Manager AML Resume Samples

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H Wehner

Hayley

Wehner

740 Amaya Wall

Chicago

+1 (555) 649 7080

740 Amaya Wall

Chicago

Phone

p +1 (555) 649 7080

Experience Experience

San Francisco, CA

Manager, BSA / AML

San Francisco, CA

Effertz, Bernhard and Runolfsdottir

San Francisco, CA

Manager, BSA / AML

Participate in the management of internal/external reviews, audits and regulatory examinations
Maintain current working knowledge of BSA, AML, CFT and all related anti-money laundering and OFAC laws and regulations
Maintain and develop knowledge of any specialized software used in the execution of all BSA/AML monitoring
Contribute in the development and refinement of the BSA/AML/OFAC monitoring program
Oversee and execute CIP/CDD/EDD monitoring process
Execute 314a related search and clearing process
Assist in the completion and maintenance of the Bank’s BSA/AML/OFAC risk assessments

New York, NY

IPB AML Senior Manager

New York, NY

Schmitt, Schaefer and Kuphal

New York, NY

IPB AML Senior Manager

Manage a small group of AML Specialists / Analysts in support of the business’s AML framework and activities
Provide advice and education to the business on AML programs and best practices. Implement and track training and communication strategies for the business
Prepare and deliver performance appraisals, job descriptions and participate in salary forecasting
Conduct training sessions, in accordance with a business approved training program, on topics around AML and Sanctions. Audience will be IPB US staff who perform AML activities
Work with AML and Sanctions processes, procedures and training of staff
Coordinate all activities related to improve overall employee satisfaction within the unit
Work closely with the business operating units to ensure that day-to-day / on-the-ground AML activities are performed in adherence to global/sector KYC/AML policies and guidelines. Incumbent will also work closely with the AML Senior Program Lead and Global teams to conduct impact and gap assessment of new policies and standards deployed for the business

present

New York, NY

BSA / AML / Ofac Senior Manager

New York, NY

Yundt-Macejkovic

present

New York, NY

BSA / AML / Ofac Senior Manager

present

Assists with annual budgeting and strategic planning sessions for holding company
Completes annual E-Learning Plan and Bank Secrecy Act (BSA) training as assigned and keeps up-to-date knowledge of BSA as it relates to the job function
Provides information and on-going feedback to department staff regarding expectations and performance
Communicates changes in policies, procedures and products to all staff affected including member bank’s Bank Secrecy Act Officers
Acts as the BSA Officer for Heartland, and ensures the establishing of a qualified BSA officer for each member bank
Manages and coordinates the BSA/AML/OFAC Operations functions for the holding company, member banks, and affiliates with those duties
Performs BSA/AML/OFAC due diligence and integration duties, in support of mergers and acquisitions

Education Education

Bachelor’s Degree in Business

Duke University

Bachelor’s Degree in Business

Skills Skills

Ability to research viable solutions through existing departments in the Bank or external vendor partners
Thorough knowledge of the Bank’s production and legacy systems
Thorough knowledge of processes and systems that support the Canadian Banking, International Banking and Global Banking & Markets
Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM)
A working knowledge of bank accounting and internal controls
Thorough knowledge of project planning and tracking techniques
Thorough knowledge of the Bank’s interactive systems including Excel, PowerPoint and Word
Vendors and technology partners, where applicable
Researching best practices
Building relationships with internal and external partners

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Manager, AML FIU Resume Examples & Samples

Fraud / Corporate Security
Various Corporate Ares
CAMLO Office
AML Office Colleagues
Regulators / Law Enforcement Agencies
Extensive proficiency in area of specialty
Works closely with management on department issues applying independent judgment within guidelines
Bachelor’s degree preferred, or 5-7 years of relevant experience in lieu of degree
Directly supervises specialists/individual contributors doing routine work of moderate complexity
Monitors daily operations of staff and provides direction regularly

Manager, AML FIU Resume Examples & Samples

Change Management - Working
Customer Service - Indepth
Financial Acumen - Indepth
Influence - Indepth
Leadership Skills - Working
Negotiation - indepth
People Management - Indepth
Process & Systems Oversight – Indepth
Risk Management – Indepth
Directly supervises specialists/individual contributors doing specialized work of significant complexity
Acts as an advisor to subordinates to provide direction on atypical issues

AML Sanctions Manager Resume Examples & Samples

Leading the AML/Sanctions team responsible for Transaction Monitoring, SAR reporting to the UAE Central Bank, PEP Risk Assessments, MSB reviews and any other AML or Sanctions related projects
Being responsible for the effective implementation of the Group AML and Sanctions policy through various initiatives and managing key stakeholders effectively
Taking informed risk decisions relating to customers and payments and accounting for those decisions to senior management and customers when required
Providing sufficient cover for the Head of AML and Sanctions in his/her absence
Identify and implement changes to existing standards and procedures and to develop new strategies to mitigate risk as new circumstances arise
Build a best in class financial crime team through appropriate development of team members and recruitment of top performers
Ensure that financial crime compliance frameworks across the Group Bank are accurately documented and maintained to provide a clear knowledge of the controls in place to ensure effective compliance with these policies

Manager, HRT, AML FIU Resume Examples & Samples

Appropriate Business Groups
Various Corporate Areas
Internal / External Audit Groups
Receives assignments in the form of objectives and determines resources to meet goals
Accomplishes results through the work of experienced professional/exempt staff
Bachelor’s degree preferred, or 7-10 years of relevant experience in lieu of degree
5-7 years of experience in functional area
3-5 years management experience

AML Operation Senior Manager Resume Examples & Samples

Ensuring that the team are using global standard policies, procedures and tools
Developing operational initiatives, benchmarks and metrics for standards of performance
Ensuring that the team operates within agreed business SLAs and confidentiality standards
Building and applying knowledge of money laundering processes across the team
Conducting line management for team leads, including performance management and coaching
Supporting hiring and training

Manager, AML Rules, Effectiveness Resume Examples & Samples

The Manager, AML Rules Effectiveness interacts regularly with Compliance executives and CIBC Technology and Operations executives and senior management, to identify and discuss AML Compliance needs and issues
The Manager, AML Rules Effectiveness interacts regularly with colleagues with AML Compliance to address issues and to ensure that AML’s systems continue to meet their needs
As an employee of CIBC, the Manager, AML Rules Effectiveness must comply with all applicable CIBC and Line of Business policies, standards guidelines and controls
As a manager of people, the Manager, AML Rules Effectiveness must ensure all employees within the business unit comply with all applicable CIBC and Line of Business policies, standards, guidelines and controls
Penalties for non-compliance with sanctions legislation and the Proceeds of Crime (Money Laundering) and Terrorist Financing Act and Regulation are severe. Criminal charges arising from any issue of non-compliance would have a significant and damaging impact on CIBC's image, reputation and shareholder value. Penalties associated with non-compliance may involve fines and prosecution of officers/directors

Manager, AML Solutions Resume Examples & Samples

Building team and individual capabilities by providing development opportunities such as job shadowing, special projects, and training
Creating a positive work environment and being an effective role model by championing CIBC’s mission, vision and values; and
Ensuring compliance with policies, standards, guidelines and controls by applying the policies and controls fairly and consistently so employees understand what to expect

Senior Manager AML & KYC Projects Resume Examples & Samples

A solid, general knowledge of Scotiabank policies, procedures and processes
A working knowledge of Spanish is preferred
A strong ability to develop creative and innovative solutions
Highly-developed PC skills

AML & Sanctions Manager Resume Examples & Samples

Assist in the timely submission of suspicious transaction reports to relevant authorities
Provide support and guidance to all businesses to embed a culture of responsibility
Assist in the review of regular and ad-hoc reporting on AML/Sanctions compliance
Review & recommend improvements to the local AML and Sanctions policies

BSA / AML CTR Manager Resume Examples & Samples

Ensures currency transactions are reported, exemptions from currency transactions are granted to qualified customers, and purchases of monetary instruments are recorded according to federal regulation
Manages team members who analyze transaction reports and the currency transaction system of record to ensure reports are filed as required by federal regulations and within regulatory time frames. Manages, and performs, as necessary, quality control processes to ensure currency transaction reports analyzed by team members meet regulatory requirements and time frames
Interfaces with managers of appropriate business-partner departments to ensure all data-feed from appropriate systems occur as needed into the currency transaction reporting system, so reports aggregate transactions as required by regulation
Manages, writes, reviews and revises, as needed, all aspects of the currency reporting, exemption and monetary instrument recordkeeping program to ensure policies, processes and procedures comply with regulatory requirements and that the program is sustainable
Performs quarterly SOX self-assessments, accurately and on time and ensures controls and risks of the department are documented, current and accessible
Acts as currency transaction reporting subject matter expert throughout the Bank and represents the department as needed at Bank-wide meetings and project teams
Keeps abreast of statutory and regulatory changes, federal advisories, guidance, rulings and bulletins, as well as industry trends and best practices to ensure the Bank aligns with regulatory expectations and standards
Prepares responses to examination, audit and review findings. Works with senior management and appropriate business partners to recommend, develop, and implement creative and sustainable corrective action plans to address findings
Provides MIS for the department used in the reporting of key metrics to management
Designs, develops and delivers department-specific training and overall BSA/AML/OFAC training to department staff and provides training as needed to other departments
Performs all Human Resource-related functions to ensure the department is properly staffed with appropriate team members while providing motivation and career growth for all staff
CAMS certification required
Minimum 5 – 10 years of directly related experience
Minimum 5 – 10 years of functional/professional experience in branch operations or related experience at a financial institution is preferred
Minimum of 5 years of supervisory or managerial experience, preferably involving at least 5 professional staff members
Expert knowledge of the Bank Secrecy Act, USA PATRIOT Act and FFIEC Examinations Manual pertaining to reporting and recordkeeping requirements
Understanding of bank products and services and how they may be exploited for criminal purposes, including, but not limited to, money laundering, terrorist financing activities, fraud
Understanding of bank operations, policies and procedures, systems and operating rules
Experience dealing with regulatory authorities at a high level
People management experience working across diverse business groups and teams
Superior oral and written communication skills
Excellent interpersonal abilities
Demonstrated ability to lead, motivate, provide guidance and constructive feedback
Ability to successfully lead through change in a challenging and diverse working environment
PC Skills: Windows, MS Word, MS Excel, MS PowerPoint, MS Outlook

Senior AML & Sanction Manager Resume Examples & Samples

Advise Hong Kong businesses/ support functions on AML/CTF and Sanctions risk and relevant controls and mitigants
Representation of ANZ and Group Compliance at relevant industry or regulator forums globally
Provide feedback to Country Head of Compliance and MLRO on Hong Kong AML/ CTF, Sanctions & ABC compliance training requirements and approve content for delivery
Act as a trusted advisor to the Business stakeholders and Head of Compliance, providing strategic compliance advice on AML/ Sanctions/ ABC to key stakeholders across Hong Kong
Sound understanding of the business and market environment in which ANZ operates its business strategy and the key drivers of success, including understanding of the key drivers of the risk and reward relationship
Strong negotiating, influencing and consulting skills

AML & Sanctions Manager Resume Examples & Samples

Provide assistance and guidance to Hong Kong businesses/support units on the implementation of ANZ AML, CTF, ETS and ABC policies and requirements
Act as a primary contact for key external regulators in relation to AML/CTF, Sanctions and ABC
Ensure that regulatory compliance is integrated into the day-to-day operational processes and procedures of the ANZ through contribution to the continuous improvement of AML/Sanctions/ABC controls at ANZ
Thorough understanding of the AML/ CTF/ ETS/ ABC requirements locally and internationally
Demonstrate ability to solve problems and remain results focuses in a fast changing environment
Well-developed relationship building and networking skills

KYC / AML CDD Manager Resume Examples & Samples

Manage a team of highly motivated individuals in a dynamic environment of regulatory & process change
Strong Understanding AML/KYC CDD Policies & processes
Experience in participating in process simplification & Improvement
Work and manage assigned Risk related remediation efforts
Liaise with internal departments to support KYC issues
Involvement in ad hoc projects for new processes or industry initiatives
Participate in Remediations, internal/external Audits
Point of contact for Business & Management when matters require attention
Metrics Reporting & Support creation of key business metrics

Manager, ERM AML Resume Examples & Samples

3 year experience in AML/CTF within a financial institution or regulator
Proven relevant experience and proven track record in a AML/CTF and/or Sanctions role
Knowledge of AML/CTF Act and Rules
Knowledge of risk management frameworks, methodologies

AML / KYC Case Manager Resume Examples & Samples

Liaise with internal and external clients ensuring compliance
On boarding of clients
Ensuring on boarding documents are completed
Co-ordination and carrying out renewal processes of coverage, business and compliance
1 - 3 years' experience in banking or finance

AML Guidance Manager Resume Examples & Samples

Oversee AML / Sanctions Programs & Standards,
Identify and Assess AML/Sanctions Risks,
Provide enterprise level Advice and Guidance for complying with applicable regulations and requirements,
Provide Ownership and Support for Strategic program initiatives
Candidate must have 3 - 5 years AML and/or Sanctions experience
Expert level knowledge of AML and Sanctions, and financial products and services required
CAMS certification strongly preferred

AML Guidance Manager Resume Examples & Samples

Oversee AML / Sanctions Programs & Standards
Provide enterprise level Advice and Guidance for complying with applicable regulations and requirements
The AML Guidance Manager may be responsible for the following activities undertaken by the AML Governance & Strategy team
Define methodologies, frameworks, and compliance standards for implementation of Program requirements,
Manage identified and emerging risk impacting CFG’s AML and Sanctions programs, including appropriate escalation and oversight of remediation,
Implement identified strategic program initiatives,
Work closely with business lines as they launch new products and services or undertake technology projects in order to ensure that AML and Sanctions risks are appropriately measured, documented, and mitigated to the extent possible prior to launch, and during the lifecycle of the product or service,
Interpret and review regulations and updates to same, including the Bank Secrecy Act and the USA Patriot Act, as well as bulletins and correspondence from Regulatory agencies detailing BSA, AML, and OFAC requirements and expectations,
Manage internal assurance, audit, and regulatory AML and Sanctions examinations,
Contribute to annual review and periodic updates of the CFG AML Policy/Program and the CFG Sanctions Policy/Program,
Conduct the annual Enterprise AML Risk Assessment and the annual Enterprise Sanctions Risk Assessment,
Participate in governance level activities conducted to assess risk mitigated by CFG’s AML and Sanctions models and related applications,
Drive enhancements to required established Management Information reporting, and
Provide support for established AML and Sanctions governance committees
Expert level knowledge of AML and Sanctions and financial products and services required

MYS Ctsm Kl-aml Operation Senior Manager Resume Examples & Samples

Minimum experience required: 7-10 years, preferred with AML experience
Minimum education required: Bachelor Degree
Preferred Master Degree

Manager, AML Sanctions Centre of Excellence Resume Examples & Samples

Coordinate, review and provide timely response to sanctions related queries from business partners in various LOBs/SBUs/Regions
Lead the research efforts and prepare reports on sanctions and anti-terrorist financing subject matters, such as industry trend and best practices, regulatory developments, and relevant technologies
Proactively monitor new and changing regulatory requirements on sanctions and anti-terrorist financing for regions where CIBC operates and make necessary recommendations to the management team and business partners in a timely manner
Responsible for the AML Global Watch-list Distribution Process to ensure applicable sanctions regulatory updates are monitored, reviewed and cascaded to the applicable individuals in the organization
Assist in the development of key elements of sanctions and anti-terrorist financing processes relating to risk assessment testing, quality assurance and quality control, and sanctions list testing
Assist in projects related to the development and implementation of new sanctions and anti-terrorist financing risk assessment and training requirements
Support the preparation and submission of responses to regulatory and audit examinations of the AML/ATF Program as required
Support management request for information by research, analyze and provide a timely response
Monitor timelines of various processes to ensure deadlines are met and deliverables are completed with quality
Proactively identifying process and practice improvement opportunities, building business cases, and influencing senior leaders to drive changes

AML / BSA Manager Resume Examples & Samples

3+ years of regulatory or compliance or other applicable experience
5+years of operational or technical support in Financial Services industry
5+ of regulatory or compliance or other applicable experience
8+years of operational or technical support in Financial Services industry

Senior Manager, AML / ATF Wealth Management Resume Examples & Samples

Provide oversight and coordination to the Wealth Management (WM) AML Teams (1A & 1B functions)
Provide AML/ATF Compliance support to the Wealth Management businesses including
Bachelor’s degree (University Degree) with a minimum of 5 years of experience in AML, Compliance and/or Audit capacity in matrix financial institution; or its equivalent in education and years of experience
Strong understanding of Bank’s operations, Canadian Banking structure, products, services and operations
Extensive experience with case management and analytics reporting
Proven experience identifying and implementing process enhancements as well as the experience to oversee the resolution of process deficiencies and drive operational efficiency without compromising compliance requirements
Advanced analytical, problem-solving and critical thinking skills with solid organization and time management skills to deal with complex operational issues in a matrix organization

AML Senior Manager Resume Examples & Samples

Develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Bank policies and procedures
Delivers on time high quality audit reports, Internal Audit and Regulatory issue validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting
Directs complex audit activities for the AML program at the product, function, or legal entity level as part of the audit annual plan and the independent testing standards for AML
Proactively advances integrated auditing concepts and use of technology. Closely follows latest trends in own field and adapts them for application within own job and the business
Interacts with regulators on a periodic basis
Develops effective senior line management relationships and has a strong understanding of the businesses
Applies an in-depth understanding of the inter-relationships of business and support units throughout the Bank and how they impact the overall AML control environment and the audit approach
Uses excellent communication skills in order to influence a wide range of internal audiences at the executive level. Negotiates internally often at higher levels on matters which will have a major impact on the area managed
Possesses strong project management and interpersonal skills, makes sound decisions, and exhibits initiative and intuitive thinking. Consulted often by others for advice and opinions and recognized as a leadership role model
Participates in major business initiatives and pro-actively advises and assists the business on change initiatives
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues
Analyzes reporting findings; Recommends appropriate interventions where needed
Proposes creative and pragmatic solutions for risk and control problems
Serves as lead reviewer for all types of reviews, including the most complex
Experience in a related role with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables to stakeholders according to strict timetables
Effective negotiation skills, a proactive and 'no surprises' approach in communicating issues and strength in sustaining independent views
Must be an articulate and effective communicator, both orally and in writing, with an energetic, charismatic and approachable style
Strong interpersonal skills for interfacing with all levels of internal and external audit and management
BA/BS or equivalent, preferably with a degree related to business. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus, while a CAMS certification is a strong plus
Greater than 8 years of audit experience in areas related to AML programs including transaction monitoring disciplines, alert analysis, optimization and segmentation, AML investigations and SAR decisions, plus KYC, AML, Risk Assessment and Sanctions

Senior Manager, AML Projects Resume Examples & Samples

Leadership – Initiates and actively participates on the project management process through the various phases from requirements through to implementation by
Leadership – Management - Manages personal (or where applicable “the team’s”) development to ensure knowledge and skills are continually enhanced by
Excellent written and verbal skills required to prepare communications and interact effectively with other Bank departments, external parties and Senior Executive Officers
Expert knowledge of project planning and tracking techniques and methodologies and market trends
Expert knowledge of Canadian, International and Global Banking business units functions, procedures, products, policies and how the various supporting units interact
Significant level of knowledge /expertise and critical thinking skills to identify, evaluate and recommend improvements to process, technology and organizational structure to enhance both the customer and employee experience
Thorough knowledge of related regulatory requirements including KYC, AML, Anti-Terrorist Financing Policies legislation and procedures
Thorough knowledge the Bank’s production and legacy systems and related processes that support the Canadian Banking, International Banking and Global Banking & Markets
Working knowledge of bank accounting and internal controls
Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM )

IPB AML Senior Manager Resume Examples & Samples

Actively participate in the implementation of key AML and Sanctions projects required for the business to operate under a controlled and effective AML environment, these projects may be the direct result of initiatives committed by the business to regulators or internal Citi stakeholders such as Citi’s Board of Directors and Citi’s second and third line of defense teams (e.g., AML Advisory/Compliance, Internal Audit)
Work closely with the business operating units to ensure that day-to-day / on-the-ground AML activities are performed in adherence to global/sector KYC/AML policies and guidelines. Incumbent will also work closely with the AML Senior Program Lead and Global teams to conduct impact and gap assessment of new policies and standards deployed for the business
Work with AML and Sanctions processes, procedures and training of staff
Participate in the implementation of specific initiatives required for the business to enhance its AML and Sanctions framework, identify and address ongoing training needs and act as an AML subject-matter-expert in support of the business operating model
Manage a small group of AML Specialists / Analysts in support of the business’s AML framework and activities
Partner with the AML Business Senior Program Lead to execute and implement specific actions to enhance the AML and Sanctions framework to ensure a consistent operating model and an optimal management of AML and Sanctions risks
Assist in translating Consumer Bank commitments (in full alignment with Global KYC/AML) into the business, assess impact and drive full implementation of such commitments and requirements
Work with AML partners on the interpretation and strict implementation of Citi policies and standards and compliance of regulatory requirements to ensure they are met while being sensitive and balanced vis-à-vis customers and business needs
Participate in AML-related project plans to coordinate the implementation of KYC/AML and Sanctions monitoring requirements. Adhere to expected execution and quality timelines. Track timely completion of milestones and escalate identified risks or roadblocks. Work with the AML Business Senior Program Manager to escalate staffing, training and implementation needs and design training/certification programs and execute them
Partner with the IPB U.S. CBSU team to constantly assess opportunities for improvement
Provide advice and education to the business on AML programs and best practices. Implement and track training and communication strategies for the business
Conduct training sessions, in accordance with a business approved training program, on topics around AML and Sanctions. Audience will be IPB US staff who perform AML activities
Document project execution in an audit-like manner and represent the business in AML-related audits and validations conducted on the implementation of business AML Programs, as needed
Partner with the business Decision Management team to develop AML reports/MIS and presentations. Represent the IPB U.S. business with internal reviewers, such as Compliance Testing, in the review of customer KYC files for completeness
Coach direct reports on business policies, keeping them alert of any changes in business policies and procedures
Prepare and deliver performance appraisals, job descriptions and participate in salary forecasting
Coordinate all activities related to improve overall employee satisfaction within the unit
Ensure proper training of team members in bank regulations, operational and AML policies and procedures
5-10 years of AML-related experience
Bachelor of Arts or equivalent experience; Master’s Preferred
Experience managing small teams (2-5 individuals)
Strong background in AML Regulations including the Bank Secrecy Act and the US Patriot Act couple with excellent analytical skills (quantitative and qualitative)
Proven experience in project management and Consumer banking operations and AML controls
Superior interpersonal and communication skills at all levels
Strong analytic skills and ability to rapidly assimilate complex information
Highly effective influencing skills. Ability to build strong partnerships
Sound decision making, while able to agreeably present another viewpoint
Positive/can-do approach, embraces changes and communicates as own
Bilingual – English and Spanish; Portuguese a plus

AML CDD / EDD Manager Resume Examples & Samples

Supervise team of analysts and specialists
Responsible for the effective implementation of controls and processes to ensure compliance with the recordkeeping and regulatory reporting requirements, such as USA PATRIOT ACT, Bank Secrecy Act, and the Bank’s CDD/EDD program. Monitor timely completion of periodic High Risk Reviews, and review and approve the analysis of the high risk customers
Assist and coach team members to improve overall efficiency, effectiveness and career growth
Drive process improvements to create greater effectiveness and efficiency within all areas of responsibility
Maintain effective internal control environment in order to achieve satisfactory audit results for areas of responsibility
Identify high risk customer trends and ensure that processes and procedures keep pace with regulatory expectations and that concerns and issues are elevated to the BSA or Deputy BSA Officer
Demonstrates compliance with all bank regulations for assigned job function and applies to designated job responsibilities – knowledge may be gained through coursework and on-the-job training. Keeps up to date on regulation changes
Maintain a working knowledge of Bank's written policies and procedures regarding Bank Secrecy Act, Regulation CC, Regulation E, Bank Security and other regulations as applicable to this job description
Required bachelor’s degree in business, criminal justice, law, accounting or related field required
3-5years’ experience required in BSA/AML, CDD/EDD, and/or Financial Crimes investigations with a financial institution
1-3 years of supervisory/management experience required leading teams to greater effectiveness, preferably in the AML operations, CDD/EDD or investigations areas
CAMS or equivalent certification or willingness to obtain CAMS certification
Advanced skills in the use of Excel and/or other tools for the analysis of data
Proven ability to lead teams
Advanced understanding of the FinCEN CDD and Beneficial Ownership rulemaking and the due diligence requirements outlined in the USA PATRIOT Act
Experience in using AML Transaction Monitoring Systems

Manager, BSA / AML Resume Examples & Samples

Maintain and develop the BSA/AML program
Assign, supervise and conduct BSA/AML investigations including: BSA/AML program assignments; and transaction monitoring (TM) processes
Guide team to conduct BSA/AML investigations
Guide team ensure timely and accurate regulatory filings: Currency Transaction Reports (CTR) and Suspicious Activity Reports (SAR)
Oversee the investigation and process to conclusion of potential OFAC matches
Execute 314a related search and clearing process
Oversee and execute CIP/CDD/EDD monitoring process
Mitigate money laundering, terrorist financing and financial fraud related activity through data analytics, higher-risk monitoring, investigations, referrals, anomalies, and trends
Maintain oversight of policies and procedures and ensure appropriate BSA/AML monitoring governance and controls are in place
Maintain current working knowledge of BSA, AML, CFT and all related anti-money laundering and OFAC laws and regulations
Maintain and develop knowledge of any specialized software used in the execution of all BSA/AML monitoring
Contribute in the development and refinement of the BSA/AML/OFAC monitoring program
Serve as subject matter expert regarding money laundering, terrorist financing, and the associated technical and monitoring requirements thereof
Assist in the completion and maintenance of the Bank’s BSA/AML/OFAC risk assessments
Assist or provide BSA/AML training as needed
Participate in the management of internal/external reviews, audits and regulatory examinations
Understands processes and procedures necessary to successfully perform tasks
Possesses the technical and computer skills required in the position
Demonstrates the ability to learn rapidly and adapt quickly to new processes and technology

AML Mexico Project Group Manager Resume Examples & Samples

A minimum of 10-12+ years experience with project management, business analyst practices or related responsibilities (operational change management, reengineering, internal audit) including large-scale programs in a financial services institution is required
Demonstrable
The successful candidate should demonstrate a wide use of the following skills
Coordinate large-scale projects/programs involving geographically or functionally diverse stakeholders is required
Strong ability to influence thinking and engage buy in from business and control function colleagues at all levels
Logical minded person who can understand complex issues & think about them with precision
Commitment to co-operative and collaborative working
Ability to multi-task & appropriately prioritize tasks
The academic background expected (but not limited to) is: bachelor degree in Business Administration, Information Management, Computational / Electronic Systems Engineering or Industrial / Mechanics Engineering
Desired comprehension of the Mexican AML Regulation, Proficiency Certifications or Master’s degree in any of the following practices is a valuable plus: Anti-Money Laundering, Project Management, Internal Audit, Risk & Control or Fraud, as well as prior exposure to initiatives with cross country visibility would be beneficial
Business English, with strong oral and written communication skills is also required

Manager AML Resume Examples & Samples

Conducting risk based investigative searches
Working with 3rd party sources and internet research to understand the nature and purpose of the client’s accounts
Creating risk memos and supporting documentation for each client
Managing daily batch of high risk alerts Identifying and recommending solutions to issues impacting Risk and Controls
Building and managing relationships with the Organization Account Teams, International Teams, Financial Consultants, CVRC and AML Investigations and Monitoring Teams
Additional projects and tasks based on business and regulatory needs

Senior Manager, AML / ATF Resume Examples & Samples

Provide oversight and coordination to the Canadian Banking (CB) AML Teams (1A & 1B functions)
Provide AML/ATF Compliance support to the Canadian Banking businesses including
Demonstrated integrity when working with colleagues and leading others by setting example of required behaviours
Experience in managing complex projects and initiatives across different businesses
High client focus and high risk management focus
Proven ability to build strong cross-functional business relationships
Results oriented, highly motivated with a keen ability to influence others
Strong communication and relationship management skills

Manager, AML Projects Resume Examples & Samples

Collaborates with partners in the review of business process resulting in recommendations for measurable improvements while leveraging reusable (process) components, structures and enterprise wide technologies that are effective and efficient and ensuring that risk is minimized by
Participates in the development of strategies and recommendations, including related process maps, business benefits and costs, implementation and training strategies and plans by
Expert knowledge of Canadian International and Global Banking business units functions, procedures, products, policies and how the various supporting units interact
A working knowledge of bank accounting and internal controls
Thorough knowledge of processes and systems that support the Canadian Banking, International Banking and Global Banking & Markets
Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (i.e. Visio, LOVEM)
Ability to research viable solutions through existing departments in the Bank or external vendor partners
Thorough written and verbal skills required to prepare communications and interact effectively with other Bank departments and external parties
Thorough time management skills in order to satisfy the needs of a large client group
Thorough knowledge of related regulatory requirements including KYC, AML, Anti-Terrorist Financing Policies, Compliance Control & Operational Risk Self-Assessments legislation and procedures
Thorough knowledge of project planning and tracking techniques
Thorough knowledge of the Bank’s interactive systems including Excel, PowerPoint and Word

AFC Aml-fciu Manager Resume Examples & Samples

The position reports into an FCIU Transaction Monitoring Manager in Jacksonville, Florida. As part of the AML FCU, your main focus will be to manage investigators who are conducting investigations specializing in Terrorist Financing/Terrorist Activity tracking
Manages a team of 12+ associates
Responsible for managing associates conducting internal & external research for Pre-Suspicious Activity Reports (SAR) drafting escalation purposes
Be the subject expert in Terrorist Financing and Terrorist action typologies/trends
Resolving AML Investigations before these issues have a negative impact on the banks financial position, reputation or become a regulatory issue
Review and analyze daily AML Cases to ensure that investigations are accomplished to address transactions that contravene the banks or regulatory policy. Ensure these occurrences are documented in the case for regulatory/audit level reviews
Ensure the risk coverage for the bank from an AML perspective
Investigate cases and associated transactions and identify potential areas of risk (financial, reputational, and regulatory) within the transactions and associated client relationship review
Investigate cases utilizing knowledge of money laundering, financing of terrorism and related issues, seeking guidance and assistance when required from the Team Manager and other colleagues
Accountable to ensure the audit trail is complete for all Cases
Participates in periodic team meetings to report on the status of the testing reviews and pending questions
Provide support and assistance to the FCIU Transaction Monitoring Manager with respect to the requirement that the internal systems parameters are reviewed
Minimum 5+ years’ experience of work experience in the financial, law enforcement, compliance, legal and/or regulatory industry
Minimum of a Bachelors degree or equivalent work experience
Previous experience in law enforcement is a benefit
Previous experience and/ or knowledge in AML, KYC, Sanctions, Fraud, Anti-Bribery & Corruption concepts, functions, responsibilities, risk assessment processes & risk principles are a benefit
Previous experience in AML, KYC, Investigations are a benefit

AML / KYC Senior Manager Resume Examples & Samples

Leading by example in further developing a culture of outstanding client service excellence　
Building and maintaining strong internal and external business relationships　
Creating strategic internal and external partnerships providing resources and expertise to maximize business success　
Collaborating effectively with internal client groups to execute department strategy　
Monitor operational issues and follow through on effective problem resolution with management of supporting departments　
Ensuring the smooth, effective operation of the department including: compliance to all operational procedures, excellence in product and service delivery, timely escalation and resolution of high exposure items, and maintaining high standards and controls　
Leading and implementing projects and acting as a professional voice for the department and firm as a whole　
Overseeing the supervision of staff members through appropriate recruiting, training, performance management, and succession planning.　
Acting as an internal 'risk manager' for the department　
At least 10 years of experience in finance
Knowledge of AML/KYC will be an asset
High level of initiative, creativity, ability to instill enthusiasm among team members
Excellent communication and client-facing skills
Elevated level of risk awarness

BSA / AML / Ofac Senior Manager Resume Examples & Samples

Manages and coordinates the BSA/AML/OFAC Operations functions for the holding company, member banks, and affiliates with those duties
Acts as the BSA Officer for Heartland, and ensures the establishing of a qualified BSA officer for each member bank
Plans and organizes for the needs of a growing company, ensuring that BSA staffing levels and the qualifications of BSA staff are adequate to meet the strategic business objectives of the organization
Writes, reviews, and updates standardized policies and procedures to ensure that Heartland maintains compliance requirements in association with anticipated growth
Communicates changes in policies, procedures and products to all staff affected including member bank’s Bank Secrecy Act Officers
Develops, implements and maintains a risk assessment and control framework through strong compliance which ensures effective execution of policies, procedures, and produces satisfactory internal and FDIC audit results, while meeting regulatory requirements
Works with front-line personal bankers and retail managers on decisions concerning SAR filings, high-risk customer determinations, and account-closure decisions to assure compliant BSA/AML results
Participates in management risk committees, and provides input as needed to the company’s enterprise risk management system
Provides reports and presentations to management and the Board of Directors
Develops and ensures the execution of a training program which meets the BSA/AML/OFAC needs of Heartland and its affiliates
Manages technology/models sufficient to support the organization’s BSA/AML/OFAC requirements
Participates in monthly and quarterly fraud committee meetings
Interacts with internal and external auditors and bank examiners in support of the program’s needs
Reviews institution operations to evaluate efficiencies. Plans and implements new operating procedures to improve efficiencies, standardized processes, and reduce costs
Assists with annual budgeting and strategic planning sessions for holding company
Performs BSA/AML/OFAC due diligence and integration duties, in support of mergers and acquisitions
Performs other duties assigned
Directly supervises the HTLF BSA officer and Analysts
Works with Heartland Financial’s recruitment team to hire the most qualified and talented individuals to fill open positions
Prepares and conducts annual performance reviews. Completes and submits all forms associated with the review process to the department according to the view process deadline
Proven experience managing a team
Ability to plan and organize strategically supporting the company’s overall objectives
Previous training experience a plus
Ability to enforce policies and procedures
Knowledge of AML Software databases and Microsoft Office Suite

Manager, AML Projects Resume Examples & Samples

(Do not complete for standard Canadian branch jobs.) Provide the key job accountabilities, based on the current position description
Conducting needs analysis to implement effective procedures and/or improve/replace with a more efficient customer centric AML/ATF/Sanction processes and procedures that will ensure a positive customer experience
Influencing change to policy that results in increased productivity with no increase to risk
Influencing viable technological and structural improvements
Enhancing the employee and customer experience while effectively managing AML/ATF/Sanction risk
Analyzing data to quantify benefits and assess costs
Developing and contributing to implementation planning activities
Participating in presentations and meetings with Senior Management
Provide consultation to Canadian Banking, International Banking and Global Banking & Markets through implementation
Preparing and/or reviewing communication material, including presentation decks and training materials ensuring content is applicable to target audiences and aligns with overall program objectives
Initiates and manages projects working independently or within cross functional teams by
Collaborating on and developing proposals
Coordinating project templates to create required documentation
Ensuring all deliverables are completed within negotiated timeframes, monitored against budget and within established department guidelines and protocols, escalating as necessary
Prepares project status dashboards by monitoring, collecting, analyzing, and summarizing information and trends and coordinating project reports production from project team members as per required
Researching best practices
Building relationships with internal and external partners
Develops strategic relationships by
Establishing, building and maintaining relationships with
Key stakeholder departments across the enterprise
(Do not complete for standard Canadian branch jobs.) Outline below a maximum of 6 functional competencies which are required to perform the key job accountabilities, e.g., working knowledge of retail lending/deposit products, etc
Thorough knowledge of the Bank’s production and legacy systems