Global Financial Crimes Resume Samples

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E Schuster

Eusebio

Schuster

156 Delbert Hill

Philadelphia

+1 (555) 152 7645

156 Delbert Hill

Philadelphia

Phone

p +1 (555) 152 7645

Experience Experience

Chicago, IL

Global Financial Crimes

Chicago, IL

Feeney, Fay and Dibbert

Chicago, IL

Global Financial Crimes

Making recommendations on how processes and procedures can be improved and working with divisional management to ensure those recommendations are executed
Manage implementation of internal policies and make recommendations to improve policies and procedures to maximize departmental resources
Assist in development of research and analytic tools designed to enhance the work of the FIU and GFC
Work with LCD administration and Resource Engagement Management to prepare task orders and work descriptions for outside vendors
Assisting the Business Units and AML coverage areas in developing corrective action plans for issues identified
Management of projects and client reviews, e.g. review and analysis of the client base to identify and manage high risk clients, or specific country reviews
Stay abreast of data management, IT developments concerning BSA/AML/Sanctions, fraud schemes, and security issues

Boston, MA

Global Financial Crimes Division

Boston, MA

Lemke LLC

Boston, MA

Global Financial Crimes Division

Assist in testing the existing controls to ensure they are functioning as management intended
Assist the Deputy Head of CERT in designing an annual plan and program for compliance testing and compliance effectiveness reviews globally
Oversee the drafting of reports prepared by Team Manager consisting of observations and findings and results of the effectiveness reviews
Co-working with subject matter experts and Regional Compliance Officers and SME’s to implement necessary business line classroom training
Coordinate online and classroom training related to scheduling, documentation provided equipment setup, etc
Work with Director of Training Advisory GFCID, Local Compliance Officer and Compliance personnel to develop and implement an enhanced annual training program
Assist in preparing reports summarizing the objectives, scope, findings and conclusions of completed Effectiveness Review

present

Los Angeles, CA

Global Financial Crimes, AML Manager

Los Angeles, CA

White, Bode and Harris

present

Los Angeles, CA

Global Financial Crimes, AML Manager

present

Provide feedback to the Head of GFC Australia and assist with policy and framework drafting, delivery, training, and interpretation
Manage and monitor the performance of the offshore support teams (Mumbai Operations, LEG HK and Budapest, etc) Hold weekly update meetings
Work ongoing TMS/NNS/Sanction screening developments, enhancements and IT updates
Assist with second level reviews on client and transaction OFAC/sanctions screening alerts
Assist with second level reviews on transaction monitoring alerts
Distribute monthly Quality Assurance feedback received from GFC QA HK team Ensure alerts requiring re-work are completed
Help secure system access for individuals outside of local GFC team (Mumbai Operations, contractors, temporary assistants)

Education Education

Bachelor’s Degree in Business

University of Massachusetts Amherst

Bachelor’s Degree in Business

Skills Skills

Excellent written and verbal communications skills, attention to detail and strong time management skills
Have excellent written and verbal communications skills, attention to detail and strong time management skills
Ability to handle highly confidential information professionally and with appropriate discretion
Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
A proven ability to handle highly confidential information professionally and with appropriate discretion
Be able to handle highly confidential information professionally and with appropriate discretion
Solid knowledge of global and regional AML regulations
Have strong written and verbal communications skills, attention to detail and effective time management skills
Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Strong knowledge of Client Onboarding, KYC and EDD

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Head of Global Financial Crimes Audit Program Development & Advisory Resume Examples & Samples

Engage in ongoing communication with senior Legal and Compliance Division and Internal Audit Department management to discuss the status of the audit plan, results of test work, and quarterly reporting
Provide legal/regulatory audit advisory support to audit staff and senior management and serve as a main interface with regulators, external examiners and other key stakeholders
Develop a comprehensive Financial Crimes Audit Program, including risk assessment, annual and quarterly planning, scope determination, development of audit planning memoranda, supervision and direction of audit test work and feedback and direction on report writing
Ensure execution of the audit plan within departmental methodology, policies and standards
Undergraduate degree (B.A., B.S., or equivalent) from an accredited institution with a J.D or equivalent a plus
Eight to fifteen years of financial services experience with a focus on anti-money laundering, sanctions and financial crime compliance/audit
Extensive experience examining, auditing or supervising financial services regulatory activities
Strong technical understanding of the financial services regulatory environment
Ability to multitask, manage or support team members on projects and thrive within a fast-paced, sophisticated, global environment
Ability to travel when required (minimal)
Financial Crimes subject matter expertise from prior regulatory experience or major financial services organization
Experience communicating with regulators highly encouraged
Proficient understanding of internal audit processes encouraged but not required
J.D. or equivalent a plus
C.P.A., Certified Regulatory Compliance Manger (CRCM), Institute of Internal Auditors (IIA) certification, and/or ACAMS certification a plus

Global Financial Crimes Resume Examples & Samples

Manage regulatory and internal projects and remediation efforts for the Asia AML team, working closely with Global Strategic Initiatives
Coordinate substantive decisions with Asia Economic Sanctions Counsel, Head of GFC Core Functions and the GFC Financial Intelligence Unit
Communicate with senior Legal and Compliance Division (LCD) and business management
Prepare and deliver reports to Board committees with supervisory responsibilities for Bank Secrecy Act/AML/Office of Foreign Assets Control compliance
Coordinate workstreams within the Global AML Group and with AML Information Technology, Internal Audit and Financial Holding Company Governance
Work with LCD administration and Resource Engagement Management to prepare task orders and work descriptions for outside vendors
Coordinate and prepare reports and communications regarding special projects for delivery by the Asia Chief Compliance Officer (CCO) and Global Head of GFC to senior management, committees, Boards and/or regulators
Have 10+ years of professional experience within the banking industry in an AML/compliance or internal audit capacity or experience within a financial services regulatory agency
Possess a strong understanding of the financial markets and banking
Maintain awareness of current laws, rules and regulations regarding AML
Have a proven ability to lead, including oversight of special projects and strategic initiatives
Have proven experience developing partnerships with and successfully coordinating across various Legal, Risk, IT and Operations partners and stakeholders
Have strong client-relations skills and ability to partner with clients to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
Possess strong leadership qualities with the ability to manage both small and large teams while assessing and developing individual and team skill sets and providing timely constructive feedback
Have the ability to use various PC, MS Office and internet applications and tools to support AML processes
Have the ability to effectively handle a fast paced environment and successfully meet established deadline requirements
ACAMS certification

Global Financial Crimes Resume Examples & Samples

Have 3-6 years of professional experience within the banking industry in a GFC/AML/compliance or internal audit capacity or experience within a financial services regulatory agency (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation, etc.)
Possess an understanding of financial markets and banking data types
Maintain awareness of current legislative and regulatory requirements
Possess an understanding of data analytics
Be able to interact with Branch and Business Unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
Have excellent written and verbal communications skills, attention to detail and strong time management skills
Have the ability to use various PC, MS Office and internet applications and tools to support the AML process

Global Financial Crimes Resume Examples & Samples

Advise on, and resolve, potential AML issues arising across business units and jurisdictions covered by the Asia Pacific AML Group; significant interaction across all business units, and advising on AML compliance
Supervise know-your customer and client due diligence processes
Monitor regulatory developments and new rules or requirements across the Asia Pacific countries
Oversee and supervise the filing of Suspicious Transaction Reports (STR)
Manage projects and client reviews, e.g. review and analysis of the client base to identify and manage high risk clients, or specific country reviews
Draft and implement appropriate AML policies and procedures
Design and deliver AML training program in Asia Pacific countries
Review and approve payment exceptions generated through the monitoring of client payments
Manage day-to-day account opening issues, including approvals of high risk clients, waivers etc
Investigate and escalate transaction monitoring alerts and queries
Supervise transaction monitoring and AML surveillance
At least 10 years of relevant experience in AML Compliance, Due Diligence or Regulatory experience preferably in a securities environment
Experience in the securities or broker-dealer business
Solid knowledge of securities as well as sales and trading products
An analytical mind with attention to detail and X team management experience
Fluency in Asian languages (such as Cantonese, Mandarin) advantageous
Proven ability to manage a team across a wide geography
Ability to independently inter act with senior business management
CAMS qualified

Global Financial Crimes Resume Examples & Samples

3-6 years of professional experience specializing in AML and/or Financial Crime Compliance within the banking or professional services industry in a capacity, not limited to, a bank examiner, auditor, consultant or compliance professional with an understanding of AML regulations
Great attention to detail and organizational skills
Report writing experience in the context of audits or desk/ themed reviews
Must be able to work well under pressure and to tight deadlines
Project work experience

Global Financial Crimes Resume Examples & Samples

AML Policy & Procedure
Advisory
High Risk Client Reviews
PEP Reviews
Client Screening (RDC)
Payment Screening
Suspicious Transaction Surveillance & Reporting
OFAC/Sanctions Issues
Client reviews/enquiries
Reports & Statistics (Local & Global)
Training
Sensitive Client Reviews
Thematic Reviews (e.g. High risk tax clients etc.)
Review & Documenting of AML Group Procedures
Advising on, and resolving, potential AML issues which arise across business units and jurisdictions covered by the Asia Pacific GFC Group; significant interaction across all business units, and advising on AML compliance
Supervision of know-your customer and client due diligence processes
Monitoring of regulatory developments and new rules or requirements
Oversight and supervision of the filing of Suspicious Transaction Reports (STR)
Management of projects and client reviews, e.g. review and analysis of the client base to identify and manage high risk clients, or specific country reviews
Drafting and implementing appropriate AML policies and procedures
Review and approval of payment exceptions generated through the monitoring of client payments
Management of day-to-day account opening issues, including approvals of high risk clients, waivers etc
Investigation and escalation of transaction monitoring alerts and queries
Supervision of transaction monitoring and AML surveillance *LI-LT2
At least 5-7 years of relevant experience in AML Compliance, Due Diligence or Regulatory experience preferably relating to Institutional Securities such as equities, fixed income and investment banking
Experience in the securities or broker-dealer business would be an asset
Solid knowledge of global and regional AML regulations
An analytical mind with attention to detail
Strong oral and written communication skills in English and Mandarin necessary

Global Financial Crimes Resume Examples & Samples

JD or graduate degree
FCPA/Anti-corruption compliance experience
Excellent communication skills, with the confidence, credibility, and ability to work effectively within the organization and communicate and interact with both junior and senior business personnel
Experience with global collaboration or project management and the technology used to support it
Capital markets experience/familiarity
Legal or compliance experience
Experience interpreting laws or regulations

Global Financial Crimes Resume Examples & Samples

Advise AML Senior Management of emerging issues affecting controls used to mitigate AML risks, including but not limited to new products, changes in business models and/or processes and special initiatives
Support program status reporting by AML Senior Management to MS Boards and regulators
Participate in Global AML Monitoring Committee meetings
Communicate AML Program approach and present plans to AML and Technology partners
Have 5+ years of experience with Bank Secrecy Act (BSA)/AML regulations within the financial services industry, or at a financial services regulator (e.g., Federal Reserve, Office of the Comptroller of the Currency, Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.)
Have knowledge of the USA PATRIOT Act, BSA and OFAC regulations
Possess an understanding of the financial markets and banking, including broker-dealer product-based knowledge

Global Financial Crimes Policies Resume Examples & Samples

Have 4-6 years’ professional experience at a large financial institution and/or in a training or policies-related role at a large professional services firm
Experience improving an existing process and/or executing strategic projects
Facility with technology/learning new software (note: the Firm is currently transitioning to a new learning management system – Cornerstone OnDemand)

Global Financial Crimes Resume Examples & Samples

Prior experience implementing/maintaining global screening solutions is strongly preferred
Have 8-10 years of professional experience in an AML, Compliance, Audit or Risk Management capacity within the financial services industry
Have a strong knowledge of the securities regulatory environment including familiarity with various regulatory authorities (e.g., Office of the Comptroller of the Currency, Federal Reserve, OFAC, Financial Crimes Enforcement Network, Financial Conduct Authority, etc.)
Possess a strong understanding of financial markets and banking
Maintain awareness of current laws, rules and regulations related to Financial Crimes
Have strong interpersonal skills and ability to partner with key stakeholders to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
Possess the ability to manage both small and large projects

Global Financial Crimes Resume Examples & Samples

3-5 years AML investigatory experience and strong analytical skills or a combination of work and investigatory experience
Excellent written and verbal communications skills, attention to detail and strong time management skills
Excellent judgment, initiative and adherence to deadlines
Candidate should be a highly responsive team player who can think independently

Global Financial Crimes Resume Examples & Samples

Prior experience with risk assessments processes and methodologies
3-5 years’ experience with broker-dealer or bank AML regulation, preferably at large/complex financial institutions
Quantitative background with experience in data analysis
Fluency with Excel required, including pivot tables, creating formulas and performing data analysis
Bachelor’s degree in a quantitative discipline, advanced degree preferred

Global Financial Crimes Resume Examples & Samples

Assist with the development, implementation and execution of risk-based Compliance
Testing to review and assess the effectiveness of AML policies and procedures and controls by areas outside of the Global AML Group
Define test scope and design specific testing steps for each applicable area of review
Communicate test results, present identified issues to the business, work with the business to develop and implement a plan of corrective action and prepare written reports
Track status of corrective action plans agreed upon with the business
Maintain detailed and organized documentation of work product
Coordinate with other professionals in the organization, including Compliance advisory
Teams, FHC Monitoring and Testing Group and Internal Audit
Remain current on industry rules, regulations and best practices to help ensure that the testing program meets regulatory standards
Work on special projects
3-5 years professional experience in an Anti-Money Laundering group and/or testing role (e.g., Internal Audit) at a large financial institution and/or bank government agency (e.g., OCC, FRB)
Ability to work effectively on multiple reviews with different individuals at the same time
Excellent time management skills and ability to execute tasks within tight deadline
Developed investigative skills: inquiry and analysis, interviewing, testing, organization and presentation (both written and oral)
Ability to research and resolve issues independently while working across teams to acquire information
Self-motivated team player
CPA and/or CIA certification
Ability to manage multiple priorities and tasks with the skills to adapt to changes in a fast-paced environment

Global Financial Crimes Resume Examples & Samples

Proactively manage risks to the AML program, particularly, but not limited to the Wealth Management program, by recognizing significant risks in processes and technology, develop solutions and escalate significant issues timely to management
Develop project documentation including business requirements documents, , field communication, etc
Partner with the Project Management Office, operations and technology teams
Review IT developed documents including Solutions Requirement Specification and QA test plans and identify potential gaps and issues
Review project documents provided by other teams which affect AML processes and identify potential gaps and issues
Review UAT test plans, test cases, and test scripts for each project
Communicate testing approach and present plans to AML and technology partners
Coordinate with technology partners to ensure proper implementation
Provide regular reporting of project progress and status of deliverables
Identify process efficiency gains and present solutions
Oversee defect management and User Acceptance Testing execution
Coordinate data requests required by the AML team
Address inquiries from the field and from the AML team
Communicate issues and present proposals to all levels of management
Maintain business rules documents and field communication materials
Deliver training as needed
Have 3-5 years professional experience at a large financial institution
Have strong project management skills
Have proven experience developing partnerships with and successfully coordinating across various legal, risk, IT and operations partners and stakeholders
Have the ability to execute basic data analysis
Knowledge of/experience in Client Onboarding, AML and KYC strongly preferred
Advanced knowledge and experience using Microsoft Project, Excel and PowerPoint strongly preferred
Previous experience with UAT and regression testing preferred
Must possess the ability to research and resolve issues independently while working across teams to acquire information

Head of Global Financial Crimes Program Execution Resume Examples & Samples

Strong organization skills with the ability to multitask and prioritize
Strong interpersonal skills and composure
Financial crimes Compliance experience

Global Financial Crimes Resume Examples & Samples

4-6 years professional experience at a large financial institution and/or in a policies-related or writing-heavy role at a large professional services firm
Law degree or prior compliance experience drafting materials that involve an understanding of legal requirements considered a plus
Facility with technology/learning new software (note: the Firm has recently transitioned to a new learning management system – Cornerstone OnDemand)

Global Financial Crimes Resume Examples & Samples

Advising on, and resolving, potential AML issues which arise in IWM and jurisdictions covered by the Asia Pacific AML Group
Supervision of transaction monitoring and AML surveillance*LI-LT2
8 years of relevant experience in AML Compliance, Due Diligence or Regulatory experience preferably relating to Private Wealth Management / Private Banking
Solid knowledge of global and regional private banking regulation
An analytical mind with attention to detail and small team management experience
Strong oral and written communication skills in English with Chinese language skills (reading) preferred

Non-uk Global Financial Crimes Advisory Resume Examples & Samples

Working with non-UK EMEA Money Laundering Reporting Officers to coordinate their respective activities with GFC in London
Acting as the initial escalation point for issues relating to AML Compliance in non-UK EMEA locations
Providing oversight of the non-UK AML Compliance Programme
Assisting others in GFC more broadly and working with the London based head of non-UK EMEA Compliance to ensure effective co-ordination with the Core Compliance Programme including, training, policies and procedures, testing, and monitoring
Assisting in internal and external regulatory audits
Degree educated or equivalent
Experience with Anti-Money Laundering or broader regulatory Compliance experience within the financial services industry, at a financial services regulator, or at a law firm
Good understanding of AML processes in financial services organisations, including Customer Identification Programmes, Customer Due Diligence and Enhanced Due Diligence
Understanding of financial markets and products (in particular, Equities, Fixed Income, Commodities and Investment Banking/Capital Markets) and the investment management industry
Strong interpersonal skills; ability to work with staff and external stakeholders of all seniority across different jurisdictions
Ability to manage own workload and remain focused under pressure
Be self-motivated and must have the ability to work independently and as part of a team
Be able to handle highly confidential information with appropriate discretion

Global Financial Crimes Resume Examples & Samples

Assist with the development, implementation and execution of risk-based Compliance testing to review and assess the effectiveness of AML policies and procedures and controls by areas outside of the Global AML Group
Coordinate with other professionals in the organization, including Compliance advisory teams, FHC Monitoring and Testing Group and Internal Audit
Excellent time management skills and ability to execute tasks within tight deadlines
ACAMS certified

Global Financial Crimes Resume Examples & Samples

JD, LLM or similar degree/qualification
Ideal candidate will have at least 5 years of anti-corruption compliance/advisory experience, preferably at a large/complex financial institution, law firm or government/regulatory body
Detailed understanding of relevant anti-corruption and anti-bribery laws, rules and regulations (including the FCPA and the UK Bribery Act)
Strong interpersonal skills and team-oriented approach
Ability to exercise sound judgment in handling sensitive matters
Ability to provide assistance in a time sensitive environment
Excellent prioritization and time management skills
ACAMS certification a plus

Global Financial Crimes Resume Examples & Samples

Support CAO in recruiting efforts and headcount management across the group including
Manage roster reflecting current headcount, open roles, positions to be approved and consultant status
Liaison with Human Resources to identify candidates, confirm interviews, make offers and onboard new hires
Maintain job description repository and management of process for periodic update to descriptions on file
Work with CAO on executing process for onboarding new employees/consultants and offboarding of employees to ensure smooth transitions
Develop and maintain education/experience roster of Financial Crimes personnel, organize and ensure maintenance of email groups, org charts and GFC contact list
Have 3-5 years professional experience in Anti-Money Laundering, Legal or compliance role within Financial Services or equivalent
Have excellent interpersonal skills necessary to work effectively with colleagues across regions and business units

Global Financial Crimes Resume Examples & Samples

Have a master’s degree (or beyond) with outstanding academic credentials
Statistician that can apply data analysis and statistical modeling techniques to improve a business process and present recommendations in a non-technical, business-friendly way for consideration by senior management
High level of computer literacy, including experience using statistical packages for research/modeling (e.g., SPSS, Matlab, SAS, etc.)
Fluency with Excel required, including pivot tables and summary functions
Self-sufficiency in SQL
Proficiency with data warehousing designs, data architecture and database technologies
Excellent analytical, oral and written communication skills
Excellent interpersonal skills necessary to work effectively with colleagues
Knowledge of/experience with AML or other surveillance model design preferable
Professional experience at a large financial institution and financial services data types (such as wires, checks, journals, and their data fields)

Global Financial Crimes Resume Examples & Samples

Assist branch office personnel with their adherence to USA PATRIOT Act and Office of Foreign Assets Control (OFAC) sanctions requirements
Oversee and conduct quality assurance reviews of representative sample of WM EDD Analyst reviews
Assist in the compilation of monthly WM EDD metrics for management reporting purposes
Participate in team meetings led by the Head and Deputy of WM EDD team
Have 5-8 years of experience with Bank Secrecy Act (BSA)/Anti-Money Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation, etc.)
Have a strong knowledge of Client Onboarding, KYC and EDD
Have a strong knowledge of the USA PATRIOT Act, BSA and OFAC regulations
Maintain awareness of current laws, rules and regulations
Possess strong leadership qualities with the ability to manage both small and large teams while assessing and developing team skill sets and providing timely constructive feedback
Have the ability to effectively handle a fast-paced environment and successfully meet established deadline requirements

Global Financial Crimes Resume Examples & Samples

Have experience of managing a small group with a significant workload
The ideal candidate will have 3+ years professional experience in an Anti-Money Laundering group at a large financial institution
Experience in resolution of surveillance items flagged as potentially suspicious transactions and items identified as
Potential matches to adverse media alerts, designated sanctions targets and prohibited persons lists
Degree educated or equivalent with outstanding academic credentials
Be able to critically review closure rationale to determine if the resolution was appropriate and appropriately documented
Be able to identify solutions for recurring issues identified during the QA process
Knowledge of Actimize
Occasional travel

Global Financial Crimes Anti-money Laundering Resume Examples & Samples

4 year college degree with outstanding academic credentials
The ability to interact in a mature and professional manner with a variety of individuals
General knowledge of investing and markets and the ability to research or must evidence the ability to learn and adapt quickly
Ability to interact with branch and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
Must be able to maintain a positive and professional attitude in a fast-paced environment

Global Financial Crimes Anti-money Laundering Resume Examples & Samples

Have a 4 year college degree with strong academic credentials
Have 1 to 3 years’ experience within a broker-dealer and/or banking institution in an AML/compliance or internal audit capacity or experience within a financial services regulatory agency (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation, etc.)
Have experience in know your customer requirements including customer identification program, customer due diligence and enhanced due diligence
Possess a strong understanding of the financial markets and banking, including broker-dealer product-based knowledge
Maintain awareness of current laws, rules and regulations related to AML
Have excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Be able to handle highly confidential information professionally and with appropriate discretion
Be self-motivated and must have the ability to work independently
Be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within 15 months of hire

Global Financial Crimes Anti-money Laundering Resume Examples & Samples

Have 2 years of experience with Bank Secrecy Act/Anti-Money Laundering within the financial services industry or at financial services regulator (e.g., Office of the Comptroller of the Currency, Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.)
Have experience with Know Your Customer (KYC) requirements including Customer Identification Program, Customer Due Diligence and Enhanced Due Diligence
Be able to interact with branch and Business Unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
Have the ability to use various PC, MS Office and internet applications and tools to support AML/KYC processes

Global Financial Crimes Resume Examples & Samples

Have a 4 college degree with strong academic credentials
Have a minimum of 1-3 years’ experience working for a law firm, regulator or in house legal or compliance department
Have excellent written and verbal communications skills
Be detail-oriented, well-organized and diligent
Be articulate, poised and comfortable with direct interaction with business clients and senior management within Legal and Compliance
Be proficient in MS Office applications, including but not limited to Word, Excel, Access, and PowerPoint
Be technology savvy and willing to learn new systems and tools
Experience with surveillance / monitoring and testing / assessments a plus

Global Financial Crimes Resume Examples & Samples

Oversee a team of GFC Project Managers
Act as primary liaison for GFC stakeholders
Coordinate activities across GFC Project Managers to ensure projects are executed strategically across GFC and lessons learned are identified and implemented
Work with GFC subject matter experts to determine the impact of regulatory changes to ensure the GFC Program remains aligned with regulatory requirements
Proactively manage risks to the GFC program by recognizing significant risks in processes and technology; develop solutions and escalate significant issues timely to management
Improve the GFC program by identifying process efficiency gains and presenting solutions to GFC management
Oversee the non-technology components of GFC projects for assigned GFC teams
Partner with the GFC teams, Operations, and Technology to ensure the successful execution of GFC projects and to ensure all projects are reported to the GFC Strategy team
Review and offer guidance for AML Program documentation provided by other teams / vendors that impact GFC processes
Provide GFC PMO with regular updates for assigned projects including project risks, defects and potential mitigation plans
Represent the GFC Strategy team in status update meetings with senior management and other stakeholders
Coordinate meetings with stakeholders to review project status and potential risks
Ensure GFC projects are consistently executed according to project management best practices
Perform post implementation reviews to identify areas for improvement and implement identified recommendations into future projects
Support the annual prioritization and budget process
Develop project documentation including communications to impacted teams, procedure updates, training materials, etc
Lead training and communication efforts related to change initiatives for GFC teams
Have 8+ years of experience with Bank Secrecy Act (BSA)/AML regulations within the financial services industry, or at a financial services regulator (e.g., Federal Reserve, Office of the Comptroller of the Currency, Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.)
Have a proven ability to lead and multitask including oversight of several special projects and change initiatives related to GFC process enhancements
Have proven experience developing partnerships with and successfully coordinating across various Legal, Risk, Technology and Operations partners and stakeholders
Have highly effective communication skills, including excellent writing and presentation skills
Advanced knowledge and experience using Microsoft Project, Excel and PowerPoint, strongly preferred

Global Financial Crimes Resume Examples & Samples

Oversee a team of GFC UAT Testers and GFC Technology Project Managers
Coordinate activities across GFC Technology Project Managers to ensure projects are executed strategically across GFC and lessons learned are identified and implemented
Develop strong expertise in tools supporting GFC program
Proactively manage risks to the GFC program by recognizing significant risks in processes and technology, develop solutions and escalate significant issues timely to management
Improve the GFC program by identifying process and technology efficiency gains and presenting solutions to GFC and Technology management
Oversee the technology components of GFC projects
Review project documentation including high level business requirement and functional requirement documents
Have strong leadership qualities with the ability to manage small and large teams while assessing and developing individual and team skill sets and providing timely constructive feedback
Advanced knowledge and experience using Microsoft Project, Excel and PowerPoint and ALM, strongly preferred

Global Financial Crimes Resume Examples & Samples

Track GFC projects from start to finish, from development to post production reviews
Coordinate execution of GFC program changes across stakeholders (Operations, Technology, Compliance, GFC) for all projects
Ensure GFC Strategy team is appropriately allocated to GFC projects
Create GFC program status reporting for GFC Senior Management, Technology, regulators, etc
Ensure GFC projects are executed in a timely fashion and with appropriate documentation
Serve as point of contact for Regional GFC teams to help coordinate regional initiatives
Manage project documentation and retention for all GFC projects
Work with various groups to obtain project updates and manage deadlines
Prepare proposals to improve the GFC program to management
Coordinate with vendors that are performing project management and / or consulting services for GFC teams
PMO certification

Global Financial Crimes Policies Resume Examples & Samples

A JD and/or 3-5 years professional experience at a large financial institution, especially drafting and revising policies and procedures
A familiarity with current financial regulatory requirements, especially in the area of AML/financial crimes
The ability to analyze and assess new rules and regulations
Experience in some aspect of financial crimes compliance
Facility with technology/learning new software (note: the Firm’s learning management system is Cornerstone OnDemand)

Global Financial Crimes Resume Examples & Samples

Take lead in developing and executing research projects aimed at identifying and recommending best practices in AML compliance, in particular by identifying sources, collecting research and performing analyses related to global AML compliance developments, requirements and best practices. Report directly to and support the Director for Research and Analysis in the Global Financial Crimes Advisory Group
Liaise with global compliance staff to understand existing firm policies, procedures, practices and controls relating to AML compliance matters. Provide, as appropriate, assessments regarding new products as they concern BSA/AML and anti-corruption-related compliance topics and procedures. Take lead in identifying areas where AML scenarios can be modified to improve performance
Manage, as necessary, the production of relevant research and analyses and matrices of data distribution and data collection. Working with AML team within GFCAG, monitor industry-wide developments in AML best practices, including enforcement actions
Support special projects and related research and analysis activities and duties associate with the mission of the Global Financial Crimes Advisory Group
BA/BS required; advanced degree, and CAMS certification preferred
At least 8 years’ experience working in AML-related compliance function of a large commercial and/or investment bank or in a regulatory agency
Strong working knowledge of AML/BSA laws and regulations relative to money laundering and terrorist financing and the ability to apply this knowledge in assessing transaction activity; knowledge of monitoring of high risk customer accounts is preferred
Excellent judgment and analytical skills

Global Financial Crimes, AML Manager Resume Examples & Samples

Respond to the daily Customer Identification Procedures (CIP) and ML/TF risk advisory queries received from the business
Liaise with offshore team members, subject matter experts, legal counsel (HK, UK, NY) Conduct review and approvals on various daily requests, including: enhanced due diligence (EDD) for high-risk clients, politically exposed persons (PEPs), PEP status reviews, waivers, risk downgrades, etc
Conduct monthly Alerts and Filings reviews of high-risk clients
Evaluate overdue reviews and implement dormancy on accounts
Conduct ad hoc or trigger event reviews and investigations
Assist with second level reviews on client and transaction OFAC/sanctions screening alerts
Assist with second level reviews on transaction monitoring alerts
Assist with second level reviews on negative news/PEP alerts
Create case items of the above where applicable
Make additions to the TMS Watch list, Global Consolidated List (GCL) and Clients-of-Interest lists when required
Distribute monthly Quality Assurance feedback received from GFC QA HK team Ensure alerts requiring re-work are completed
Work ongoing TMS/NNS/Sanction screening developments, enhancements and IT updates
Maintain registers for Enquiries, SMRs, and other metrics
Collate metrics and report offshore on a routine basis
Manage and collate annual AML and OFAC risk assessment for ISG and MSWM
Provide feedback to the Head of GFC Australia and assist with policy and framework drafting, delivery, training, and interpretation
Reviewing and providing feedback to all downstream documents such as GFC-related forms, business level procedures checklists, client onboarding forms, etc etrics and report offshore on a routine basis
Sharing the role as Money Laundering Reporting Officer and drafting and submitting SMRs for submission to AUSTRAC
Ad hoc and scheduled enhancement and testing projects related to any of the above or business initiatives that require GFC advice and guidance
Provide training to business and support units on any of the above, when required
Provide supervisory support for team Associate/Analyst and serve as a point of contact for questions, issues and escalations
Delegate tasks to team Associate/Analyst as seen fit and advised/approved by Head of GFC Australia
Help secure system access for individuals outside of local GFC team (Mumbai Operations, contractors, temporary assistants)
Manage the team’s daily advisory, screening and monitoring workload This includes monitoring the outstanding volumes and ensuring all alerts are addressed in a timely manner (ie before the deadline)
Manage and monitor the performance of the offshore support teams (Mumbai Operations, LEG HK and Budapest, etc) Hold weekly update meetings
Attend various GFC related internal and external meetings Be an active participant and GFC representative in various working groups (eg Internal audit, UAT/enhancement/clean up/corrective action project, operational risk meetings, GFC local and regional team meetings (Quality Assurance, Testing)
Escalate significant ML/TF, Sanctions, Bribery and corruption, Fraud and Franchise risks or issues to the Head of GFC Australia
Act as the primary delegate to the Head of GFC Australia
Stay on top of regulatory changes as communicated by AUSTRAC and AFMA (the industry association) and impacts to the business
Ensure advice given to the business is in line with the AML Program requirements
Ensure advice given to the business is in line with the internal global requirements
Comply with the ethical standards contained within the Company Code of Conduct
Adhere to Company policies and procedures, regulatory and legislative requirements
Proficient in navigation and usage of Morgan Stanley GFC and specific business-related systems (Actimize, CLINK, Single Client View, RDC, OFAC Lookup, EBBOS, PICS, GDS, EQS, etc)
Expert-level understanding and working knowledge of the Australian AML/CTF laws and regulations
Expert-level understanding and working knowledge of the Morgan Stanley Australia AML Program- Part A and B
Expert-level understanding and working knowledge of the Morgan Stanley Global AML Policy, Procedures and Standards
Strong understanding and working knowledge of the AML Programs of other jurisdictions to which Australian businesses book or refer business to (ie UK for MSIP, US for MS&Co)
Familiar with international standard setting bodies (FATF, Wolfsburg, etc) and the latest standards issues
University undergraduate degree or equivalent tertiary education
Certified Anti-Money Laundering Specialists (CAMS) certification or equivalent
3 or more years’ employment experience in AML/CTF compliance
Experience working with an AML-regulated financial service provider that provides services to retail and institutional clients

Global Financial Crimes Division Resume Examples & Samples

Coordinate and provide assistance to Local Compliance Officers on regional topics and targeted training
Work with Director of Training Advisory GFCID, Local Compliance Officer and Compliance personnel to develop and implement an enhanced annual training program
Co-work with GFICD management and other RCTO’s to conduct a risk-based assessment of training needs in the region and document a plan to meet those needs
Create and/or deliver training (Instructor led & online etc.) on financial crime related topics
Co-working with subject matter experts and Regional Compliance Officers and SME’s to implement necessary business line classroom training
Assist in other projects or related duties as required by GFCID Management
BA/BS required; advanced degree
At least 5 to 7 years’ experience working in sanctions related compliance function of a large commercial and/or investment bank or in a regulatory agency, with direct OFAC experience and oversight
3 to 5 years’ experience in Learning Management and employee development
Extensive expertise in OFAC laws and regulations including OFAC requirements
Strong oral/written communication skills and the ability to work independently

Global Financial Crimes Division Resume Examples & Samples

Coordinate online and classroom training related to scheduling, documentation provided equipment setup, etc
Monitor and maintain information related to attendance, feedback, and other records related to training sessions
Track completion reporting, identify and escalate non-compliant employees
Update and maintain all employee data records and related reports
Assist RCTO in creating training materials by co-working with subject matter experts and Regional Compliance Officers to implement necessary business line training
3 to 5 years general or compliance related training experience
Strong knowledge of Microsoft suite applications including Excel, Word & PowerPoint
Well organized / ability to work independently

Global Financial Crimes Division Resume Examples & Samples

Lead a team of reviewers in conducting testing of BTMU branches globally to ensure compliance with the Bank’s OFAC Global Standards and ensure adherence with the annual test plan
Draft work plans and test scripts designed to test BTMU branches globally adherence to the Bank’s OFAC Global Standards
Prepare reports summarizing the objectives, scope, findings and conclusions of completed test reviews
Assist the Director of Sanctions Compliance Testing and Monitoring with establishing appropriate testing management routines and working sessions to ensure proper awareness of testing status and results
Manage other compliance reviews, projects, or related duties as required
ACAMS Preferred

Global Financial Crimes Division Resume Examples & Samples

Draft work plans that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
Working knowledge of sanctions compliance laws and regulations
Experience in leading diverse testing teams

Global Financial Crimes Division Resume Examples & Samples

Closely monitor sanctions related regulatory developments, including enforcement actions and industry developments focusing on topics and areas to include compliance effectiveness and testing reviews
Lead review of findings from compliance assurance reviews, compliance testing, and other internal reviews to identify trends, patterns or sanctioned related themes. Prepare reports of analysis of any identified trends, patterns or themes that present a sanctions risk to the bank for senior management
Work closely with teams within CERT to develop effectiveness review and test plans, as well review of Action Plans to address remediation efforts and effectiveness review and testing findings
Conduct benchmarking exercises of sanctions related processes
Assist in review of MUFG's OFAC Global Standards
BA/BS Degree; JD a plus
At least 10 years of experience within the financial crimes area of a global bank or financial services industry preferred
A minimum of 5 years of experience in connection with OFAC regulations
Excellent understanding of sanctions compliance laws and regulations and experience in applying to international sanctions programs
Strong understanding of banking products and processes as they relate to sanctions controls
Strong oral/written communication skill and the ability to work independently

Global Financial Crimes Division Resume Examples & Samples

Assist the Deputy Head of CERT in designing an annual plan and program for compliance testing and compliance effectiveness reviews globally
Assist in coordinating and managing reviews for the Effectiveness Review Team, Testing and Monitoring Team, and the Systems & Technology Review Team. This includes coordinating various project plans, scheduling reviews, and tracking projects and deadlines
Support efforts to communicate testing results, review findings, and remediation actions plans with senior management, the Regional Compliance Offices, and other Bank Stakeholders
Support efforts to track Action Plans to address remediation efforts and effectiveness review findings
Support efforts to develop project plans that take into account budget, other resources and milestones
BA/BS Degree
Experience in working in sanctions related compliance function of a large commercial and/or investment bank
Working knowledge of OFAC sanctions compliance laws and regulations and the ability to discern moderate to complex requirements
Excellent Judgement and analytical skills
Well organized and the ability to work independently

Global Financial Crimes Issues Management, VP Resume Examples & Samples

Develop and implement issue management processes, including collecting, reviewing, monitoring and tracking all OFAC related issues across the regions until they are sufficiently remediated
Leverage enterprise standards to define the criteria, tools, and methodologies for managing OFAC related issues
Assist in other projects or related duties as required by GFCD Management
7 + years of related experience
Fluency in Japanese and Mandarin

Global Financial Crimes Division Resume Examples & Samples

Assist in performing global risk based reviews to evaluate effectiveness of existing sanctions compliance reviews, as well as the design and implementation of relevant controls, such as sanctions escalation processes, documentation of policies and procedures, sanctions assessments, related reporting, list screening, regulatory change management, governance framework, and training
Working with compliance testing scripts and/or experience with performing testing reviews or audits
Experience in working in diverse testing teams

Global Financial Crimes Division Resume Examples & Samples

Develop and implement a risk based plan to review BTMU branches globally to evaluate effectiveness of existing sanctions compliance reviews, as well as the design and implementation of relevant controls, such as sanctions escalation processes, documentation of policies and procedures, sanctions assessments, related reporting, list screening, regulatory change management, governance framework, and training
Lead Effectiveness Review Team with reviewers based in New York and the Regional Compliance Offices globally
Develop work plans that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
Oversee the drafting of reports prepared by Team Manager consisting of observations and findings and results of the effectiveness reviews
Review and assess sufficiency of Action Plans to address remediation efforts and effectiveness review findings
Establish appropriate effectiveness reviews management routines and working sessions to ensure proper awareness of review status and results. Shares knowledge and leverages own skills within and across CERT
Minimum of 5 year of experience in assessing operating and control experience
Working knowledge of sanctions compliance laws and regulations and the ability to discern moderate to complex requirements
Experience in leading, managing and developing diverse international teams
Strong oral/written communication skill and the ability to work independently. Strong oral/written communication skill and the ability to work independently

Global Financial Crimes Division Resume Examples & Samples

Responsible for supporting the efforts of the Head of the Compliance Effectiveness Review & Testing including assisting and designing an annual plan and program for compliance testing and compliance effectiveness reviews globally
Responsible for coordinating and managing reviews for the Effectiveness Review Team, Testing and Monitoring Teams and the Systems & Technology Review Team. This includes coordinating various project plans, scheduling reviews, and tracking projects and deadlines
Work closely with Regional Compliance Offices in coordinating testing and effectiveness review plans. Support efforts to communicate testing results, review findings, and remediation actions plans with senior management, the Regional Compliance Offices, and other Bank Stakeholders
Support efforts to track and review the sufficiency of Action Plans to address remediation efforts and effectiveness review findings
Responsible for developing project plans that take into account budget, other resources and milestones
At least 8 years of experience within the financial crimes area of a global bank or financial services industry
Some experience investigating compliance processes, performing compliance testing, quality control/assurance processes, and/or internal/external audits
Excellent understanding of sanctions compliance processes at a global financial institution, including an understanding of banking products in relation to sanctions controls, specifically in the experience in relation to correspondent banking, trade finance, and list governance controls

Global Financial Crimes Division Resume Examples & Samples

Help to ensure controls are in place and designed to ensure the completeness and accuracy of transaction data from primary source systems to transaction filtering and transaction monitoring systems such as HotScan, Fircosoft, Actimize or other systems
Assist in performing a validation of the effectiveness of the aforementioned system controls
Assist in other projects or related duties as required
BA/BS Degree; ACAMS Preferred
Some experience in an IT auditing environment
Some familiarity with Microsoft Office Suite( i.e. Excel, Access, PowerPoint and Word, VBA scripting)

Global Financial Crimes Sanctions Systems & Technology Review Resume Examples & Samples

Advanced level of expertise with Microsoft Office Suite( i.e. Excel, Access, PowerPoint and Word, VBA scripting) and SQL language and RDBMS like Oracle, SQL Server, DB
Test script creation and experience with scripting to support test automation is a plus
Ability to work with minimal supervision, well organized with strong attention to detail

Global Financial Crimes Resume Examples & Samples

Develop and implement monthly reporting package and dashboards, including use of data analytics in order to summarize issue status
Serve as a point of contact for escalation of issues when information risk issue related metric thresholds are breached; escalate threat breaches to senior management as required
Proven knowledge of issue management criteria, tools, and methods
Advantaged knowledge of Microsoft Office Suite( i.e. Excel, Access, PowerPoint and Word)
Able to influence and collaborate well with internal and external stakeholders

Global Financial Crimes Division Resume Examples & Samples

Assist in the design, development, management and execution of the Comprehensive Strategy for implementation of an internal sanctions compliance officer certification program
Arrange all Strategic Advisory Training Team meetings, agendas and attendees
Track project deliverables and monitor the status of all Strategic Advisory Training Teams tasks and initiatives
Handle all logistical components of program implementation in global offices
Prepare all announcement, marketing and promotional materials associated with the implementation of the program
Act as the program ambassador fielding meetings and calls on interest in the program and reviewing candidacy requirements entrance into the program
Plan and execute an annual program conference for certified employees
General or compliance related training experience
Strong marketing and project management skills

Global Financial Crimes Program Execution Associate Resume Examples & Samples

At least 3 - 5 years of relevant change management, project management or financial services experience, preferably at a large/complex financial institution; consulting company or equivalent
Intellectual curiosity and strives for consistent improvement
Good working knowledge of financial services and operations
Experience with collaboration or project management, preferably on a global scale
Advanced skills with PowerPoint, Word, Excel, Visio, SharePoint, Sharepoint Designer, Jive, TWiki and Buisness Intelligence tools such as Tableau, Cognos, BOXI etc
Experience using macros and advanced charting with Excel spreadsheet reports
Financial Crimes Compliance experience desired, but not necessary
Experience working in or managing Global projects / programs

Global Financial Crimes Resume Examples & Samples

Act as primary liaison for GFC stakeholders Partner with the GFC teams, Operations, and Technology to ensure the successful execution of GFC projects and to ensure all projects are reported to the GFC Strategy team
Develop project documentation including project plans, communications to impacted teams, procedure updates, training materials, etc
Have 4+ years of experience with Bank Secrecy Act (BSA)/AML regulations within the financial services industry, or at a financial services regulator (e.g., Federal Reserve, Office of the Comptroller of the Currency, Securities and Exchange Commission, Financial Industry Regulatory Authority, etc.)

Global Financial Crimes Resume Examples & Samples

Report with respect to the QA process in response to management needs, subpoenas, regulatory inquiries, law enforcement requests, and audits
Collaborate in the compilation of metrics for management reporting purposes
Participate in the Global KYC Governance Committee and GFC Monitoring Committee
Track and report QA results to Coverage Areas and other stakeholders
Draft and update QA procedures and global guidance as needed
Drive and manage special projects impacting various areas within GFC
Identify training needs and coordinate training efforts with the GFC Policies, procedures and Training team
Coordinate with the Global KYC Officer, GFC Testing Group, independent review functions, and other areas of the Firm
Maintain awareness of current industry rules, regulations, and best practices and implement appropriate enhancements
Experience in resolution of surveillance items flagged as potentially suspicious transactions and items identified as potential matches to adverse media alerts, designated sanctions targets and prohibited persons lists and experience in Customer Due Diligence
Be degree educated or equivalent (with outstanding academic credentials)
The ability to research and resolve issues independently while working across teams to acquire information
Experience managing a staff of AML professionals
Be certified as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license or certification within 15 months of hire

Global Financial Crimes UAT Team Manager Resume Examples & Samples

Oversee a team of UAT testers
Ensure UAT testers are appropriately allocated to projects
Build a formal UAT process that can be used across Global Financial Crimes projects
Coordinate with release management team on test cycle schedule and testing readiness
Review, write and execute test scripts for user acceptance and regression testing based on functional specifications and business requirements as needed
Coordinate with GFC Technology Project Managers the review of test scripts
Provide status updates to GFC PMO Manager
Document and validate test results and ensure the test requirements are met
Identify project risks and defects and develop mitigation plans and workarounds as necessary
Coordinate with technology partners to resolve defects to ensure proper implementation
Update and maintain inventory of test scripts developed for each project release and regression testing to ensure alignment with the current system functionality
Provide regular reporting of testing progress and results and status of deliverables
Publish key performance indicators for all testing projects
Have 6+ years professional experience at a large financial institution
Have a 4 year college degree with outstanding academic credentials
Have a knowledge of testing life cycle
Have strong leadership qualities with the ability to manage small teams while assessing and developing individual and team skill sets and providing timely constructive feedback
Have excellent time management skills and ability to execute tasks within tight deadlines
Have excellent analytical, oral and written communication skills
Have excellent interpersonal skills necessary to work effectively with colleagues
Have the ability to facilitate meetings among stakeholders with diverse points of view
Advanced knowledge and experience using Excel and ALM strongly preferred

Global Financial Crimes Resume Examples & Samples

Advising on, and resolving, potential AML issues which arise across Asia business units and jurisdictions covered by Asia Financial Crimes; significant interaction across all business units, and advising on AML compliance
Supervision of transaction monitoring and AML surveillance
7-10 years of relevant experience in AML Compliance, Due Diligence or Regulatory experience preferably relating to Private Wealth Management / Private Banking

Global Financial Crimes Resume Examples & Samples

Create metrics reports using Word / Excel / PowerPoint / Tableau
Create dashboards and reports based on a wide variety of data
Manipulate AML and other financial crime risk data to analyze variances, gaps and issues
Perform recurring and ad-hoc metrics reporting for major initiatives
Perform ad-hoc analysis using business intelligence tools
Support GFC planning activities via reporting
Assist in the establishment of governance for reporting, tracking of risks and issues, project status and deliverables
Source and analyze data to provide insight into issues and root causes
Implement processes, tools, reporting solutions
Issue and risk management analysis

Global Financial Crimes Resume Examples & Samples

Develop proactive intelligence relating to financial crimes, including: money laundering, terrorist financing, external fraud, global sanctions, corruption, cyber threats and high-risk customers
Conduct analyses of relevant data to identify trends/patterns/emerging threats, as well as other information that may be useful to the Firm
Receive, request, analyze and disseminate information related to suspicious activities in order to improve GFC’s monitoring processes and case results
Lead global coordination related to: high risk clients, including politically exposed persons, SAR/STR processes, and fulfilling Firm’s 314 (a) reporting requirement
Handle significant case investigations that supplement the efforts of other GFC groups; and
Liaise with law enforcement and participate in law enforcement and industry led working groups
Perform data extraction, aggregation, analysis, and data quality checking from multiple data sources for FIU investigations
Query and mine large data sets to discover transactional patterns, examine financial data using predictive/advanced analytic methodologies
Use results of analysis to inform enhancements to Firm’s transaction monitoring system, if and when warranted
Analyze trends and patterns in transaction monitoring system alerts for GFC coverage areas
Assist in development of research and analytic tools designed to enhance the work of the FIU and GFC
Contribute to thought leadership in understanding the quantitative trends and pattern of financial crime risks facing the Firm
Perform ad hoc analytics on large and diverse datasets
Liaise with Compliance IT and other key stakeholders and partners with respect to technology projects and other initiatives impacting the FIU
Bachelor's degree from a four-year college or university in related field (e.g., Economics, Mathematics, Statistics, Computer Science); a Master’s degree in a related field is desirable
Two to four years of proven experience in analyzing data in the financial services sector, or related industry (tuning and optimizing AML monitoring systems and scenarios is a plus)
Ability to retrieve, analyze, and interpret data, providing clear and concise analysis/recommendations to senior stakeholders
Superb written and oral communication skills
Some experience with statistical software packages and programming languages including SQL, SAS, R, and/or SPSS
Ability to apply context and judgment to findings, ideally in relation to financial crime risk
Ability to perform qualitative analyses across a range of diverse sources of varying reliability
Have experience creating presentations and other deliverables for senior stakeholders
Be self-motivated and must have the ability to work independently; and

Global Financial Crimes Resume Examples & Samples

Receive, request, analyze and disseminate information relating to suspicious activities in order to improve GFC’s monitoring processes and case results
Analyze large data sets to discover transactional patterns, examine financial data and filter for targeted information using traditional as well as advanced analytic methodologies
Conduct cross-sector reviews of client account activity among multiple Business Units and GFC coverage areas
Monitor industry developments, including red flags and best practices and ensure processes are in place to keep the FIU team updated on such developments
Collaborate with Business Units and GFC coverage areas to analyze trends in suspicious activity
Liaise with Legal and Compliance IT and other key stakeholders and partners with respect to technology projects and other initiatives impacting the FIU
Conduct internal and external investigations of money laundering and other financial crimes both independently and in collaboration with other internal stakeholders
Assist in developing proactive initiatives
Analyze and synthesize data and prepare presentations and reports for various governance and risk committees; and
Ensure that all analysis is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements
Have a 4 year college degree with strong academic credentials; and
Have 3-6 years of professional experience in a GFC/AML/compliance or internal audit capacity or experience within a financial services firm or regulatory agency or investigative due diligence experience in the professional consultancy
Working knowledge of AML/BSA laws and regulations relative to money laundering and terrorism financing
Have experience creating PowerPoint presentations and deliverables for senior stakeholders
Have experience and ability to create user friendly Excel spreadsheets from large sets of raw data

Global Financial Crimes Resume Examples & Samples

Lead a team of reviewers in conducting sanctions compliance effectiveness reviews for BTMU branches globally that evaluate the effectiveness of existing sanctions compliance reviews, as well as the design and implementation of relevant controls, such as sanctions escalation processes, documentation of policies and procedures, sanctions assessments, related reporting, list screening, regulatory change management, governance framework, and training
Prepare reports summarizing the objectives, scope, findings and conclusions of completed Effectiveness Review
Test script creation and/or experience with the test scripting process

Global Financial Crimes Resume Examples & Samples

Assist in performing enterprise IT application(s) reviews, document process flow(s), fully understand the IT compliance component, and document/analyze data input/output
Assist in assessing the design of the control structure and environment
Assist in testing the existing controls to ensure they are functioning as management intended
Prepare written reports which summarize the Objectives, Scope, Findings and Conclusions for each assigned review
Assist in the identification of controls and compliance issues, assess and document the related risk, and make reasonable recommendations for resolution
Some understanding of System Architectures and documentation of the same (Actimize and or HotScan architecture experience and/or any other compliance systems)
Knowledge of handling various data formats, conducting data analysis and documentation

Global Financial Crimes Effectiveness Review Resume Examples & Samples

Assist in drafting work plans that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
Support general compliance activities and other duties, including special projects as assigned
Experience with performing compliance testing, quality control/assurance processes or internal/external audits
BA/BS Degree; JD or CPA a plus
33% travel, domestic and international

Global Financial Crimes Resume Examples & Samples

Supervise transaction monitoring and AML surveillance*LI-L2
At least 15 years of relevant experience in AML Compliance, Due Diligence or Regulatory
Strong knowledge of relevant products and markets (Sales & Trading; Investment Banking; and Investment Management) and the AML risks and compliance frameworks associated with such products
An analytical mind with attention to detail and team management experience

Global Financial Crimes Division Resume Examples & Samples

Support the collection, tracking, and reporting of global OFAC issues. Includes reviewing all issues and ensuring corrective action plans are in place. Other responsibilities include gathering and documenting user requirements for a strategic IT solution
Support the development of a monthly sanctions report. Responsibilities include aggregation of key sanctions metrics and creation of relevant commentary
Support the implementation of Global OFAC Standards. Responsibilities include assessing policies and procedures against the bank’s OFAC global Standards and identifying of non-compliance and potential areas for improvement
Support the creation of monthly and periodic status reports to Committees in Tokyo on GFCID’s initiatives; includes following up with key personnel in Tokyo, Singapore, and London as necessary
Facilitate communication and meetings with other offices, including ACoD, Tokyo, London and Singapore, as required
Participate in ad-hoc projects as necessary
1-3 years experience
Intermediate knowledge of OFAC sanctions compliance preferred
Intermediate knowledge of Microsoft Office Suite( i.e. Excel, Access, PowerPoint and Word)
Fluency in Japanese a plus

Global Financial Crimes Resume Examples & Samples

Develop and communicate testing approach and present plans to stakeholders
Analyze and create test scenarios/scripts for user acceptance and regression testing based on functional specifications and business requirements
Lead user acceptance testers in test preparation, planning and execution efforts
Assist testers in documentation of test results and ensure the test requirements are met
Partner with technology to develop automated tests
Review testing artifacts developed by QA team and provide feedback
Escalate issues and risks to management as required
Oversee defect management
Perform ad hoc testing, as necessary
Participate in post-release validation activities
Have 4+ years professional experience at a large financial institution
Have previous experience with UAT and regression testing
Knowledge of/experience in Client Onboarding, AML and KYC preferred

Global Financial Crimes Resume Examples & Samples

A Bachelor’s degree with strong academic credentials
A minimum of two years of relevant experience, preferably at a large/complex financial institution, law firm, or government/regulatory body
Proficiency in Microsoft Outlook, Word, Excel, PowerPoint, SharePoint, and Adobe
The ability and willingness to learn and adapt to new technology and systems
Excellent written and verbal communications skills, attention to detail, and effective time management
Outstanding interpersonal skills and team-player attitude
Strong analytical and problem-solving skills and the ability to provide viable solutions in a time-sensitive environment
A proven ability to handle highly confidential information professionally and with appropriate discretion
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment
A general understanding of and interest in the financial services industry
Experience with financial services regulation, including one or more financial crimes disciplines (AML, economic sanctions, or anti-corruption)
Basic familiarity with financial services documentation

Global Financial Crimes Resume Examples & Samples

Oversee and conduct quality assurance reviews of representative sample of EDD professional reviews
Assist in the compilation of monthly EDD metrics for management reporting purposes
Participate in team meetings led by senior managers of the EDD team
4 year college degree with strong academic credentials
5 to 8 years of experience with Bank Secrecy Act (BSA)/Anti-Money Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation)
Strong knowledge of Client Onboarding, KYC and EDD
Strong knowledge of the USA PATRIOT Act, BSA and OFAC regulations
Strong understanding of financial markets and banking
Awareness of current laws, rules and regulations
Strong client-relations skills and ability to partner with clients to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
Strong leadership qualities with the ability to manage both small and large teams while assessing and developing team skill sets and providing timely constructive feedback
Excellent interpersonal skills and ability to work effectively with colleagues across regions and Business Units
Strong written and verbal communications skills, attention to detail and effective time management skills
Ability to use various PC, MS Office and internet applications and tools to support AML processes
Ability to handle highly confidential information professionally and with appropriate discretion
Strong analytical thinking and critical reasoning skills
Ability to effectively handle a fast-paced environment and successfully meet established deadline requirements
Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license – or certification within first 15 months of employment Skills desired

Global Financial Crimes Resume Examples & Samples

5 to 8 years of experience with Bank Secrecy Act (BSA)/Anti-Money Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation) and strong analytical skills
Strong understanding of the financial markets and banking, including broker-dealer product-based knowledge, and the ability to research or must evidence the ability to learn and adapt quickly
Developed investigative skills - inquiry and analysis, interviewing, testing, organization and presentation (both written and verbal)
Excellent interpersonal skills and ability to interact with branch and business unit personnel in a mature and professional manner and apply feedback on work product from supervisor(s)
Highly responsive team player who can think independently
Effective communication skills, including excellent writing and presentation skills
Experience with Office of the Comptroller ("OCC") regulations and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council ("FFIEC")
Experience with mortgage, retail, institutional lending or FX businesses

Global Financial Crimes Resume Examples & Samples

3 to 5 years of experience in an Anti-Money Laundering group and experience with Compliance testing or equivalent (e.g. Internal Audit) at a large financial institution and/or regulatory authority
Solid written communication skills: able to describe complex issues accurately and succinctly
CPA and/or IIA certification

Global Financial Crimes Resume Examples & Samples

5 to 8 years of experience in an Anti-Money Laundering group and experience with Compliance testing or equivalent (e.g. Internal Audit) at a large financial institution and/or regulatory authority
Previous demonstrable experience of managing and developing junior staff
Detailed understanding of the financial crimes regulatory regime
Knowledge of what constitutes an effective Compliance Framework and best practice
Developed investigative skills: inquiry and analysis, interviewing, testing and organization
Impeccable written communication skills: able to describe complex issues accurately and succinctly
Excellent interpersonal skills necessary to work effectively with colleagues of all levels of seniority across regions and business units; able to question and challenge established processes
CPA or IIA qualified

Global Financial Crimes Resume Examples & Samples

Able to manage supporting multiple senior level executives simultaneously
Telephone coverage, answer phones, take accurate messages, know executives’ whereabouts at all times, handle urgent/confidential calls with appropriate judgment; back-up other lines, as needed, for colleagues
Maintain executives’ calendar, schedule all meetings and conference calls, handle meeting conflicts and prioritization issues
Coordinate all related conference rooms including audio/videoconference set up
Arrange all aspects of travel, keeping executives’ travel profile up-to-date, manage approvals, arrange flights, hotels, rental car and sedan service
Prepare all itineraries
Prepare and submit all expense reports on a timely basis, following up on discrepancies and missing receipts to maintain current balances
Type correspondence, memos and presentations, prepare presentation and meeting materials; copy, collate, bind if necessary
Navigate Firm’s resources, interface with various departments on behalf of executives to collect information, respond to requests, obtain services
Distribute executives’ mail, arrange messenger and overnight package services
Provide backup support for colleagues during vacation/sick days, and assist their managers as needed with phone coverage and other office needs
Setup and maintain mail groups, keep orderly, fully-functioning work area
Receive all external visitors and arrange guest passes via internal system
Experience supporting multiple professionals at same time
Excellent communication, writing, judgment, and problem-solving skills
Must be an enthusiastic and positive team player who is willing to help out and who works well with colleagues
Able to work in a fast-paced environment and handle multiple tasks concurrently
Must be flexible to covering different managers’ as group grows or changes
College Degree Preferred (or Relative Corporate Experience preferred, 5+ Years of Experience)
Proficient in Microsoft Office applications, especially Outlook for email, calendar and contacts
Other applications helpful include Excel, PowerPoint, internet and research tools
Solid typing skills (60+ wpm)
Keep up to date with office procedures and technical training as well as all policy guidelines and compliance requirements

Global Financial Crimes Resume Examples & Samples

Ability to interact in a mature and professional manner with a variety of individuals
Ability to interact with branch office and business unit personnel and be willing to receive and apply feedback on work product from supervisor(s)
Fluent in Spanish or Portuguese
Ability to maintain a positive and professional attitude in a fast-paced environment

Global Financial Crimes Resume Examples & Samples

Experience with Bank Secrecy Act (BSA)/Anti-Money Laundering Regulations within the financial services industry, or at a financial services regulator (e.g., Office of the Comptroller of the Currency, Federal Reserve Bank, Securities and Exchange Commission, Federal Deposit Insurance Corporation) and strong analytical skills
Professional experience at a large financial institution and/or in a policies-related or writing-heavy role or in a training role at a large professional services firm
Facility with technology/learning new software

Global Financial Crimes Resume Examples & Samples

4-year college degree with extensive coursework in computer science
1-3 years’ experience in compliance, preferably at large/complex financial institutions
Fluency with Excel, including using pivot tables, creating formulas, and performing data analysis

Global Financial Crimes Resume Examples & Samples

1-3 years of professional experience in an AML, Compliance, Audit or Risk Management capacity within the financial services industry
Strong knowledge of the securities regulatory environment including familiarity with various regulatory authorities (e.g., Office of the Comptroller of the Currency, Federal Reserve, OFAC, Financial Crimes Enforcement Network, Financial Conduct Authority, etc.)
Awareness of current laws, rules and regulations related to Financial Crimes
Strong interpersonal skills and ability to partner with key stakeholders to develop practical solutions that meet business needs while remaining compliant with applicable laws and regulations
Ability to manage both small and large projects
Ability to effectively handle a fast paced environment and successfully meet established deadline requirements
Self-motivation and the ability to work independently

Global Financial Crimes Resume Examples & Samples

Four-year college degree with strong academic credentials
One to three years of relevant experience, preferably at a financial institution, corporation, law firm, or government/regulatory body
Outstanding organizational/project management skills and attention to detail
Comfort with direct interaction with business clients and senior management
Technological savvy and willingness to learn new systems and tools
Ability to succeed in a fast-paced environment
Advanced knowledge of/experience with Excel, PowerPoint, and Access
Knowledge of anti-corruption and/or political activities laws/regulations

Global Financial Crimes Resume Examples & Samples

3-5 years of experience with Bank Secrecy Act/Anti-Money Laundering or OFAC regulations at a bank government agency (e.g., OCC, FRB, or FDIC) or in a regulatory, compliance, or internal audit capacity within the financial services industry; including providing advice and counsel on BSA, AML and OFAC issues
Experience with Know Your Customer requirements including Customer Identification Programs, client due diligence and enhanced due diligence
The ability to effectively handle a fast paced environment and successfully meet established deadline requirements
Experience with Office of the Comptroller (“OCC”) regulations and bank safety and soundness guidance provided by the Federal Financial Institutions Examination Council (“FFIEC”)
Familiarity with Microsoft Office Excel

Global Financial Crimes Division Effectiveness Review Resume Examples & Samples

Assist in the validation of Management Action Plans designed to address remediation efforts and testing review findings
At least 5 years of experience within the financial crimes area of a global bank or financial services industry preferred
Minimum of 3 years of experience performing testing or exposure to quality control or quality management functions and results
Some knowledge of sanctions compliance laws and regulations

Global Financial Crimes Resume Examples & Samples

Alerts allocation management and reviews (TMS, NNS, GS3, Chinese NNS and World-Check alerts on clients and employees)
Monitoring of status and aging of sales team enquiries
Alerts escalation preparation and presentation to GFC team via weekly investigation meeting
Post-escalation support assisting GFC team in investigation of suspicious alerts, including communications with various business units (e.g. sales team, Legal Entities Group (LEG), Legal and Compliance) for enquiries, case creation and closure
Tracking of escalated alerts to monitor aging and ensure status update at least on a weekly basis (complying with bi-weekly update of escalated alerts set down by global policy)
Escalations and relevant status update documentation
Participating in monthly regional Quality Assurance (QA) meeting
Facilitating communication of global QA standards (including quick closure codes) on alerts clearing between QA Team and GFC APAC alert clearing teams
Communication with EMEA GFC Team on late/incorrect reallocation
Alerts tracking, monitoring and trend analysis
Weekly MI reports generation and reporting
Keeping of various monitoring logs (e.g., investigation log, escalation log, data clean up log, incorrect L1 escalation log, etc) to facilitate GFC’s team management reporting and process monitoring
Working with vendors (CRISIL, FinScan etc.), including planning, onsite and offsite training, health checks, daily support, L2 escalation review and quality check, facilitating communication between GFC/QA Team and vendor, status reports to GFC Team, workflow improvement to accommodate vendor escalation and record keeping)
Coordinating rework of L1 and L2 alert clearing
UAT, implementation, onsite technical, and other support for alerts clearing enhancements
Ad hoc MI reports to comply with regulatory requests
Coordination (and training) for Mumbai Ops and Bangalore Data Ops
Review and updates of alerts clearing policies and procedures
Review of Heightened Supervision List (HSL) alerts
Assisting with Internal Audit enquiries in alerts clearing*LI-GK2
At least 3 years of relevant experience in AML Compliance
Experience in the securities or broker-dealer business or wealth management / private banking would be an asset
Fluency in written Chinese (traditional or simplified) advantageous

Global Financial Crimes Resume Examples & Samples

Collaborate with local management on the operations of third party vendors, BU Risk, Data Operations team and other related Operations teams (e.g.; Cash Management Operations) that support GFC required activities
Set / coordinate agenda for monthly BU and vendor level working groups
Collaborate with Strategy team to identify opportunities to achieve operational excellence
Monitor First Line groups and vendors which support GFC through key metrics and ensuring quality of execution; own and manage related Service Level Agreements (SLAs)
Collaborate with GFC Testing and QA functions as their activity relate to and cover in-house Operations functions, near shore Compliance teams and third parties that support GFC
Coordinate with GFC coverage areas and business units as necessary to set operational expectations and plan for expected changes to businesses and systems
Interact with GFC coverage areas, businesses and regions to drive in-house operations excellence, identify issues and monitor resolution, and drive accountability
At least 7-10 years of Operations experience, preferably at a large/complex financial institution
Excellent communication skills with the confidence, credibility and ability to work effectively within the organization and to interact effectively with both junior and senior business personnel
Experience with global collaboration or project management
Comfort with technology; and
Financial Crimes Compliance experience

Global Financial Crimes Resume Examples & Samples

Advise on, and resolve, potential AML issues arising across business unit and jurisdictions covered by the PWM Asia GFC Group
Monitor regulatory developments and new rules or requirements
Manage projects and client reviews, e.g. review and analysis of the client base to identify and manage high risk clients
Design and deliver AML training program
Oversee and supervise payment exceptions process through the monitoring of client payments
At least 12 years of relevant experience in AML Compliance, Due Diligence or Regulatory preferably relating to Private Wealth Management / Private Banking
Ability to independently interact with senior business management

Global Financial Crimes Resume Examples & Samples

Thematic Reviews (e.g. China clients etc.)
Review & Documentation of AML Group Procedures
Providing coordination and oversight of the Asia Financial Crimes compliance coverage plan in close collaboration with location compliance officers
Drive the delivery of relevant compliance and regulatory projects and compliance initiatives
Supporting the coordination and escalation of compliance issues to relevant compliance coverage and/or senior management as required
Providing supervisory oversight and play an active role in respect of locally or centrally required training; compliance reporting and policy governance
Assisting local compliance teams in regional project implementation – ensure local offices are made aware of global and regional plans
Advising on, and resolving, potential AML issues which arise across Asia jurisdictions covered by Asia Financial Crimes
Drafting and implementing appropriate AML policies and procedures and enhancements in collaboration with location compliance officers
At least 8-10 years (for VP) of relevant experience in AML Compliance, Regulatory experience preferably relating to Financial Institutions, Banking or Securities industry
Strong knowledge of global and regional AML regulations
An analytical mind with attention to detail and project management experience
Strong oral and written communication skills in English with Chinese language skills preferred

PWM Coverage, Global Financial Crimes Resume Examples & Samples

Conduct AML advisory services for PWM client onboarding and periodic reviews
Provide operational support to processes related to customer due diligence, sanctions, transaction surveillance, adverse new screening, PEP reviews, investigations and suspicious activities reporting, etc
Assist in global and local projects, thematic reviews or other ad hoc initiatives
Management reporting and statistics to local and global stakeholders.*LI-GK2
At least 2 years of professional experience as an Auditor, Compliance or AML Specialist
Professional qualifications such as ACAMS, CPA a plus
Team player with ability to work independently in a face-paced environment
Bright, motivated and keen learner

Global Financial Crimes Resume Examples & Samples

Assist the Risk Assessment Coordinator in all phases of the risk assessment process, including planning, data gathering, analysis, and reporting
Aid in the enhancement of the existing risk assessment framework and reporting process, including through updates to the assessment methodology and by identifying additional quantitative risk data points for use in evaluating the Firm’s inherent risks and control strength
Coordinate and support projects related to the risk assessment process, such as engaging with internal groups to source additional data for use in the risk assessment and conducting benchmarking exercises with peer firms
Support the process for updating the Firm’s assessment of AML and Sanctions country risk
Assist in the preparation of periodic and ad hoc metrics reports for regulators, senior compliance management, the Global Compliance Committee and the Board Audit Committee, including through the evaluation and enhancement of existing metrics and supporting processes
Collaborate with Compliance on LCD’s Risk and Control Self-Assessment
Coordinate with other compliance and risk areas in connection with their risk assessment processes
Such additional responsibilities as may be identified
Minimum 5 years of experience in compliance, preferably at large/complex financial institutions
Prior experience with AML, Office of Foreign Assets Control (“OFAC”) /Sanctions and/or Anti-Corruption compliance
Quantitative and data analysis experience
Experience managing a staff of professionals

Global Financial Crimes Program Manager Resume Examples & Samples

Provide advice, guidance and execution leadership for the creation of structures, systems and controls for the Global Financial Crimes program
Work directly with the business, financial crimes compliance program leadership, and control function stakeholders in the Americas and globally
Collaborate across functional teams within Compliance to ensure effective and efficient operations with clearly defined roles and responsibilities
Liaise with legal partners in connection with the development and operation of the Global Financial Crimes program
Liaise with regulators and supervisors in connection with the global program and related regulatory issues
Work with the Central Project Management Office to provide routine updates to Compliance leadership (Americas and Global), senior management, and appropriate governance fora
Build strong partnership with Internal Audit, Operations Risk, Regulatory Affairs Office and other stakeholders in connection with the Global Financial Crimes Program
Work with leaders throughout enterprise to resolve efforts to address related open issues in a timely and effective manner
Proven ability to drive change, make program enhancements and provide critical program assessment
Experience in developing and enhancing financial crimes related programs within existing structures
Experience interfacing with banking regulators and enforcement staff
The ability to interact effectively at all levels of the organization, including Bank staff, management, directors and prudential regulators
Systemic thinker across the enterprise
Process oriented with a strong ability to develop appropriate program enhancing strategies
Detail oriented and proven execution abilities
Demonstrated ability to manage multiple projects simultaneously
Proven managerial skills necessary to successfully administer a core support and critical regulatory relationship function within a diverse organization and effectively coordinate between multiple business and support units
Ability to work autonomously and initiate and prioritize own work
Solid judgment, strong negotiation skills

Global Financial Crimes Operations Manager Resume Examples & Samples

Establish and operate an Intelligence Unit covering AML and Sanctions in connection with the Global Financial Crimes program
Establish data completeness and data quality standards in connection with the Global Financial Crimes program
Develop and deliver financial crime compliance training materials
Determine a global technology strategy in support of compliance with financial crime regulations and assist with implementation
Develop and oversee a global shared services strategy
Liaise with Legal and Compliance partners globally in connection with the development and operation of the Global Financial Crimes program
Drive collaboration and efficiency across multiple teams in the Americas and globally in connection with the range of program execution and oversight tasks associated with Financial Crimes
Work with the Central Project Management Office to provide routine updates to Compliance leadership (Americas and Global), senior management, and appropriate governance forum
Experience in developing and enhancing financial crimes-related programs within existing structures
Experience interacting with an executive committee or similar leadership, control function leadership and compliance subject matter experts
Proven leader with the ability to excel in execution in complex and demanding situations
Collaborative with strong interpersonal communication skills
Ability to prepare and delivery executive level presentations
Past enterprise risk management perspective
Thorough understanding of an effective financial crimes risk management framework
Ability to work with teams of project managers
Practical approach to implementation including knowledge of bank systems
Ability to balance regulatory requirements with the best interests of the Bank and its customers

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