account Supervision
Report all material and significant breaches or potential breaches of regulations or compliance
Participate in special compliance projects and training efforts
Minimum of 2-3 years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Bachelor’s degree in business, finance, accounting, law, or related field or equivalent experience
Mutual funds and Branch Managers Course (IFIC, ICB or CSI) is required. CFP or financial planning knowledge is considered an asset
Experience dealing with laws, regulations and regulatory compliance requirements related to the MFDA and retail mutual fund sales will be considered an asset

Business Analyst Regulatory Compliance Resume Examples & Samples

Strong working knowledge of the practices and procedures of medical practices, and other healthcare related facilities is mandatory
Excellent written and verbal communication skills a must
Excellent problem solving, interpersonal communication and project management skills a must
Ability to identify, coordinate and schedule critical tasks
Ability to perform software and technical assessments in concert with both internal and external business representatives
Ability to work effectively both independently and in a team environment
Agile Methodology Skills - Strong Experience in Agile Methodology. Estimations in Agile, breaking specs to epics & user stories, Sprint Planning support, Retrospective & Scrum meetings
Certified Scrum Product Owner (CSPO) or PMI Agile Certified Practitioner (PMI-ACP) a strong plus
Minimum 5 years’ experience developing business requirements within product development
Must possess a detailed understanding of user requirements and effective and accurate implementation of technical specifications
Must have the ability to aid in the identification, coordination and scheduling of critical tasks
Bachelor’s degree or higher in Information Systems, Computer Science, or related field strongly preferred
Currently working in an industry related to eHealth strongly preferred
Background with other software companies with high focus on growth based and innovative software products a plus

Analyst, Regulatory Compliance Resume Examples & Samples

Develop compliant nutritional information and ingredient statements, utilizing nutritional analysis software
Leverage JMS systems to develop compliant allergen statements and other regulated labeling information
Review and document claim validation to substantiate claims
Provide peer-review of the technical label information, as needed
Build a working knowledge of US and/or Canadian regulations
Serve as a regulatory resource for the brand and initiative teams
At least 6 months of nutrition/dietetics, regulatory, and/or food science experience is required
Prior experience in nutritional analysis software is a plus
Canadian food regulation and/or Pet food regulation experience is a plus
Strong mathematical background is a plus

Regulatory Compliance CTR Analyst Resume Examples & Samples

Monitoring day to day Bank Secrecy Act, Anti Money Laundering cash transactions that meet the Currency Transaction Report filing requirements
Identify reportable transactions and accurately file all requires Currency Transaction Report reports and Currency Transaction Report exemptions
Review system generated Currency Transaction Report alerts that may require reporting based on Bank Secrecy Act, Anti Money Laundering regulatory requirements
Gathering data necessary to determine whether activity is in the scope of Currency Transaction Report reporting
Conducting due diligence on customers
Ensure problem escalation, mitigation, and preventative measures are consistent with regulatory requirements
Bank Secrecy Act, Anti Money Laundering knowledge working with Currency Transaction Report and Monetary Instrument record keeping
Review system generated alerts to assess presence of illicit activity that may require reporting based on Bank Secrecy Act, Anti Money Laundering requirements, conduct research as required, and document detailed results in written format
File multiple Currency Transaction Reports for customer relationships identified
Identifies suspicious activity monitoring, including data collection, monitoring, research, analysis, and compilation of evidence to effectively support Bank Secrecy Act, Anti Money Laundering objectives
Analyze and interpret monthly key risk indicators and statistics to identify operational issues requiring further attention
Assess the effectiveness of systems, processes and tools used to monitor Currency Transaction Report risks and identify opportunities for improvement
Recommend enhancements to the Bank Secrecy Act Department manager to ensure ongoing improvement and evolution of governance programs and practices regarding Currency Transaction Report reporting
Monitor the moderate complex accounts to identify suspicious activity and the avoidance of Currency Transaction Report reporting
Provide day to day information regarding the operational functions of the Currency Transaction Report process
Scrub business line data to ensure that all Currency Transaction Report transactions are filed and recorded
Conduct annual Currency Transaction Report exemption reviews
Ensure proper record retention of all Currency Transaction Reports and exemption documentation for years
2 or more years Banking in Bank Secrecy Act and Anti Money Laundering. (Preferred)
2 or more years General working knowledge of banking operations, including but not limited to the following: core banking systems, transaction processing, policy and procedural workflows of products and services. (Preferred)

Analyst, Regulatory Compliance Resume Examples & Samples

Reviewing high volumes of daily AML/ATF alerts, accurately identify false positives and be able to conduct client assessments to determine risk to ensure regulatory requirements and internal standards are met
Collaborating with business partners to identify high risk clients and ensure client identification information is kept up to date, undertaking enhanced due diligence measures
Investigating, closing or escalating UTRs as required using administrative record-keeping systems and interaction with business partners
Assisting with the development and review of AML/ATF reports for senior management and to identify gaps, trends, and opportunities for improvement
Assisting with the ongoing maintenance of the SLFC AML/ATF Policies and Procedures Manual
Investigating ad-hoc business or Money Laundering Reporting Officer (MLRO) client due diligence requests
Staying current on AML/ATF regulatory requirements and sharing this knowledge with business partners
Participating in various AML/ATF initiatives and tasks as required
A minimum of 2 years of progressive experience in regulatory compliance or governance, risk and controls in the financial services industry
Interest in regulatory compliance, AML/ATF regulation
High degree of accuracy and attention to detail
Good time management skills, with the ability to prioritize and meet deadlines
Works well in a team
Highly motivated self-starter with the ability to work without close supervision
Proficient knowledge of Microsoft Office and internet/web navigation
Good knowledge of the business operations of SLF and particularly SLF Canada
CAMS certification (or working towards)
University degree preferred within related field
Bilingual (English/French/Chinese)
Prior experience with transaction monitoring or administrative record-keeping systems
Understanding of AML/ATF regulatory requirements
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