Financial Crimes Resume Samples

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L Stroman

Lottie

Stroman

158 Kylie Lane

Dallas

+1 (555) 438 9359

158 Kylie Lane

Dallas

Phone

p +1 (555) 438 9359

Experience Experience

Philadelphia, PA

Liability Risk Management Financial Crimes Case Analyst

Philadelphia, PA

Larkin Inc

Philadelphia, PA

Liability Risk Management Financial Crimes Case Analyst

Utilize fraud case management systems, automated call distribution technology, internal case entry tools, and internal bank systems for case entry, processing, and capturing and monitoring loss information for further analysis
Process mid- to high-range cases (up to $7,500) with two or more fraud/transaction types
Escalate sensitive, complex and large financial, compliance or legal issues to management
Transfer or refer cases for special attention or to initiate recovery to Retail Payments, BankCard, Cash Support, BSA/AML, Corporate Investigations, Legal or other area where warranted
Establish and maintain files and records while maintaining client confidentiality and all information security protocol
Provide input on fraud trends or process improvement ideas based on department results
Execute on collection/recovery efforts through returns, adjustments and collections departments

Chicago, IL

Financial Crimes Data Analyst Analytics & Operations Manager

Chicago, IL

Erdman-Hegmann

Chicago, IL

Financial Crimes Data Analyst Analytics & Operations Manager

Perform risk management to minimize risks
Analyze the effectiveness of automated monitoring methods and provide recommendations for improvement based on identified risk and control gaps
Interfaces with senior management to provide and obtain information and to build consensus regarding regulatory and policy application and interpretation
Assist in preparing model documentation to support the model development/validation process
Assess the quality of the data for model development as well as inputs to models
Manage and lead a team of Data Analysts to support transactional models to detect potential AML suspicious activity
Perform statistical analysis of transactional data

present

Philadelphia, PA

Senior Audit Manager Asset Management & Financial Crimes

Philadelphia, PA

Reichert, Glover and Stokes

present

Philadelphia, PA

Senior Audit Manager Asset Management & Financial Crimes

present

Managing direct reports including managers and senior auditors
Principles of banking and finance and securities industry operations
Directly manage Audit Managers and Senior Audit staff and perform human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff
Manage expenses to budget, solving for department inefficiencies and excess spending
Implement and execute an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
Finalize audit findings and use judgment to provide an overall opinion on the control environment and communicates audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls
Stay up-to-date with evolving industry and regulatory changes impacting the business

Education Education

Bachelor’s Degree in Business

Brigham Young University

Bachelor’s Degree in Business

Skills Skills

Be able to handle highly confidential information professionally and with appropriate discretion
Highly effective verbal communication skills and the ability to interact with all levels of management
Have strong written and verbal communications skills, attention to detail and effective time management skills
Have 3-5 years of professional experience in an AML, Compliance, Audit or Risk Management capacity within the financial services industry
Proficient in MS Office, including MS Word and Excel
Knowledge of data analytics, systems testing, UAT testing and/or IT areas relating to BSA/AML/OFAC is
Possess the ability to manage both small and large projects
Possess the ability to research and resolve issues independently while working across teams to acquire information
Possess a strong understanding of financial markets and banking
Possess strong analytical thinking and critical reasoning skills

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Financial Crimes AML Specialist Resume Examples & Samples

Review and analyze subpoenas and other legal process to identify possible money laundering, terrorist financing, corruption and trade sanctions issues
Escalate subpoenas and other legal process, as appropriate, for investigation and heightened reviews by Global Financial Crimes Compliance AML Investigations, Global Security and Investigations and other SAR filing investigative units
Confer with Global Financial Crimes Legal and Litigation attorneys, as necessary
Liaise with law enforcement, as appropriate, regarding the nature and scope of investigations that led to the issuance of subpoenas
Support special projects (long-term and short-term) arising from subpoena reviews and escalations
Minimum two (2) years AML/financial crimes experience in a financial institution and/or regulatory agency
Knowledge and understanding of financial institution business and regulatory requirements
Knowledge and understanding of BSA/AML, OFAC, and FCPA laws/regulations
Familiarity with use of technology in AML, OFAC and anti-corruption compliance programs
Strong organizational skills with the ability to work independently on multiple assignments and meet deadlines in a fast-paced environment
Team player with strong interpersonal skills who can collaborate with legal and non-legal staff
Strong attention to detail and the ability to analyze legal process
Analytical thinker who is an independent self-starter

Financial Crimes Resume Examples & Samples

Have extensive knowledge of client onboarding, AML, KYC and EDD
Have strong written and verbal communications skills, attention to detail and effective time management skills
Possess strong analytical thinking and critical reasoning skills
Be self-motivated and have the ability to work independently

Financial Crimes Group Oversight of Third Parties Resume Examples & Samples

Assist senior Compliance Management in their day to day oversight of activities carried out by other teams within the Morgan Stanley group (e.g. off-shored) or external third parties. Certain monitoring and surveillance activities are currently conducted by staff outside the London AML Compliance Team; this individual will be responsible for day to day oversight of those activities in particular
Maintain a detailed understanding of the procedures, processes, systems and models relating to monitoring activities in order to act as the initial escalation point for third parties, resolving or escalating issues as appropriate
Support the management team in the development and implementation of a governance framework for managing relationships with third parties as and when new projects are commissioned
Have a University degree or equivalent with strong academic credentials
Have experience within a major bank, at a financial services regulator, or a consulting firm
Ideally have experience of monitoring or surveillance activities
Ideally have experience of managing relationships with third party organisations
Possess strong analytical thinking and critical reasoning skills; be able to interpret and analyse data relating to business operations
Have the ability to rapidly learn and assimilate technical information relating to models, processes and systems
Have excellent spoken communication skills; able to present complex matters succinctly to a range of audiences
Have excellent interpersonal skills and ability to work effectively with colleagues and external stakeholders of a range of levels of seniority
Be able to manage their own workload and respond to changes in reprioritization
Understanding of financial crime related regulations and business processes, or of monitoring and surveillance activities is strongly preferred

Financial Crimes Group Resume Examples & Samples

Have experience within a major bank, at a financial services regulator, or at consulting firm including time in project management or governance roles
Financial Crimes or broader regulatory Compliance experience preferred
Excellent communication skills; able to present complex matters succinctly to a range of audiences
Advanced presentation skills; ability to produce high quality written materials (e.g. power point presentations, briefing notes)
Ability to manage their own workload and respond to changes in reprioritization
Have excellent interpersonal skills and ability to work effectively with colleagues across the Legal & Compliance Division
Understanding of UK Money Laundering Regulations and Know Your Customer requirements is required

Liability Risk Management Financial Crimes Detection Specialist Resume Examples & Samples

Utilize fraud risk detection systems and internal bank systems to review suspect items and warning reports on a daily basis. Interpret reason codes and follow specified procedures on how to handle suspect activity
Gain and maintain working knowledge of internal fraud monitoring and detection systems
May refer cases for special attention to BSA/AML, Corporate Investigations, Legal or other area where warranted
Establish and maintain files and records while maintaining client confidentiality
Perform the following functions based on the assigned areas within the department
One year of banking experience or equivalent work experience
Knowledge of card or check fraud detection systems (e.g. Early Warning Systems, Falcon Card Fraud Detection System, Actimize Fraud Systems, 41st Parameter, ASI 16 and ASI 19)

Liability Risk Management Financial Crimes Case Agent Resume Examples & Samples

Utilize fraud case management systems, automated call distribution technology, internal case entry tools, and internal bank systems
Escalate sensitive, complex and large financial, compliance or reputational issues to management where appropriate
Working knowledge of multiple applicable regulations (e.g. Regulation E, the Uniform Commercial Code, NACHA, Visa Operating Guidelines, Regulation CC, BSA/AML/Patriot Act and FCRA)
Strong knowledge of bank operations and back-office procedures related to transaction processing
System knowledge and experience needed of multiple fraud detection systems and internal fraud case management systems (e.g. Early Warning Systems, Falcon Card Fraud Detection System, Actimize Fraud Systems, 41st Parameter, ASI 16, ASI 19, Fraud Case Management System (FCMS) and Pegasystems (Pega))

Liability Risk Management Financial Crimes Case Analyst Resume Examples & Samples

Utilize fraud case management systems, automated call distribution technology, internal case entry tools, and internal bank systems for case entry, processing, and capturing and monitoring loss information for further analysis
Process mid- to high-range cases (up to $7,500) with two or more fraud/transaction types
Evaluate cases that are moderate to complex in nature to ensure the necessary information and documentation is available. Research case evidence for validity and authenticity
Possess strong knowledge and understanding to ensure processes comply with regulations such as Regulation E, Visa Operating Rules, UCC, Federal Credit Reform Act (FCRA), Regulation J, Regulation CC, NACHA, Bank Secrecy Act/Anti-Money Laundering/Patriot Act (BSA/AML), Telephone Consumer Protection Act (TCPA), Office of Foreign Assets Control (OFAC) and Identity Theft red flags. Make decisions that impact processes and clients with financial implications (e.g. force close or charge off account, pay/no pay, block/hold an account and transaction or access based on analysis of research conducted)
Transfer or refer cases for special attention or to initiate recovery to Retail Payments, BankCard, Cash Support, BSA/AML, Corporate Investigations, Legal or other area where warranted
Provide input on fraud trends or process improvement ideas based on department results
Assist in training efforts and cross-training initiatives for new and transfer associates. Provide on-going training support, as needed
Execute on collection/recovery efforts through returns, adjustments and collections departments
Communicate with the Community Bank, Retail Payments, and Corporate Investigations on suspect activity, recurring losses, and risk management opportunities
Two years of banking experience with a minimum of one year in fraud or BSA/AML investigative position
Working knowledge of multiple channel fraud issues, detection and mitigation strategies
Ability and willingness to work flexible hours, including evenings, weekends and overtime, as required
Four years of experience in financial fraud prevention and/or investigation

Financial Crimes Intelligence Assoicate Partner Resume Examples & Samples

Readiness to travel 75% travel annually
At least 10 years’ experience in financial crimes investigator
At least 10 years’ experience in financial crimes intelligence analyst
Certified in Certified Fraud Examiner (CFE)

Financial Crimes Investigations Specialist Resume Examples & Samples

This role reports directly to the AML Special Investigations Director or designee. The position directly supports activities in the AML Compliance Office. While the role is specific to BSA/AML, some required principal accountabilities remain relevant across compliance segments
Specifically this role involves conducting expansive investigative research and analysis concerning legal/regulatory inquiries, filings and actions, adverse media reports and other high profile matters potentially posing financial crime, regulatory or reputational risk, taking into account various AML risk factors and indicators to determine if a Suspicious Activity Report (SAR) requires completion. If a SAR is not required the officer must rationalize why the transaction is not an AML risk. In less complicated transactions the Officer may be responsible for filing a SAR report
May complete enhanced due diligence reviews on high-risk customers and Special Category of Clients (SCC) accounts
Coordinates internal processes for the revision, review, approval, and publication of policies applicable to the business unit as well as internal departmental procedures to support functions that are the responsibility of Compliance. Establishes process for the distribution of Compliance related communications from the department. Partners with management to create and deliver internal training and manage special projects within the department
Bachelor’s degree in business, finance, accounting, related field or equivalent experience
Legal and/or law enforcement experience strongly preferred
Strong interpersonal, organizational, communications, analytical and project management skills
Thorough knowledge of products, services, operations and systems and extensive dealing with laws, regulations and regulatory agencies related to assigned areas

Liability Risk Mgment Financial Crimes Case Analyst Resume Examples & Samples

Respond timely and appropriately to inquiries, both verbal and written, from clients and Bank associates requesting information on fraud cases after completing all required authentication
Escalate sensitive, complex and large financial, compliance or legal issues to management
Establish and maintain files and records while maintaining client confidentiality and all information security protocol
Associate’s degree, or equivalent education and related training
Strong knowledge of multiple applicable regulations (e.g. Regulation E, UCC, NACHA, Visa Operating Guidelines, Regulation CC, BSA/AML/Patriot Act and FCRA)
System knowledge and experience needed of case management systems or fraud detection systems (e.g. Early Warning Systems, Falcon Card Fraud Detection System, Actimize Fraud Systems, 41st Parameter, ASI 16, ASI 19, Fraud Case Management System (FCMS) and Pegasystems (Pega))

Liability Risk Management Financial Crimes Case Analyst Resume Examples & Samples

Evaluate large dollar and/or substantially complex cases with multiple transaction types to ensure the necessary information and documentation is included. Process the dispute or charge-off in accordance with established rules and guidelines governed by Visa, bank, and federal regulatory time frames relative to the disputed transaction type and/or fraud case
Process complex high-dollar cases ($7,500+) with multiple fraud or transaction types
Possess strong knowledge and understanding of bank processing regulations (e.g. Regulation E, Visa Operating Rules, UCC, Federal Credit Reform Act (FCRA), Regulation J, Regulation CC, NACHA, Bank Secrecy Act/Anti-Money Laundering/Patriot Act (BSA/AML), Telephone Consumer Protection Act (TCPA), Office of Foreign Assets Control (OFAC) and Identity (ID) Theft red flags)
Utilize case management systems to enter claim or case information and to process cases, as required, in order to capture and monitor loss information for further analysis
Conduct financial crime case investigations and review substantially complex disputes to ensure the clients and the Bank are protected from any compliance, operational or reputational risk
Execute recovery for losses through a variety of channels, such as case management system, returns, adjustments and collections from other financial institutions
Execute on repayment agreements related to recovery for fraud losses
Provide insight on fraud trends and make strategic process improvement recommendations based on department results
Initiate requests to other financial institutions for pertinent information regarding case transactions and financial crime suspects and victims
Communicate with the Community Bank, Retail Payments, and Financial Intelligence Unit on suspect activity, recurring losses, and risk management opportunities
Provide support to clients, the Community Bank and other lines of business for all fraud-related activity on deposit accounts
Provide training and cross-training initiatives for new and transfer associates. Provide on-going training support, as needed
Perform the following functions based on the assigned are within the department
Bachelor’s degree in Business or related field, or equivalent education and related training
Four years of banking experience, including one year of fraud experience or BSA/AML investigative position
Possess an advanced level of knowledge of multiple applicable regulations (e.g. Regulation E, UCC, NACHA, VISA Operating Guidelines, Regulation CC, BSA/AML/Patriot Act, FCRA, TCPA, and ID Theft red flags)
Ability to make decisions that have substantial impact on clients and processes
Strong knowledge of multiple channel fraud issues, detection and mitigation strategies

Liability Risk Management Financial Crimes Case Analyst Resume Examples & Samples

Process complex high-dollar cases ($7,500-no limit) with multiple fraud or transaction types
Possess exceptional level of knowledge, understanding and application of bank processing regulations (e.g. Regulation E, Visa Operating Rules, UCC, Federal Credit Reform Act (FCRA), Regulation J, Regulation CC, NACHA, Bank Secrecy Act/Anti-Money Laundering/Patriot Act (BSA/AML), Telephone Consumer Protection Act (TCPA), Office of Foreign Assets Control (OFAC) and Identity (ID) Theft red flags)
Conduct research and develop response to client complaints received from multiple sources including regulatory agencies, typically routed from the CEO office. Update and maintain appropriate documentation of complaints in the Corporate Complaint Management System
Utilize case management systems to enter claim or case information and to process cases as required in order to capture and monitor loss information for further analysis
Conduct financial crime case investigations and review substantially complex disputes to ensure the clients and the bank are protected from any compliance, operational or reputational risk
Act as a liaison by partnering with the Financial Intelligence Unit and law enforcement on suspect activity
Provide support to clients, Community Bank, Retail Payments, Cash Support and other lines of business on suspect activity, recurring losses, and risk management opportunities
Respond timely and appropriately to inquiries, both verbal and written, from clients and BB&T associates requesting information on fraud cases after completing all required authentication
Five years of banking experience, including three years of fraud experience or BSA/AML investigative experience
Possess an advanced level of knowledge of multiple applicable regulations (e.g. Regulation E, UCC, NACHA, Visa Operating Guidelines, Regulation CC, BSA/AML/Patriot Act, FCRA, TCPA and ID Theft red flags)
Strong system knowledge and experience needed of case management systems or fraud detection systems (e.g. Early Warning Systems, Falcon Card Fraud Detection System, Actimize Fraud Systems, 41st Parameter, ASI 16, ASI 19, Fraud Case Management System (FCMS) and Pegasystems (Pega))

Financial Crimes Resume Examples & Samples

Demonstrated experience with implementing compliance technology (trade surveillance etc.) solutions in capital markets with large financial services institutions
Demonstrated experience leading process and technology change within a large financial institution’s AML and/or trade surveillance environment
Demonstrated experience with leading a team of people on system implementation projects
Experience working in a solution-oriented project environment in large financial institution
Working knowledge of U.S. banking and securities regulations (FINRA and SEC), as well as AML-related legal and regulatory requirements
Knowledge of securities, derivatives and other complex products’ trading strategies and compliance requirements
Experience with implementing solutions for Volcker Rule compliance
Strong organizational, interpersonal and presentation skills
Strong written communication skills and ability to provide thought leadership relevant to the interests and needs of our client base
Highly effective verbal communication skills and the ability to interact with all levels of management
Bachelor's and/or advanced degree with a concentration in Management Information Systems, Computer Science, Business or Statistics/Mathematics
6-8 years of experience within the financial services industry, specifically with experience in compliance systems implementation
Experience in a variety of diversified financial environments, specifically Capital Markets with a focus on trading, clearing and advisory firms
Solid technology background, with experience implementing commercially available Trade Surveillance (e.g. Actimize, SMARTS Broker, Protegent) AML, Fraud and Case Management solutions (e.g. Actimize, Norkom, Memento, FiServ, SAS, Monarch, Mantas, Pega) at large financial institutions
Experience building trade surveillance, anti-money laundering and/or fraud prevention, detection scenarios and models at large financial institutions
Working knowledge of project planning and project management methods and tools
Knowledge and practical use of statistical analytics and methods
Experience working in a project environment with top 25 financial institutions ($50B + in assets)
Experienced and successful professional services/consulting background
CPA, CIA, CFE, CAMS, or AMLP preferred
Willingness to travel 60% or more annually

Financial Crimes Control Services Team Lead-plymouth Resume Examples & Samples

Provides work direction and daily direction for staff. Responsible for managing and prioritizing workflow based on order of importance and level of risk to TCF and according to the team’s skills and abilities
Trains newly hired staff on department policies and procedures. Provides ongoing training and assistance ensuring continual learning for all staff. Provides input for annual performance review of team
Responsible for ensuring that all work is completed in a timely manner that exceeds expected standards of customer service and satisfaction. Identifies any inaccuracies, inefficiencies, or deviations and work with the department supervisor to address
Assists with establishing and updating department policies and procedures, ensuring department meets all compliance requirements with the Uniform Commercial Codes, FCRA/FACT Acts, Federal Regulation CC, and State and Federal Law
Provides project assistance as a subject matter expert to supervisor/manager in development of new procedures, products, and systems
Cultivates and maintains relationships with Federal, State, and Local Law Enforcement Agencies to aid in the prosecution of suspects on fraudulent or unauthorized activity
Resolves outstanding clearing account entries timely and accurately. Ensures losses are booked to the appropriate general ledger
Assists department staff with daily work as necessary to keep department responsibilities and deadlines current
An Associate’s degree or two years of banking operations or investigative experience is required. Candidates with a 4-year degree in Business, Finance, Accounting, Criminal Justice, Psychology, or related field, or CFE, CFCI or CAMS certification would be preferred
A minimum of 3 years of compliance or investigative experience OR: 1 year of compliance or investigative experience AND 2 years of Banking Supervisory experience is required
Must be able to demonstrate proficiency in the following skills
Aptitude and desire to coach, manage, and lead others
Ability to research and analyze compliance issues
Decision-making skills in regards to banking fraud
Demonstrated ability to work well under pressure and consistently meet strict deadlines
Through understanding of reporting requirements of banking regulatory agencies
Strong PC proficiency/extensive experience with Excel/Word/Outlook
Candidates with knowledge of internal TCF systems, procedures, and processes and experience in a leadership role would be preferred

Liability Risk Mgmt Financial Crimes Detection Specialist Resume Examples & Samples

Gain and maintain strong working knowledge of three to four internal fraud monitoring and detection systems
Perform in-depth research utilizing internal and external sources. Prepare financial spreadsheets or enter data into a database or system in order to capture and monitor loss information for further analysis
Provide input on obvious fraud trends or process improvements
One year of banking experience or equivalent job experience and training
Moderate regulatory knowledge (e.g. Regulation E, Visa Operating Rules, UCC, FCRA, Regulation J, Regulation CC, NACHA, BSA/AML/Patriot Act, TCPA, OFAC and ID Theft red flags)
Ability and willingness to work flexible hours, including evenings, weekends and overtime as required
System knowledge of at least one fraud detection system (e.g. Early Warning Systems, Falcon Card Fraud Detection System, Actimize Fraud Systems, 41st Parameter, ASI 16 and ASI 19)

Financial Crimes Risk Management, VP Resume Examples & Samples

Responsible for the implementation and maintenance of the BSA/AML, Sanctions and Anti-Corruption risk assessment for the BTMU offices in the US, Canada and Latin America
Responsible for the completion of the GFCID-led Global OFAC Risk Assessment process for the BTMU US offices Oversee the review of findings/alerts arising out of obligations under USA PATRIOT Act section 311 as well as confirm that processes and databases used to track PEPs, foreign bank certifications and Wolfsberg questionnaires have been updated/managed/reconciled
Manage the annual FBAR Report process to ensure the timely preparation and filing
Keep abreast of industry changes, trends and best practices relating to Financial Crimes compliance issues and draft memoranda to CoDA, the HQA business lines, Head Office and regional offices
Provide support to Financial Crimes Compliance Group during internal audits and regulatory exams. Support general compliance activities and other duties, including special projects, as assigned
Support compliance with Head Office AML, Sanctions and Anti-Corruption laws, regulations and initiatives
Participate in the drafting and revising of the Bank’s BSA/AML and Sanctions programs, policies, procedures and operating manuals
Five to eight years of relevant experience and/or education experience in compliance matters or related matters
Proficiency in financial markets instruments and new product assessments
Knowledge of U.S. operations of foreign banking organizations
Ability to work with moderate supervision, well organized with attention to detail, and strong analytical and written communication skills
Previous management experience and expertise a plus

Financial Crimes Risk Assessment, Associate Resume Examples & Samples

Responsible for the implementation and maintenance of the Financial Crimes Compliance risk assessment processes
Review findings/alerts arising out of obligations under USA PATRIOT Act section 311 and 314( a); update/manage/reconcile processes and databases used to track PEPs, foreign bank certifications and Wolfsberg questionnaires; manage process to ensure the timely preparation and filing of the annual FBAR Report
Identify and assess the Financial Crimes Compliance risk inherent in all bank products, services, customers, business units and geographies
Provide support to the VP, Financial Crimes, Risk Management, during internal audits and regulatory exams
Provide backup for the VP, Financial Crimes Risk Management in his/her absence
4-7 years of relevant experience and/or education experience in compliance matters or related matters. Knowledge of U.S. operations of foreign banking organizations
Ability to build strong working relations with business areas

Senior Audit Manager Asset Management & Financial Crimes Resume Examples & Samples

Develops and executes a robust Audit Plan for the Assset Management, Financial Crimes, and Broker Dealer Operations areas in accordance with Internal Audit standards, relevant government statutes and regulations
Oversee multiple audit engagements concurrently from planning through reporting and produce quality deliverables to both department and professional standards
Directly manage Audit Managers and Senior Audit staff and perform human resource management activities, including identifying performance problems and developing plans for remedial action; evaluating performance; and interviewing and selecting staff
Attract, develop, and retain talent within the Audit organization and the Firm
Implement and execute an effective program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
In-depth understating of audit practices and methodologies, including risk assessment and a solid understanding of internal control concepts
Specific subject matter expertise regarding control disciplines and a solid business understanding of Raymond James products and Services, especially those associated Asset Management, Financial Crimes, and Broker Dealer Operations
Managing direct reports including managers and senior auditors
Demonstrated ability and success in interacting and influencing senior leadership, including executive management
Experience in managing against deadlines associated with an annual audit plan
Strong analytical skills particularly in regard to assessing the probability and impact of a control weakness
Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner
Ability to work well individually, and in teams, share information, support colleagues and encourage participation
Bachelor’s Degree in Business Administration, Finance, Accounting and a minimum of eight (8) years experience in the securities industry as a business analyst or consultant or as an auditor with a certified public accounting firm or an equivalent combination of education, training or experience

Financial Crimes Business Systems Analyst Resume Examples & Samples

Partners with the business line to develop requirements
Works with the application development team to create functional designs
Participates in testing, training, and implementation of applications
Analyzes and evaluates user needs
Develops and maintains a complete and accurate understanding of how a business --unit impacted by an assigned application conducts their business
Assists in developing and maintaining detailed knowledge of the business's current technology and infrastructure from a functional perspective
Assists business lines in use of new and existing capabilities of a system
Works with internal business groups to document, analyze, and redesign business processes
Partners with business representatives to identify, refine, and document detailed business needs
Joins clients and technical staff to investigate, analyze, and resolve application problems related to system functions
May be point of contact for user support and problem-solving
Occasionally manages small projects
Frequently interfaces with business lines, including management, and/or internal resources to ensure quality, timeliness, and testing of all project/release work
Works with technology and application development teams to design functional solutions that appropriately meet the business needs
Reviews, coordinates, and executes test plans for multiple projects and ensures that test cases and results meet requirements
At least 5 years of experience with activities, tasks, practices and deliverables for assessing and documenting business opportunities, benefits, risks, and success factors of potential applications
Knowledge of Modeling: data, process, events, objects
System development life cycle
Product and vendor liaison
IT standards, procedures, policy
Knowledge of analytical practices
Experience working in a fast pace IT environment with strong ability to meet tight deadlines
Self-motivated and not afraid to work in ambiguous situations
Data Governance Processes
Data warehouse modeling understanding
Data acquisition and integration
Development and management of data lineage and audit controls for data movement life cycle
Large scale transformational initiatives (Financial Crimes), Data profiling and Data Quality initiatives
Building of Data Discovery Platform using analytic/data technologies SAS, R, Hadoop, Oracle and others
Requirements analysis
IT project management
Information management
System testing

Financial Crimes Management Resume Examples & Samples

Research, recommend and implement department initiatives to achieve strategic objectives across functional groups or within department
Demonstrates an understanding of the broader department issues and goals essential for selecting and planning new projects
Manages all aspects of assigned projects through their entire project lifecycle, builds consensus with external and internal constituents and conducts a post implementation review to capture lessons learned
Identifies problems within department and conducts analysis on the issues/needs, recommends comprehensive solutions and develops an action plan for implementation ensuring completion
Analyze investment merits/risks of proposed new toolings and processes
Interacts with C-level/executive management, business and compliance partners and financial advisors
Other projects and duties as assigned
Anti-Money Laundering and Sanctions regulatory requirements
Financial markets, products, financial advisory function and investment process
Advanced AML/FCM concepts, practices and procedures
Concepts, practices and principles of project management
Preparing and delivering clear, effective, and professional presentations
Demonstrating strong communication skills in all aspects of role that influence individuals outside of his or her span of control
Build strong working relationships with teams, stakeholders and senior management
Partner with other functional areas to accomplish objectives
Identify problems, gather facts and develop solutions
Analyze problem/situation to determine needs, wants and goals
Identify and lead project teams, including planning, assigning, monitoring, reviewing and evaluating project activities
Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed
Keep all appropriate parties up-to-date on decisions, changes, and other relevant information
Bachelor’s degree (B.A.) from four-year College or university and a minimum of 8 - 10 years of experience in a financial services firm or a consulting firm with projects supporting financial services firms

Financial Crimes Periodic Review AML Resume Examples & Samples

Timely response to data requests
Five or more years of financial experience in the compliance, BSA/AML or Sanctions Screening (OFAC) disciplines
A comprehensive understanding of AML/BSA/OFAC controls
Experience building and leading a team with a proven record of results
Strong investigative and research skills
Strong professional presence to support regular interactions with senior management

Csfc Financial Crimes Lead Resume Examples & Samples

15-20 years of law enforcement, security or intelligence experience with a primary emphasis on combating cyber enabled financial crimes
Demonstrated ability to lead globally diverse teams that have focused on fraud, anti-money laundering, and cyber security challenges
Intimate understanding of financial crime and cyber security threat actors as well as their tradecraft
Firsthand experience working closely with security operations, military operations, intelligence operations or cyber fusion centers required
Demonstrated ability to directly and indirectly lead teams tasked with financial crime and cyber security requirements
Ability to quickly review information to determine its significance, validate its accuracy and assess its reliability and present findings to both technical and non-technical audiences
Demonstrated capability to produce written products on a reoccurring basis incorporating findings from cross-functional and cross-enterprise teams
Strong understanding of the tools and sources available to conduct financial crime and cyber security alerting, analysis, and enhanced situational awareness
Previous experience in education or training essential
Bachelor’s degree required, Master’s degree with a focus on business and/or security highly preferred

Financial Crimes Detection Specialist Resume Examples & Samples

Communicate and interact with external clients, Community Bank, various lines of business, and other financial institutions to verify authenticity of items or availability of funds. Educate clients about fraud issues including online banking safety and take appropriate action to protect clients’ accounts
Demonstrated proficiency in basic computer applications, such as Microsoft Office software products
One year of fraud experience

AML Manager Financial Crimes Risk Management Resume Examples & Samples

Overseeing implementation of the BSA/AML Program consistent with regulatory expectations and industry practice
Oversight and guidance to the business in the development of effective controls for CIP, CDD, periodic review, and enhanced due diligence for higher risk customers
Strong guidance and credible challenge to senior business leaders in their implementation of financial crimes controls within business line KYC systems of record
Provide subject matter/industry expertise regarding preventive and detective controls and processes for customer on-boarding and collection of CIP/CDD information
Provide guidance to other EFCC teams regarding integration with downstream processes and applications including customer risk rating, transaction monitoring and OFAC/PEP/Adverse Media screening
Point of escalation for Risk Management on KYC implementation efforts
Participate in development of detailed business requirements and high level design for applicable system enhancements; drive appropriate prioritization based on assessment of risk
Minimum 10 years of experience with specific emphasis on technology development related to BSA/AML/OFAC at a large financial institution, regulatory or law enforcement agency
Ability to work on a variety of complex issues within a time-sensitive environment and drive results by promoting a strong culture of compliance
Advanced degrees (MA, MS, MBA, JD); CAMS or CFE certification are favorably considered
Excellent interpersonal abilities including superior oral and written communication skills with the aptitude to establish credibility and collaborative partnerships with senior business leaders and global compliance partners
Understanding of products and services and how they may be exploited for criminal purposes, including but not limited to money laundering and terrorist financing activities

Financial Crimes Data Manager Resume Examples & Samples

We serve more than 15 million customers worldwide and have financed more than 150 million cars/ trucks
Ally Financial is ranked the No.1 automotive finance company
Money Magazine rated Ally Bank as the Best Online Bank Package for 2011
Ally Financial consistently ranked within Fortune 500 Companies
Create, manage, and utilize high performance relational databases (SAS, SQL Server 2008, Microsoft Access, OLAP and other)
Analyze all data for data trends and anomalies and present findings
Provide analytical detail and narrative of findings to leadership
Conduct Data Quality Analysis
Development of SAS suspicious transaction monitoring scenarios
Annual tuning of suspicious transaction monitoring scenarios
Onboard new products onto the AML Operations platforms including the data quality and analysis
Support all AML technology including user acceptance testing
Proficient in SQL and SAS
Proficient in Data Analytics

Senior Financial Crimes Director Resume Examples & Samples

Oversee the day-to-day aspects of the enterprise-wide Anti-Money Laundering (AML) and Financial Crimes program, working closely CFCO on the overall program delivery and operates as the stand-in as required
Oversee the BSA and Financial Crimes Risk Management programs to ensure enterprise wide compliance with BSA/AML, OFAC, FCPA, and Financial Crime Prevention programs
Enhance and manage a risk identification strategy that continually identifies new business risks and lessons learned from applicable regulatory enforcements
Manage organizational change management impacting the FCO and designated AML Coordinators through the company
Assist with the oversight of the implementation of FinCEN’s Customer Due Diligence rule throughout the company and conduct industry benchmarking as necessary
Oversight and accountability for AML investigations and SAR filing requirements
Support CFCO with communication to the Securities and Exchange Commission (SEC), FINRA, Financial Crimes Enforcement Network (FinCEN) and OFAC
Assist the CFCO in of reporting on the effectiveness of the programs, emerging risks, results of exams, audits, self-testing and the general regulatory landscape
Provide advice to business unit leaders and branch offices on various and complex AML issues by interpreting the current and proposed AML regulations, and by ensuring the respective AML policies and procedures, risk assessments and processes are sufficient to identify and address AML risks
Identify and drive AML risk management solutions pertaining to the Investor Services including assisting with the regulatory required annual AML Risk Assessment and assisting with coordinating with the business in developing viable management action plans to address audit and exam findings
Clear communication of the difference between regulatory requirements, industry standards and business risk decisions. Exceptional client focus; ability to effectively and quickly build relationships and establish trust, respect, competence and confidence
Other related duties as directed by the Head of Financial Crimes Office, division head or senior management
Strong knowledge of USA Patriot Act/Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) regulatory requirements required, including comprehensive understanding of OFAC sanctions and CDD/KYC requirements
15+ years of experience in Fraud/BSA/AML compliance in the financial industry within compliance, legal or regulatory functions
Experience with managing teams of 8+ employees, with the ability to build and expand trusting relationships and partnerships
Significant experience in overseeing AML investigations and SAR filing decisions
Proven success at setting strategic and tactical goals and developing criteria for measuring success achieving them
Ability to explain new AML requirements and help to develop optimal processes to comply with those requirements
Demonstrated familiarity/competency in using transaction monitoring software, screening applications, and various AML Investigative tools. Knowledge of Norkom/Detica, Lexis Nexis, Bridger, and World-Check strongly preferred
Excellent written/verbal communication skills required
Excellent investigative/analytical/problem resolution skills required
Able to work effectively with management, regulators and third party service providers
Relevant Professional Certification (Association of Certified Anti-Money Laundering Specialists (ACAMS), Associate of Certified Fraud Examiners (ACFE) or Association of Certified Financial Crime Specialists (ACFCS) is a plus

Financial Crimes Systems Analyst Resume Examples & Samples

Responsible for a wide variety of technology-related activities associated with specific AML systems and applications owned by the Financial Crimes line of business
Translate business requirements into functional/technical requirements
Perform detailed data analysis and data mining activities within SQL or Oracle databases
Conduct code reviews of stored procedures or extract, transform and load (ETL) processes
Assist with the creation and review of test scripts
Carry out pre-production application configuration changes
Lead technical working sessions with internal IT support teams
Update or create technical documentation
Provide progress reporting to project and executive leadership teams
Interact with internal resources and external technology consultant teams
Be comfortable functioning as a key player of the larger Financial Crimes team in both an operational and project capacity in a fast paced environment
Bachelor’s degree in a technical-related field or business competency, or equivalent education and related training
Three years of related experience
Effective verbal and written communication skills; strong interpersonal skills
Quickly adapt to the demands inherent in managing multiple customer needs and requirements simultaneously
Detail oriented with strong organizational and time management skills, including the ability to prioritize work and achieve desired results without close supervision
Self-motivated, goal oriented and an creative thinker
Prior technical experience with ONE of the following is required

AML Financial Crimes Risk Manager Resume Examples & Samples

Overseeing and maintaining the BSA/AML and OFAC risk assessments for the business units within Corporate Functions
Oversight and guidance to the business for self-identified issues, as well as the management of issues identified by the second and third lines of defense
Strong guidance and credible challenge to senior business leaders in driving timely resolution to targeted completion dates for issue milestones and overall resolution plans
Provide guidance to other Risk Managers regarding appropriate documentation to evidence closure of issues
Development and oversight of metrics and reporting for applicable business line
Point of escalation for all issues/regulatory AML matters for applicable business line
Minimum 8 years of experience with specific emphasis on Corporate Functions compliance related to BSA/AML/OFAC at a large financial institution, regulatory or law enforcement agency
Minimum 8 years of relevant managerial experience in compliance or related risk management, data analytics or critical thinking positions
Advanced degrees (MA, MS, MBA, JD), CPA certification, and CAMS or CFE certification is favorably considered
Understanding of bank products and services and how they may be exploited for criminal purposes, including but not limited to money laundering and terrorist financing activities
Proven experience of interaction with regulators and auditors

Head of Financial Crimes Resume Examples & Samples

Minimum of fifteen years proven and progressive business audit, and/or accounting experience or equivalent
Minimum of a bachelor’s degree in business, accounting, finance, related field or equivalent experience; professional certification (CPA, CA, or CIA) preferred. ACAMS certification a plus
Strong managerial, communications, analytical, problem-solving, organizational, lateral thinking and interpersonal skills
Extensive knowledge of the Company, Group and financial services industry, businesses supported and the regulatory framework they operate in
In depth understanding of the business, risks and related controls within areas of responsibility
Significant audit experience covering AML and Sanctions Compliance with US Regulations

Financial Crimes Developer Resume Examples & Samples

1+ years of experience with Java and Maven
Experience with using a RESTful API
Experience with using Git
Experience with building user interfaces
Experience with JavaScript frameworks
Experience with building RESTful APIs
Experience with Hortonworks Data Platform
Experience with Spark, Storm, Kafka, Hive, Map Reduce
Experience with Angular or React
Experience with one or more NoSQL databases, including HBase, Accumulo, and Cassandra

Financial Crimes Manager Resume Examples & Samples

Proven experience for more than 5 years working with leading solutions (Actimize/ Mantas/ SAS and Norkom) around the KYC/ CDD
Sanctions screening and AML transaction monitoring and enterprise case management implementations
Understanding, deploying and maintaining monitoring scenarios and perform data research and analysis
Developing and deploying AML scenarios o Comprehensive knowledge of the product (logic, scenario functionality, mappings) and data elements as specified
Understanding of data requirements to ensure data source feeds meet the data specification o Analysis of alert results based on understanding of client data and scenario logic
Hands on configuration of the application
Acts independently to determine methods and procedures on new assignments
Decisions have a major day to day impact on area of responsibility
Manages large - medium sized teams and/or work efforts (if in an individual contributor role) at a client or within Accenture
5+ years of experience in Financial Crimes Technology Services
2+ years working in a technical or consulting environment
Data Sourcing KPIs / KRIs & reporting Risk Control Self Assessments (RCSA) Enterprise Governance, Risk, and Compliance (GRC)
Excellent management skills Ability to meet travel requirements, when applicable
The candidate would need to lead the design, implementation and deployment packaged vendor solutions that have been developed to accommodate financial crimes technology industry business and management processes, regulatory requirements and other business needs
The role holder leads the delivery to meet and deliver on the value proposition to our clients
They proactively support sales through solution offering, lead the execution of the solution to achieve the delivery and commercial expectations of Accenture offerings
Proven success in contributing to a team-oriented environment

Csfc Financial Crimes Senior Analyst Resume Examples & Samples

8-10 years of financial crime related experience
Strong understanding of cyber security topics to include threat actors and their tradecraft
Demonstrated ability to understand, collate, and explain complex information to a variety of audiences
Experience working closely in a security operations, military operations, intelligence operations or cyber fusion centers a plus
Capability to quickly review information to determine its significance, validate its accuracy and assess its reliability and present findings to both technical and non-technical audiences
Proven written and oral communication skills essential. Writing samples will be required
Previous experience in education or training a plus
Ability to juggle change in priorities frequently and remain productive and effective

Head of Financial Crimes Resume Examples & Samples

Developing strategies and Fraud Architecture to protect customers and the Bank from customer application, through to monitoring and throughout the entire customer lifecycle
Lead fraud strategies and from an operational perspective
Ensuring risks are identified and assessed and controls are designed and to comply with minimum standards, regulations and other compliance obligations
Leading a team of fraud professionals and building fraud awareness and capability throughout the organisation
Liaising with external bodies including regulatory and law enforcement and staying a step ahead of fraud and AML risk
Accountable for designing controls to manage fraud risks, including cybercrime (with the exception of purely technical controls) as well as AML risks including customer and transaction monitoring

Senior Periodic Review Financial Crimes Analyst Resume Examples & Samples

Partnering with the client facing teams (ie bankers and branches) to collect required legal documents and associated information to meet all regulatory and internal policies relating to KYC and AML
Act as a subject matter expert on required legal documents in process to onboarding a client
Three to five years of experience in an applicable risk management environment
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
Thorough understanding of the business line’s operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk/Compliance/Audit competencies
Strong process facilitation, project management, and analytical skills
Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs

Financial Crimes Summer Internship Resume Examples & Samples

Identify emerging fraud threats, suspicious activity and financial crime schemes that are negatively affecting financial institutions and proactively recommend the establishment of countermeasures
Identify specific fraud indicators that can be utilized to better detect fraud
Identify data sources that support these indicators and work to warehouse this data
Run simple regression analysis on fraud risk data
Support Enterprise Fraud Management solution implementation efforts
Compile presentations to internal and external stakeholders on relevant information

Financial Crimes Investigation Unit-VP Resume Examples & Samples

Overseeing a team of investigators within the transaction monitoring program
Conducts periodic analyst reviews in order to ensure quality of disposition of alerts/cases
Assist with the team deliverables and set timescales to agreed minimum standards and ensuring adherence to regulatory/ audit requirements
Promote continuous analysis by interpreting relevant industry regulations and DB’s Compliance policies to ensure controls are appropriately implemented and monitored for compliance
Continuously monitor process stability and escalate to senior management any current or future risks
Perform oversight functions and determine the analysts who should be put on sampling based on periodic Proficiency review
Work closely with team managers daily to ensure that the work is prioritized based on staffing and capacity for AML Monitoring & Surveillance Team
Monitor and escalate aging issues and unresolved disputes with the Monitoring and Field Inquiry teams
Work directly and serve as deputy to Monitoring & Surveillance manager to identify and escalate open issues that represent risk
Provide training and guidance to analysts on the team for new functions
Participate in departmental projects and initiatives
Keeping abreast of new rules, regulations and reputation risks to develop implement and revise current policies and procedures
Work on special projects and assist as needed
Understand business and regulatory requirements and ensure functions are being performed in those requirements
Assist with prototype AML reviews and investigations of alerts generated by new scenarios in order to develop procedures, protocols, and to establish sufficient training
Experience as an AML manager in a surveillance monitoring capacity 1-3 years’ experience
Experience in providing guidance
Not mandatory however experience in Correspondent Banking and Asset Management businesses
Strong knowledge of Microsoft Word, Excel, PowerPoint and Access
Advanced knowledge of effective internet search techniques
Experience with KYC, Due Diligence, and AML a plus
Experienced with Mantas, Norkom and Actimize is preferred
Ability to identify, escalate and communicate issues to management in an effective and succinct manner
Excellent writing and communication skills
Excellent analytical, judgment, and research skills
Strong attention to detail and the ability to multitask
Good team player with the ability to manage the team’s workload and their own
Minimum Bachelor’s degree or equivalent
Ability to lead a team of professionals by goal setting and driving completion of assigned tasks

Financial Crimes Unit Marketing Senior Manager Resume Examples & Samples

Developing and implementing a data-driven, integrated marketing strategy delivering results against strategic priorities that contribute to developing relationships, building pipeline and increasing brand equity
Developing and overseeing marketing tactics across several functional areas of the marketing mix including: brand, digital and social marketing, public relations, analyst relations, collateral, thought leadership and sales tools, events, etc. and driving strategy to tie these initiatives together using customer journey principles and marketing automation
Collaborating with subject matter specialists and leadership to develop and drive compelling marketing messaging and value propositions
Utilizing competitive and market research to understand client issues, marketing dynamics and competitive strategies and incorporating this information into marketing activities to drive high impact and differentiated programs, including contributing to the development of messaging and marketing strategies
Understanding relevant companiesâ€™ strategies, buying habits, executives and competitors, as well as key business issues and how to align our go-to-market strategy
Developing and implementing marketing programs that are on the leading edge and leverage the latest marketing technologies to create a greater client experience (e.g., social listening, analytics, etc.)
Working across communications platforms, such as social media, video and/or digital
Leading, managing and coaching/developing resources including hiring and performance management
Developing and sustaining strong relationships with peers and subordinates
Building and maintaining relationships with subject matter experts and leadership, including effectively navigating a complex organization

AML Financial Crimes Risk Management Analyst Resume Examples & Samples

Bachelor's degree, or equivalent work experience
Seven to ten years of experience in an applicable risk management environment
Applicable professional certifications
Expert knowledge of FFIEC Examination Manual relative to AML, KYC, CIP, etc., USA PATRIOT Act, FinCEN guidance, and other industry guidance and best practices
Excellent interpersonal abilities including superior oral and written communication skills with the aptitude to establish credibility and collaborative partnerships with senior business leaders and compliance partners
Leverages prior learning experiences
Demonstrated project management, teaming, organizational, analytical and problem solving skills
Effective organization and time management skills while working on multiple projects
Ability to work under pressure and adhere to project deadlines
Produces consistent quality of work products/deliverables for which he/she is personally responsible
Possesses strong writing skills and ability to think analytically
Proficient in Microsoft Office Suite (Excel, Word, Outlook, PowerPoint, Access and/or SharePoint) and willingness to learn new technologies
Proactive approach in identifying issues and presenting resolutions and options
Demonstrates a positive attitude, is motivated and contributes constructive ideas to team efforts
Acts as a positive role model and plans opportunities to improve own and others’ technical competency and professional growth
Demonstrates U.S. Bank values by exhibiting energy, enthusiasm and the courage to lead

VP, Audit Financial Crimes Resume Examples & Samples

Develops and executes a robust Audit Plan for Financial Crimes in accordance with Internal Audit standards, relevant government statutes and regulations
Establish strong relationships with senior leaders, including executive management, and related control groups
Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or executive management partners
Finalize audit findings and use judgment to provide an overall opinion on the control environment and communicates audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls
Stay up-to-date with evolving industry and regulatory changes impacting the business
Builds and maintains effective working relationships with Regulators and External Auditors
Manage expenses to budget, solving for department inefficiencies and excess spending
Audit practices and methodologies, including risk assessment and a solid understanding of internal control concepts
Control disciplines and a solid business understanding of Raymond James products and Services
Investment concepts, practices and procedures used in the securities industry
Assessing the probability and impact of a control weakness
Investigating compliances issues and irregularities
Making rule-based and analytical decisions
Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally
Preparing oral and/or written reports
Interact and influence senior leadership, including executive management
Manage against deadlines
Present complex and sensitive issues to management in a persuasive manner
Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities
Establish and communicate clear directions and priorities
Plan, assign, monitor, review, evaluate and lead the work of others; coach and mentor others
Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates
Assess and change priorities while taking personal risk and accountability
Work independently as well as collaboratively within a team environment to resolve problem
Bachelor’s Degree in Business Administration, Finance, Accounting and a minimum of ten (10) years’ experience in the securities industry as a business analyst or consultant or as an auditor with a certified public accounting firm or an equivalent combination of education, training or experience

Financial Crimes Data Analyst Analytics & Operations Manager Resume Examples & Samples

Support AML transaction monitoring including new models, tuning, and data analysis
Manage and lead a team of Data Analysts to support transactional models to detect potential AML suspicious activity
Assess the quality of the data for model development as well as inputs to models
Perform statistical analysis of transactional data
Onboard new products onto the AML Operations platforms
Analyze the effectiveness of automated monitoring methods and provide recommendations for improvement based on identified risk and control gaps
Research and design the transactional and informational data elements required during the development of new suspicious activity monitoring
Assist in preparing model documentation to support the model development/validation process
Maintain a current understanding of money laundering and terrorist financing issues, including policies, procedures, regulations, industry best practice, criminal typologies and developing trends
Lead AML Operational changes affected by external systems
Ensures day-to-day operations are conducted in compliance with regulatory and legal requirements and the organization's policy
Perform risk management to minimize risks
Streamline Operational processes for continued efficiencies
Promote teamwork and collaboration to consistently deliver to the standards required
Set priorities for the team and lead by example
Understanding of AML regulatory requirements, BSA, USA Patriot Act
Interfaces with senior management to provide and obtain information and to build consensus regarding regulatory and policy application and interpretation
Major field of study:Computer Science, Mathematics, Business or related major
Total years and type of prior related experience:7+ years in banking/finance industry or technology
Experience managing others:2+ years leading a team
Ability to prioritize workload and balance multiple duties
Possess independent analytical skills
Ability to lead others in achieving measurable objectives
SAS & SQL Skills
Strong analytical Skills
Strong research skills, advanced skill in the use of Microsoft Outlook, Excel, PowerPoint, Word, Access, and experience with on-line research systems

Financial Crimes Data Analytics & Operations Analyst Resume Examples & Samples

Serve as a resource to the lines of business and enterprise functions for Compliance related matters and initiatives providing guidance to managers and compliance partners on implementation of effective controls including policies, procedures and governance
Execute assigned monitoring and testing
Support the Compliance issues management process by ensuring timely and accurate updates, tracking and management reporting
Participate in timely responses to regulatory exams and internal audits serving as coordinator for the collection of materials and tracking/reporting of issue remediation
Assist in preparation of Compliance related management reports
Assist in the review and development and administration of line of business procedures and internal Compliance procedures
Participate in the completion and analysis of annual Line of Business risk assessments
Supports the development of compliance training materials for assigned line of business or enterprise function
3-5 years related compliance experience, financial services experience strongly preferred
Bachelors' degree in business or related major or equivalent experience
Working knowledge of applicable laws and regulations
Attention to detail and superior written and oral communication skills with a proven ability to communicate and influence effectively at all levels of the organization
Ability to identify and make recommendations to maximize efficiency and effectiveness
Proven ability to simultaneously accomplish multiple tasks assignments and prioritize work as needed to meet business needs
Demonstrated ability to interpret and understand laws and regulations, providing recommendations and solutions

Financial Crimes Innovation & Effectiveness Data Analyst Resume Examples & Samples

Responsible for day to day activities within AML Operations and Analytics, specifically the Effectiveness and Innovation team
Assists Project Team with migration to new transaction monitoring and case management tools
Support the Data Integration project and other initiatives
Utilize high performance relational databases (SQL Server 2012, Microsoft Access, OLAP and other proprietary software)
Query and mine large data sets to examine financial data and filter for targeted information
Prepare reports, findings and presentations
Streamline Operational processes for continued efficiencies; automate repetitive tasks
Interface with internal customers to generate ad hoc and production reporting or analytics
Assists Effectiveness and Innovation Manager on routine tasks or ad hoc requests
Understanding of AML regulatory requirements
Uses judgment, creativity and sound technical and analytical knowledge to develop and recommend solutions relating to company policies and standard practices
Prepares documentation for regulatory agencies as well as internal audit and testing teams
Miscellaneous duties as assigned
Education level: Minimum - Bachelors' Degree
Major field of study:Business, Information Technology or related major
Total years and type of prior related experience:2+ years in banking/finance industry, 2+ years in Analytics
Ability to work in a fast paced, deadline-oriented environment
Proficient in SQL
Knowledge of SAS preferred but not required
Experience with Business Intelligence and Visualization tools
Ability to identify areas for process improvement
AML Operations systems and procedures
BSA, USA Patriot Act
Advanced skill in the use of Microsoft Outlook, Excel, PowerPoint, Word, and Access

Financial Crimes Unit-senior Manager Resume Examples & Samples

Liaise with the Compliance department and other key stakeholders and partners with respect to technology projects and other initiatives impacting the Financial Crimes Compliance department
In support of the AML and OFAC Risk Assessments, collect, analyze and present customer and transaction/activity data
Identify additional areas of opportunities to enhance analytics, reporting and governance
Act as a contact with business and technology partners to ensure that the metrics and data used for the Risk Assessment meets expectations
Format metrics from Tableau that are used to calculate the Inherent Risks and Effectiveness of Controls and Residual Risk ratings for the AML/OFAC Risk Assessment
Provide recommendations to develop methodologies to monitor various AML outputs on an on-going basis
Assist in the development of tools to perform on-going modeling, testing, and tracking of suspicious broker/dealer and bank activity
Identify transactional anomalies, write programs and run specialized queries that can help streamline compliance processes and reduce “false positive” alerts, providing staff more time to review more-targeted cases of suspicious activity
Identify additional areas of opportunities to enhance analytics and metrics reporting as it applies to the data used within the Financial Intelligence Unit
Strong understanding of the BSA, the current anti-money laundering regulatory landscape and related criminal activity relevant to securities businesses such as securities fraud, insider trading, and market manipulation among others
Advanced degree in Statistics or related field (e.g. Economics, Mathematics, Statistics, Computer Science) considered a plus
Proven experience in analyzing data in the financial services sector, or related industry (tuning and optimizing AML monitoring systems and scenarios is a plus)
Cyber security knowledge considered a plus
Certified AML Specialist (CAMS) and/or Certified Financial Crime Specialist (ACFCS)
Knowledge of OpenPages platform considered a plus
Working knowledge of Visual Basic programming
Proficiency using Microsoft PowerPoint to develop presentations that include callouts, graphs, flowcharts, and similar methods to convey information succinctly but clearly for executive level consumption
Ability to work in a team as well as independently

Csfc Financial Crimes Senior Analyst Resume Examples & Samples

5+ Years of experience in fraud, financial crime management, fraud analytics, data science, or similar roles
In depth understanding of cyber security topics to include threat actors and their tradecraft
In depth knowledge and understanding of the tools and sources available to conduct financial crime and cyber security alerting, analysis, and enhanced situational awareness

Csfc Financial Crimes Intermediate Analyst Resume Examples & Samples

Understanding of cyber security topics to include threat actors and their tradecraft
Operational planning experience that includes financial crime and cyber security disciplines
Ability to collaborate on financial crime and cyber security related topics with multiple teams
Driven, self-motivated and able to work independently with little oversight
Able to produce written products on a reoccurring basis incorporating findings from cross-functional and cross-enterprise teams
Understanding of the tools and sources available to conduct financial crime and cyber security alerting, analysis, and enhanced situational awareness

Financial Crimes Invest Resume Examples & Samples

File regulatory reports as necessary, within the established service level agreement
Maintain detailed knowledge of company operations, organizational procedures, and federal/state regulations
Maintain understanding of industry trends related to bank fraud
Ensure quality of effectiveness, teamwork, narrative, and thoroughness of case review
Manage caseload in an efficient manner in order to maximize departmental production capability
Manage caseload in an effective manner to maximize the quality of their case reviews
Enhance the overall development of the department's goals and strategies
Promote the department’s goals and strategies throughout the company
Effectively manage risks and rewards
Participate in groups and/or committees for the purpose of reviewing and improving policies, procedures, and processes affecting our department or our business partners
Two plus years of KeyBank investigative experience
Preferred: Bachelors degree in business, law enforcement, criminology or other related field
A professional certification such as Certified Fraud Examiner (CFE) or Certified Financial Services Security Professional (CFSSP) or Certified Anti Money Laundering Specialist (CAMS) certification

Financial Crimes Resume Examples & Samples

Performing planning, scoping and sampling activities related to test reviews, including drafting test steps
Executing testing , including documenting, assessing and reporting testing results
Working closely with, and communicating testing progress to, the FCC/AML Testing Manager
Identifying, communicating and escalating issues as appropriate, including ensuring that corrective action plans adequately address risk and are completed on time
Communicating with stakeholders throughout the review process, including obtaining information as necessary to complete testing
BSA/AML/OFAC related certifications, such as CAMS
Proficient in MS Office, including MS Word and Excel
Knowledge of data analytics, systems testing, UAT testing and/or IT areas relating to BSA/AML/OFAC is a plus
5-7 years experience in a large financial services firm, with

Financial Crimes Detection Specialist Resume Examples & Samples

Possess effective knowledge and understanding to ensure processes comply with regulations (e.g. Regulation E, Visa Operating Rules, UCC, Federal Credit Reform Act (FCRA), Regulation J, Regulation CC, NACHA, Bank Secrecy Act/Anti-Money Laundering/Patriot Act (BSA/AML), Telephone Consumer Protection Act (TCPA), Office of Foreign Assets Control (OFAC) and Identity Theft red flags)
Prepare documentation to return items, stop bill payments, close accounts/block cards, hold funds, block online access and complete client/branch notification forms and Suspicious Incident Reports (SIR). If applicable, prepare consumer claim documents on all fraud transactions including fees and interest
Perform significantly complex research utilizing multiple internal and external sources. Prepare financial spreadsheets or enter data into a database or system in order to capture and monitor loss information for further analysis
Basic regulatory knowledge

Analyst AML & Financial Crimes Resume Examples & Samples

Conducting research utilizing available systems, databases, and the internet, consistent with the resolution of investigations
Documenting and reporting the investigation findings in the case management system and preparing reports to management as required
Drafting reports detailing work performed and conclusions reached, which require minimal editing and provides a clear message including suggested corrective and/or remedial action
Developing metrics and reporting measures as directed and reporting results to management
Investigate potential negative media alerts to identify whether a true match to a prospective or existing client and escalate, as appropriate to Management
Perform reviews and analysis utilizing internal and third-party research tools
Abide by policies and procedures to ensure compliance with regulations related to money laundering included in the US PATRIOT Act
Mentor colleagues/peers on internal AML policies, rules and regulations
Inform senior management about issues that may involve rule violations or potential liability
Customer Due Diligence, Enhanced Due Diligence and other KYC policies and procedures
Experience with investigative techniques and report writing
Securities industry knowledge and/or financial services industry experience
Identifying and applying appropriate compliance monitoring procedures and tests
Interpret and apply anti-money laundering regulations and identify and recommend compliance changes as appropriate
Independently research and resolve issues while working across teams to acquire information
Provide a high level of customer service
Establish and maintain effective professional working relationships at all levels of the organization
Handle highly confidential information professionally and with appropriate discretion
Bachelor’s Degree from a four-year college or university in a related field and two (2) years of experience in AML investigation experience in Securities Industry

Group Leader Iv-financial Crimes Resume Examples & Samples

Serves as a liaison between the unit and Operations Manager acting as a back-up as needed
Performs in-depth research using Enterprise Business Objects
Assists in managing work flow in the RSA queue adhering to directive from Operations Manager
Assists in New Hire Training
Recommends procedural changes as well as participates in the implementation of changes
Maintains a thorough knowledge of the department
Solves general problems independently, refers complex items to management Basic Qualifications
Minimum of six years’ work experience
Demonstrated work place leadership
Complex problem resolution skills Ideal Qualifications
Bachelor’s Degree (working toward degree ok)
Minimum 5 years department experience
Demonstrated proficiency with RSA and other bank systems About M&T At M&T, we strive to be the best place our employees ever work, the best bank our customers ever do business with and the best investment our shareholders ever make. So when looking to advance your career, look to M&T. As a top 20 US bank holding company and one of the best performing regional banks in the country, we offer a wide range of performance based career development opportunities for talented professionals. And through our longstanding tradition of careful, conservative and consistent management and a strong commitment to the communities we serve, we continue to grow with a focus on the future. Apply today at www.mtb.com/careers!

SVP, Head of Financial Crimes Resume Examples & Samples

15+ years of AML/BSA experience within a financial services institution, including an outstanding record of professional accomplishment
Proven experience operationalizing policies and procedures, which includes transforming a framework into a functioning process which operates in sync with the business
A relationship builder, who can establish trust and credibility across all levels of the organization as well as with regulators and other key external constituents
Highly collaborative and a team player. Hands-on approach, with proven execution/process skills. Organized and focused on delivering results
A leader and a motivator – capable of developing people advancing great talent
Impeccable integrity, sound judgment and strategic vision

AML Financial Crimes Risk Manager Resume Examples & Samples

Coordinate with key business line contacts and subject matter experts to identify and document key risks within products, services and processes and the related controls in place to mitigate those risks
Develop agreements with the EFCC/AML groups within the business lines that transfer relationships to SAG regarding the activities those groups do to support SAG
Identify control gaps and assisting business units in remediation of gaps or issues
Communicate findings / results to management
Identify areas for process improvement and clearly communicate and assist in implementation, as appropriate
Development and oversight of metrics and reporting
Point of escalation for all issues/regulatory AML matters
Ten or more years of experience in an applicable risk management environment
Applicable certifications

Financial Crimes Systems Analyst Resume Examples & Samples

Assist in coordinating, planning, and executing all systems-related activities to ensure BB&T Corporation remains in compliance with all applicable Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) laws and regulations
Participate in the coordination and preparation of data and activities required for regulatory examinations and internal audits/tests
Aid in the implementation of system functionality, alerts, reports, etc., designed to support any new policies and procedures as they relate to BSA/AML regulations
Participate in the development and documentation of end-user requirements that can be translated into programming specifications
Participate in departmental responsibilities for all approved minor and major projects. This includes, but is not limited to, assisting with the preparation of test data and verification of test results in conjunction with line of business (LOB) users and departmental IT support, and assisting with compiling, analyzing, preparing, and reporting business related statistics and metrics to the BSA/AML Support Manager or other managers as required
Maintain an awareness of current and future industry trends and BSA/AML regulations. Discuss with the BSA/AML Support Manager possible adjustments to the BSA/AML procedures and strategies if necessary
Ensure appropriate access and privileges are assigned to BSA/AML personnel by managing all internal control processes regarding the systems and applications managed and owned by their respective areas
Assist with the completion of the BSA/AML Information Security Risk Assessment to include remediation of any issues resulting from the assessment
Assist with process improvements, documentation and merger/conversion activities in support of BSA/AML laws and regulations
Attend BSA/AML training to stay abreast of the BSA/AML laws and regulations
Maintain an awareness of project budgets while optimizing service and cost to the business unit

Financial Crimes Cons Resume Examples & Samples

Collect and disseminate intelligence derived from internet-based open source public records/media sources, subscription database providers, and internal bank systems to mitigate potential losses to the bank and possible reputational harm from high risk clients and jurisdictions, both domestically and internationally
Synthesize research findings for report to legal, risk & compliance, financial crimes, senior management, and other business units for effective assessment of viability and risk
Prepare in-depth domestic and international intelligence reports on Politically Exposed Persons (“PEPs”)
Maintain close working knowledge of assigned intelligence collection efforts and advise supervisors of their progress and appropriate escalation of matters of concern
In partnership with the line of business, provide assistance with the development and implementation of new policies, procedures and controls in order to address new legislative or regulatory requirements
Work closely with partners in Risk & Compliance, Financial Crimes, Legal and AML Compliance to keep abreast of regulatory guidance and rulings, enforcement actions and penalties, as well as maintain an understanding of current events and international affairs
6+ years of experience in one or a combination of the following: fraud, Bank Secrecy Act, anti money laundering, investigations of financial crimes transactions or policy violations, risk management, or compliance; or a BS/BA degree or higher in applied sciences, mathematics, statistics, economics, finance or criminal justice and 4+ years experience in the foregoing
Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills
Certified Anti Money Laundering Specialist (CAMS)
Certified Fraud Examiner (CFE)
Strong organizational, multi-tasking, and prioritizing skills
Good analytical skills with high attention to detail and accuracy
Extensive technical writing skills
Facilitation skills, including ability to facilitate decision-making and broker agreements amongst diverse, differing, and/or conflicting perspectives/priorities
Ability to articulate complex concepts in a clear manner
Ability to handle confidential material in a professional manner
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Experience with subscription database providers (i.e., Lexis-Nexis, World-Check, Bloomberg, etc.)
Law enforcement or intelligence collection experience a plus
Comprehend and parse and/or interpret complex organizational and corporate structures for ownership percentage, subsidiary breakdown or merger activity
Demonstrate excellent written communication skills, including drafting reports, and collaborating on policies, and procedures

Manager, AML & Financial Crimes Resume Examples & Samples

Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff
Plans, assigns, monitors, reviews, evaluates and leads the work of others
Devise and analyze metrics and prepare reports related to key measurements of AML transaction monitoring activities
Provide training and mentoring to new and existing Associates
Promptly escalate AML risk relevant and critical or reputational risk matters
Provide guidance and support in the detection and reporting of suspicious activity
Administer policies and procedures to ensure compliance with regulations related to money laundering included in the US PATRIOT Act
Maintain knowledge of best practices in investigative research processes based on sources such as industry groups and information issued by regulatory groups and the United States government
Contribute to various AML training modules and communications by providing material on timely subjects, incidents and other relevant topics as necessary
Respond to regulatory inquiries and coordinates with other compliance personnel
Maintain currency in laws and regulations pertaining to anti-money laundering compliance
Provides guidance to Raymond James Associates regarding AML policies
Rules and regulations of the Patriot Act
Analyzing activity documentation to identify irregular transactions
Administering regulatory notification and filings
Planning and scheduling work to meet regulatory organizational and regulatory requirements
Operating standard office equipment and using required software applications
Supervise, coach and mentor a team of AML Investigation Analysts
Bachelor’s Degree (B.A.) from a four-year college or university in a related field and a minimum of 6 years’ experience in compliance in the securities or banking industry with a focus in anti-money laundering activities

Financial Crimes Investigations Resume Examples & Samples

Acquire knowledge and develop deep expertise of Financial Crimes Investigations data interface specifications, source system providers, Functional Specification Documents
Review Business Requirement Documents (BRDs) / change requests and provide documentation enhancement recommendations to ensure requirements are clear and actionable by Compliance Technology and LOB technology teams
Author new (or update) Financial Crimes Investigations data interface specifications, Functional Specification documents and other analysis deliverables
Facilitate technical requirements and data interface specification review sessions with multiple lines of business (LOBs) and technical teams
Provide project management support including preparing presentations, performing project schedule analysis, raising / documenting risks and issues, and performing impact analysis
Actively participate in Integration System Testing (IST) to ensure that data defined in the requirements is sourced correctly and flowing to the strategic transaction monitoring platform. Log defects into HP Quality Center / ALM
Perform research and create documentation on data dependencies and integration points between identified source systems and target platforms. Determine if defects are valid and also assess their impact on business operations such as the ability of the transaction monitoring system to ingest the data and perform monitoring
Attend key business and technology meetings. Document meeting minutes including key decisions, risks, issues, requirements and next steps/actions
7+ years business analysis experience with the ability to lead medium scale projects or specific bodies of work
Hands-on experience with and expert level knowledge in Anti-Money Laundering, Fraud Investigations or case management solutions
Self motivated team player with demonstrated problem solving skills. Detail oriented and must possess the ability to research and resolve complex analytical/data-driven issues independently while working across teams to acquire needed information
Must have excellent analytical, oral and written communication skills. Must also have the ability to successfully coordinate across numerous stakeholders, LOBs, and time zones
Proficient with Microsoft Excel (including with Pivot tables, filters, and formatting)
Familiarity with Microsoft Project
Ability to develop high quality documents and presentations for multiple audiences
Ability to organize/manage multiple priorities and adapt to changes in a fast-paced environment

Financial Crimes Specialist Resume Examples & Samples

Account Research — Research all branch and department reports of potential fraud, identity theft, and money laundering activity and respond accordingly
Law Enforcement Liaison — Act as the liaison between the Credit Union and Law Enforcement by responding to requests for surveillance and other documentation regarding Credit U"on incidents
Court Cases — Work independently with Law Enforcement preparing for Financial Crimes court cases. This includes creating police reports, working directly with Law Enforcement and District Attorneys in preparation for trial, and testifying at Grand Jury and criminal trials
Fraud Claim Processing — Assist members with fraud situations, including instances of check fraud, debit card fraud, ATM fraud, internet banking fraud, and ACH fraud. Act as a liaison with Credit Union vendors to ensure appropriate work is completed. Ensure that claims are tracked and processed within Regulation E compliance and timeframes
Identity Theft — Research and respond to cases of potential Identity Theft, ensuring that proper documentation is received to prove identity and that any discrepancies are reported appropriately
Application Review — Assist front-line staff by reviewing account and credit applications for instances of potential Identity Theft and fraud scenarios. Make in" endent decisions regarding the approval or denial of applications, based on potential financial impact
Financial Crime Mitigation — Work with the Loss Prevention & BSA Supervisor, as well as other business units, to ensure that proper mitigation strategies are in place to prevent, deter, and detect instances of fraud and financial crimes, limiting the financial impact of fraud to the Credit Union
Counterfeit Currency — Receive and process counterfeit currency, ensuring that proper reports are made to the Secret Service and local Law Enforcement
Currency Transaction Reports — Ensure that all Currency Transaction Reports are filed accurately and timely. Review internal host reports to ensure that all applicable transactions are properly reported to FinCEN
Suspicious Activity Reports — Ensure that Suspicious Activity Reports (SARs) are filed accurately and timely. Review all internal Suspicious Activity Referral Forms to independently determine whether a SAR is warrant" "Review Anti-Money Laundering (AML) alerts within the AML software, and file reports as necessary
Watch List Screening — Ensure that screening of all applicable watch lists is completed, including all OFAC and 314(a) lists. Research and respond to all potential matches within regulatory timeframes
Program Support — Offer support to other areas of ER&A Risk Mitigation and Response, including Vendor Management, Physical Security, and the Business Continuity Program. Provide reporting to Senior Management and other Credit Union leaders regarding the state of the ER&A Risk Mitigation and Response functions
Provide support to ER&A, Credit Union business units, and Credit Union goals
Follow all company policies and act as a role model to others in the following of these policies. This includes, but is not limited to, providing exceptional internal and external service, championing company values, representing the" "Cit Union with a high level of professionalism, working hard to support teams, and arriving to work on time every day with a positive attitude
Work responsibly and independently with minimal supervision to establish priorities and meet deadlines. Much of the work will be completed independently and with a great deal of independent discretion
Maintain the highest level of confidentiality regarding all sensitive, confidential, and proprietary Credit Union information
Ability to support and work on multiple and overlapping projects with dependencies
Demonstrate strong interpersonal skills, ability to communicate across boundaries, build cross-functional collaboration, ability to be flexible and adapt to multiple job junctions as well as be a team player at all times
Work well in a team environment, exhibit strong team leadership, provide motivation, inspiration, and vision to the team(s) and drive decision making
Stay abreast of current laws and regulations. At" "enpplicable trainings/seminars as necessary
Must follow all required regulations, as well as complete all applicable training
Develop and maintain professional relationships with key contacts in the community such as other financial institution personnel, law enforcement officials, and industry experts

Analyst, AML & Financial Crimes Resume Examples & Samples

Perform analysis and reviews utilizing internal and third-party research tools
Trains colleagues/peers on internal AML policies, rules and regulations
Maintains fraud prevention system, including testing and installation of software updates
Informs senior compliance management about issues that may involve rule violations or potential liability
Rules and regulations of the US PATRIOT Act
Developing and delivering technical training to others
Bachelor’s Degree from a four-year college or university in a related field and 3-5 years AML investigatory and analysis experience

Financial Crimes Unit Senior Analyst Resume Examples & Samples

Issued technology and effective written and verbal business communication know-how to complete compliance-related consulting engagements
Banking-related products and services, operations, processes, commercial, retail, private banking, broker dealers and transactional flows
Corporate compliance program development, analyses
Program construction, monitoring and auditing, emphasizing the management of internal risk assessments and/or investigations
Management of multiple work streams or project teams to execute against an existing project or work plan
Promotion, management, and delivery of the continuous improvement of activities and service e-delivery
Attention to details in executing and reviewing work products to establish the highest quality deliverables in the allotted timeframe
Integration and synthesis of information from multiple sources, including business domain knowledge, in order to analyze complex data and results, anticipate issues and solve problems; and,
Promotion and driving toward standardization of service and/or solutions delivery and activities to provide efficient client service
Scripting (VBScript, JavaScript)
Relational Database (MS SQL/Oracle DB)
Excel and macros; and
Data warehousing tools
Utilizing Microsoft Office Suite (Excel,

Director, Financial Crimes Detection Unit Resume Examples & Samples

Develop and maintain the Suspicious Activity Report (SAR)-related investigative procedures framework for the entire Enterprise to ensure proper alignment across the enterprise, and manage policy exceptions and gap remediation efforts
Operationalize the intake of leads from contributing business units and perfect investigative procedures to be adhered to by the FCDU
Conduct Quality Assurance (QA) on all SAR-related products prior to submission to the Financial Intelligence Unit (FIU)
Manage the annual risk assessments performed by DFS and its business units
Develop and deliver appropriate training, both awareness and role-specific , to the FCDU
Partner with business units to design and implement effective Suspicious Activity Report (SAR) processes
Escalate potential Bank Secrecy Act/Anti-Money Laundering (BSA/AML) issues to appropriate management and tracking to resolution
Develop and manage a team that test the Bank Secrecy Act (BSA) and Suspicious Activity Report (SAR) operation processes (known as Business Unit Testing and Monitoring), and develop and provide periodic reporting of associated metrics (Key Risk Indicators (KRIs) and Key Performance Indicators (KPIs)) to management
Interact with federal and state regulators and internal audit, including oversight during various examinations
Implement corrective actions resulting from compliance reviews, audits or regulatory examinations
Promote a risk-aware culture, ensure efficient and effective risk and compliance management practices by adhering to require standards and processes
Experience in a compliance or operational function at a financial services company
Experience managing a team of professionals
Proven ability to interact successfully with senior management
Extensive experience interacting with federal and state regulators as well as Law Enforcement agents
Experience influencing and leading organizational change
Excellent relationship building skills and ability to work collaboratively
Ability to think and act both tactically and strategically

Financial Crimes Glasgow Team VP Resume Examples & Samples

Manage the EDD/Advisory sub-team including rigorous oversight over the work of junior team members and ensuring that their work is accurate and is performed in a timely fashion
Assess the Financial Crime risk associated with potential and existing clients of the Firm via the enhanced due diligence process
Staying abreast of Financial Crime related regulatory updates, enforcement actions and typologies. Challenge existing processes, looking for enhancements and efficiencies where possible
Using your knowledge and experience in Financial Crime Compliance to act as an escalation point and mentor for junior members of the team
Managing day-to-day prioritisation
Recent experience of Anti-Money Laundering Compliance or KYC Operations
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
Have excellent interpersonal skills and ability to work effectively with colleagues
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

Financial Crimes AML Team Lead Resume Examples & Samples

Possess an awareness of regulatory and US Bank compliance environments as well as an interest to self-educate on new topics and changing requirements
Partner with AML Investigators in order to understand their workflow and to utilize their feedback, where appropriate, to strengthen the quality of AML and EDD Analytics work product
Partner with Business Line (BL) contacts to fully-understand US Bank product offerings, embedded BL compliance functions, and where the AML and EDD Analytics team can provide value in terms of risk coverage and mitigation
Lead the development and implementation of new reporting functionality and transaction monitoring channels for AML and EDD support purposes
Create professional program/reporting documentation in support of AML Monitoring and Enhanced Due Diligence
Work with technology and senior AML management to drive the Financial Crimes Compliance
Professional presentation skills for audiences including but not limited to senior leadership, regulatory and business partners
Ability to provide constructive feedback and daily guidance to analysts
Ability to Research and conduct analytics
Experience managing production and quality results
Leading an enhanced due diligence function
Experience with leading change; resolving conflict
Bachelor's degree, or equivalent, relevant work experience
Excellent interpersonal, verbal, and communication (including presentations) skills
CAMS certification or equivalent
Proficient computer skills, especially Microsoft Office applications
Ability to work in a fast-paced, deadline-driven environment

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