Manager, Due Diligence Resume Samples

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L Streich

Lester

Streich

7183 Runolfsson Prairie

Detroit

+1 (555) 540 9379

7183 Runolfsson Prairie

Detroit

Phone

p +1 (555) 540 9379

Experience Experience

Chicago, IL

MSR Due Diligence Manager

Chicago, IL

Douglas, West and Borer

Chicago, IL

MSR Due Diligence Manager

Assist the MSR transaction team and other business units, as assigned
Manage the third party vendors in their loan level assessments of the MSR acquisition
Track the activity and performance of due diligence on an ongoing basis through internal reporting and logs
Create corrective action plans around identified errors found in loan files and processes based upon a defined script in monthly MSR Flow testing
Report findings and results of the reviews and testing completed by third parties to the MSR transaction team
Other duties as assigned by the Managing Director related to MSR due diligence items
Observing and reviewing business processes for MSR due diligence to ensure compliance

Phoenix, AZ

Manager, M&A Due Diligence

Phoenix, AZ

Davis LLC

Phoenix, AZ

Manager, M&A Due Diligence

Serve as a key advisor to corporate and private equity clients, focusing on the delivery of commercial/strategic due diligence services
Serve as the day-to-day leader on the project team, managing individual teams of 2-6 consultants on each engagement and developing and delivering key analytical outputs
Work closely with the engagement Director and/or Partner/Managing Director to help build relationships with clients
Work across B2B and B2C industries, including industrials, services, healthcare, consumer goods, retail, energy, technology and telecom, and financial services
Participate in the professional development of KPMG Strategy team members and assist with the recruiting and training of new staff
Manage buy-side and sell-side transaction advisory engagements, providing financial and business due diligence assistance to Fortune 1000 and middle market companies and private equity investors
Manage and coordinate approach of client, KPMG’s engagement teams, and third party diligence providers throughout the transaction process

present

San Francisco, CA

Enhanced Due Diligence Manager

San Francisco, CA

Raynor Group

present

San Francisco, CA

Enhanced Due Diligence Manager

present

Hires, trains, and develops a team of EDD Specialists responsible for AML/BSA risk scoring and enhanced due diligence reviews on the bank’s highest-risk customers
Promotes a strong culture of AML/BSA/ATF/OFAC controls
Coordinates and presides over related AML/BSA projects
Assists with testing of the business line’s products/services and controls to ensure compliance with AML standards and regulatory updates
Develops policies and procedures to support Corporate AML standards to evaluate and control KYC and other AML/BSA/Sanctions risks
Prepares, approves, and monitors timeliness of various projects and regulatory reporting
Identifies gaps and executes plans to minimize risks (e.g. controls, systems, personnel)

Education Education

Bachelor’s Degree in Accounting From

Auburn University

Bachelor’s Degree in Accounting From

Skills Skills

Prior card issuing or merchant acquiring background
CAMS certification or equivalent
Experience in financial services or equivalent professional environment, with detailed understanding of the Banking Industry, especially focussed on AML/KYC processes
Experience of managing client/ stakeholders relationships – in particular balancing AML rigour with a positive client experience
Strong analytical skills with good attention to detail and ability to draw conclusions from complex and contradictory information, and present in a simple and coherent manner
Comprehensive business knowledge able to understand the markets in which the relationship teams customers operate and the business issues they are likely to face
Strong decision maker with a focus on client satisfaction, able to produce creative solutions, strategy setting and decision making to challenge and question stakeholders
The role holder will actively perform and manage quality checks on the enhanced due diligence work performed in the team. The role holder will be responsible for ensuring any errors identified are corrected. The role holder will be responsible for on-going training of their team members – both on the job, in 1:1 sessions, via team meetings, and via semi-annual refresher trainings
The role holder will manage a series of control reports – aimed at identifying items which may have been missed by the analyst and/or the second check. This includes ensuring adequate procedures are written, regular review is evidenced / documented, and items are investigated and cleared in a timely manner
The role holder will be expected to self identify training, procedure, process, control failures within their team. This includes formally raising to senior management & Risk and Control for logging & action planning. The role holder will then be responsible for working with those escalation points to root cause the issue and develop holistic actions plans. This self identification process within the line management function is critically important given the current level of regulatory scrutiny on financial crime functions (e.g. regulatory enforcement orders at a number of peer banks)

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Due Diligence Manager Resume Examples & Samples

5+ years audit or TAS experience with M&A experience
5+ year experience in due diligence or audit engagements
Proven project management skills with the capability of coordinating multiple work streams
Excellent organizational, written, and oral communication skills as well as strong quantitative and analytical skills
Good understanding of general process controls
Strong knowledge of Microsoft Office Products
Alternative or mutual funds operations experience
Educational concentration in accounting or finance
Knowledge and experience with CCH ProSystem fx® Engagement or other audit software

Manager, Due Diligence Resume Examples & Samples

Conduct initial and on-going due diligence reviews for product companies (including product level review). This includes: on-site visits, questionnaire management, direct interviews with firms’ senior management and investment teams to gain insight and to build conviction in the strength and consistency of the investment philosophy, process and the people managing the strategies. Review materials provided by third parties, including public disclosures and regulatory filings to identify key investment related risks, assessing for platform suitability, and performance metrics. In addition, gather and evaluate data and related content from a wide array of sources, including but not limited to investment advisors, third party databases, and other publicly available resources
Semi-annual execution of the Ameriprise Due Diligence complexity scoring process/matrix and the review/update of associated complex securities content on internal systems. Maintain a reliable quality assurance routine to ensure systems and processes are working as planned. Maintain documentation for internal and regulatory purposes. Enhance and provide ongoing review of algorithms for products on an annual basis. This complexity scoring matrix covers 6000+ products on the Ameriprise platform
Lead across the organization to share information and resolve issues related to due diligence decisions. Actively manage relationships with internal partners which includes regular communication on product guidelines, product performance, due diligence and operational issues. Act as a subject matter expert on cross-organizational projects including risk management, performance measures, complex instruments
Maintain current knowledge of industry practices and developments. Escalate issues and maintain records as required or appropriate. Take action with authority or review with leader prior to taking action
Identify trends, opportunities, and recommendations related to products and/or firms and prepare written reports that discuss findings. Communicate investment due diligence information concisely both in writing and verbally to a variety of constituents, including the Wealth Management Solutions Product Committee, product managers and external partners
May provide effective leadership, work direction, coaching and development to domestic and/or global in-direct reports through individual task groups, periodic conference calls and feedback sessions
5+ years’ experience in investments; preferably doing due diligence types of activities
Broad understanding of portfolio management concepts and investment management responsibilities
A detailed understanding of the effects of leverage in relation to portfolio risk and return
Strong analytical and problem solving skills and attention to detail
Ability to work independently
Advanced MS Office skills; Experience with Microsoft Access preferred
Series 7 required within 90 days of employment
A strong understanding of derivative instruments
Strong understanding of mutual funds, ETF, Closed End Funds, and UITs structures with an understanding of important regulatory rules related to complex products
A familiarity with the 1940 Securities Act
CFA (or progress toward the designation), MBA, or CAIA
Able to act as thought leader and mentor
Experience with direct or indirect people leadership

VP-manager Due Diligence Resume Examples & Samples

Participate in the collection, synthesis, and dissemination of information gathered through interacting with external Hedge Fund managers
Build an in depth understanding of the range of hedge fund strategies and the associated instruments, but with a primary focus on quantitative strategies
Analyze and assimilate hedge fund legal documentations; monitor industry publications for pertinent information, and ultimately conduct the initial interview process with Hedge Fund managers
Analysis of capital markets: In addition to evaluation of Hedge Fund managers, emphasis is placed on understanding the capital markets in which the hedge funds operate
Should have relevant experience pertaining to relative value strategies such as quantitative equities/futures trading, and fixed income arbitrage
Remain current of capital market news and players: Create and maintain professional network contacts, identify and evaluate news articles and research reports for pertinent information, and provide the Research team with timely and insightful data points
Bachelor’s degree in Finance, Economics, Mathematics/statistics, or Engineering preferred but not required
Desire to complete the CFA program
The ability to work with individuals at all levels in the organization and contribute to the strategic direction of the firm
Capacity to keep the strategic vision of a company in sight while paying attention to the details of day-to-day operations
Exceptional communication skills, with the right level of confidence and assertiveness, to present and promote ideas at all levels of the organization
2-3 years’ previous experience preferred, but not required
Outstanding analytical and organizational skills
High energy level with sense of urgency and action-oriented approach
Ability to quickly build a rapport and relationships within a firm

Manager Enhanced Due Diligence Resume Examples & Samples

Risk & Control Self-Assessment
Business Environment & Internal Control Factors Establishment (BEICF)
Loss Data Management
Key Risk Indicators Management
Develop metrics and key risk indicators to monitor performance against risk appetite
Monitor actions plans for mitigating risks and escalate control breaches
Keep management informed of emerging issues and trends regarding the implementation of regulatory and operational risk management frameworks, programs and tools
Collaborate with 1A and 1A Governance support teams to identify key business processes, assess risks and control gaps
Assist Business Units to to develop remediation action plan and monitor its progress
Design, develop and implement business process automation strategy and solution to improve operational efficiency and enhance operational control
Solid knowledge of banking, operational & regulatory risk, compliance and regulatory requirements and internal control principles
Strong organizational skills in planning, scheduling, and the ability to prioritize and deal with workload to meet deadlines
Excellent written and oral communication skills, negotiation and analytical skills
Excellent presentation skills to communicate strategies and key risk assessment findings to senior management team and deliver trainer training
Ability to review complex documents and material and effectively absorb relevant context and assimilate this in a practical and coherent way
Ability to gain confidence and cooperation of business units, Global Compliance and Global Operational Risk while still retaining the independence and willingness to point out area of improvement

Enhanced Due Diligence Manager Resume Examples & Samples

Hires, trains, and develops a team of EDD Specialists responsible for AML/BSA risk scoring and enhanced due diligence reviews on the bank’s highest-risk customers
Promotes a strong culture of AML/BSA/ATF/OFAC controls
Assists the business lines to ensure compliance with applicable federal, state, and global laws pertaining to AML/BSA and KYC standards
Prepares, approves, and monitors timeliness of various projects and regulatory reporting
Ensures appropriate identification and responses to AML/BSA risks within the business and coordinates efforts to foster awareness and understanding of key risk management concepts within the business management network; and
Bachelor's degree, or equivalent, relevant work experience
Ten or more years of financial experience in the compliance, BSA/AML or Sanctions Screening (OFAC) disciplines, including
A comprehensive understanding of AML/BSA/OFAC controls
Places a high value on organizational skills and maintains strong business acumen
Successfully manages resources with varying knowledge, tenure, and managerial skill levels (both task management skills and resource management skills)
Extensive knowledge of government (federal, state, and local) and regulatory laws and regulations
Flexible and adaptable in handling change while understanding how that change will impact the team as well as business line partners
High level of attention to detail with the ability to solve problems and think analytically
Must be organized with strong ability to prioritize while coordinating multiple processes
Set clear goals / objectives and motivate teams to achieve superior results

Manager, M&A Due Diligence Resume Examples & Samples

Serve as a key advisor to corporate and private equity clients, focusing on the delivery of commercial/strategic due diligence services
Serve as the day-to-day leader on the project team, managing individual teams of 2-6 consultants on each engagement and developing and delivering key analytical outputs
Work closely with the engagement Director and/or Partner/Managing Director to help build relationships with clients
Participate in the professional development of KPMG Strategy team members and assist with the recruiting and training of new staff
Six years of external consulting experience in M&A in a client-facing strategy discipline at a major strategy, boutique strategy, Big 4 consulting firm; experience at a private equity fund with a specialization in M&A and commercial due diligence a plus; or a combination of eight years of work experience between a strategy consulting discipline in M&A and commercial due diligence, and a high-impact corporate development role within a Fortune 100 company
Significant experience helping corporations and/or private equity firms conduct thorough analysis of potential acquisition targets, including assessing the market landscape (structure, size and profitability, drivers of performance, trends, outlook), the target’s competitive position (competitive landscape, target’s relative financial performance, target’s relative offer position), and the viability of the target’s revenue and profit forecast and client’s investment thesis

Manager Integrity Due Diligence Resume Examples & Samples

Continuously enhance the infrastructure and capabilities at hand in TLG in respect to IDD
Communicate with stakeholders in a precise and concise manner
Build good relationships with regional, global and cross-functional teams, supporting successful anchoring of the IDD function throughout the LEGO Group
Obtain and perform a review of information provided from a screening provider or conduct other desktop research (using a combination of publicly available and commercially licensed IT tools and data sources). Drive the analysis and interpretation of your results to come to an integrity risk-rating conclusion that gives direction, advice and guidance to stakeholders
Provide professional judgement to the business as a trusted subject matter expert
Be independent and resourceful in handling various assignments, which can be diverse and with limited information

Manager, M&A Due Diligence Resume Examples & Samples

Manage buy-side and sell-side transaction advisory engagements, providing financial and business due diligence assistance to Fortune 1000 and middle market companies and private equity investors
Manage and coordinate approach of client, KPMG’s engagement teams, and third party diligence providers throughout the transaction process
Analyze target company data to identify historical and projected financial and operating trends, quality of earnings and working capital considerations, and potential liabilities and risks, which impact valuation and negotiation of the target company
Create and design tailored transaction advisory reports specific to key issues such as normalized earnings, valuation model input assumptions, achievability of management’s budget, and indebtedness considerations
Five years of applicable work experience including four years of experience in one of the following with a Top Ten public accounting firm: accounting, advisory, financial audit, or transaction experience
Bachelor’s degree in Accounting from an accredited college/university or CPA eligible; licensed CPA/equivalent certification is preferred
Strong current knowledge in one of the following: United States Generally Accepted Accounting Principles, Securities and Exchange Commission financial reporting issues, International Financial Reporting Standards , mergers and acquisitions, or transaction services
Ability to travel fifty percent annually including potential international travel

Due Diligence Manager Resume Examples & Samples

CPA required; MBA helpful, but not required
Minimum 6 years' experience in an Audit practice (or Transaction Advisory - TAS) within a national public accounting or consulting firm
Technical accounting expertise developed through significant public accounting experience with an audit background. Inventory accounting experience is helpful
Highly proficient with Excel and/or databases with the ability to handle large amounts of data efficiently
M&A or private equity experience is helpful
Very intelligent and inquisitive with communications skills, both verbal and written
Driven, great attitude, and a desire to succeed

Senior Enhanced Due Diligence Manager Resume Examples & Samples

10+ years of experience in financial crimes, audit, compliance or risk management
Must possess advanced knowledge of BSA/AML and OFAC regulations, investigations and affiliated technology with the ability to plan, organize and supervise work of staff and produce results
Excellent time management, planning and organizational skills
Management or supervisory experience required
Professional certification(s) (CAMS, FIBA, etc.)
Knowledge of Wholesale Banking customers and products/services

Due Diligence Investigation Manager Resume Examples & Samples

· Provide fundamental excellence in research in a wide variety of industries. Conduct research that is high quality, aggressive and imaginative. Use an integrated approach to business intelligence to ensure connections are made among subjects and hidden business risks are identified
· Provide fundamental excellence in analysis, writing and quality control. Identify critical issues directly related to client acceptance and explain why these issues matter. Provide a report in which these issues are positioned strategically in a concise summary
· Focus on group cooperation and knowledge building. Identify new resources that contribute to the broadening of information sources and research techniques
· Focus on active personal performance improvement and growth. Learn new resources without much delay; share constructive feedback and encouragement with others; help coach others constructively
· Maintain active communication with internal client engagement teams to manage expectations, ensure satisfaction, and ensure proper research scope is used and findings are clear to the team
· Adhere to the highest degree of professional standards and strict confidentiality in matters that require discretion
· Bachelor’s degree required; advanced (MBA or law) degree preferred
· CFE certification and/or private investigator license a plus
· A minimum of five years of experience performing due diligence background investigations on companies and executives, preferably in an advisory or professional services firm environment
· Demonstrated experience in online commercial proprietary and public records sources, as well as open sources on the Web
· Strong business acumen and understanding of U.S. and international regulatory, legal and court systems; demonstrated ability analyze and make judgements concerning risk relevance of certain legal or regulatory matters and other adverse findings
· Experienced in reading large amount of business and legal information and understanding it; highly proactive in making conclusions
· Excel at critical thinking and deductive/inductive reasoning skills
· Superior writing skills for the partner level
· Ability to manage workload under pressure and set deadlines
· Ability to manage data costs to a set limit

MSR Due Diligence Manager Resume Examples & Samples

Manage the third party vendors in their loan level assessments of the MSR acquisition
Report findings and results of the reviews and testing completed by third parties to the MSR transaction team
Monitor process level assessments of due diligence reviews, drive resolution of the completion of loan reviews
Create corrective action plans around identified errors found in loan files and processes based upon a defined script in monthly MSR Flow testing
Observing and reviewing business processes for MSR due diligence to ensure compliance
Communicating deficiencies to the affected business units and management on an as needed basis
Making recommendations for effective resolution of issues and findings
Track the activity and performance of due diligence on an ongoing basis through internal reporting and logs
Identify risk areas and trends to the MSR transaction team
Other duties as assigned by the Managing Director related to MSR due diligence items
Assist the MSR transaction team and other business units, as assigned
Manage a team of third party vendors on a tight time schedule to meet acquisition timelines
Performs related work as assigned by department head
Able to analyze “QC”, “Due diligence”, “Credit” and “Eligibilty” results
Able to plan strategically as it relates to the individual, team, and department responsibilities
Able to effectively and professionally communicate to others verbally and in writing
Able to multi-task and manage multiple projects simultaneously
Is attentive to detail and thorough
Is able to deal with complex situations with ease
Strong knowledge and background in the mortgage lending industry
Good business acumen
Proactive, results-oriented and organized
Must have the ability to maintain a positive attitude in the face of negative circumstance
Outstanding written, verbal, and presentation skills
Loyal to LLS-understands that there is much work ahead
Passion and true love for problem solving
Minimum of 5-10 years of mortgage lending experience, preferably in Underwriting, Closing, or Post-Closing
High School Diploma or higher
Attend additional webinars, conferences or higher education as required by the Managing Director
An underwriting certification or industry certification or accreditation is preferred but, not required

Manager, M&A IT Due Diligence Resume Examples & Samples

In relation to the deal advisory integration and separation process, lead and assess the Information Technology (IT) related opportunities and risks, develop an action plan to address, and communicate due diligence results in a non-technical fashion
Provide project management and planning to help facilitate the integration of IT operations and organizations resulting from a roll-up and/or complete separation work from a parent organization
Complete comprehensive offshoring of high labor activities, provide renegotiation support of key IT vendor contracts at the direction of management, and identify improvement opportunities for IT governance and project selection
Actively contribute to go-to-market/industry activities, manage the quality of engagements, and facilitate the development of staff
Five years of external consulting experience for a technology/business consulting firm or a combination of external consulting and technology industry experience, including a track record of driving major IT-related business change
Success in leading significant IT projects, the scope of which should include at least two of the following areas: Enterprise Resources Planning implementation, outsourcing of a significant IT process, reengineering IT organization, business process reengineered, or IT infrastructure upgrade
Competency in at least two or more of the following technical disciplines: enterprise systems implementation, IT architecture and infrastructure management, post-merger IT integration, carve-out separation, process reengineering, offshoring, and outsourcing
Previous project management experience and ability to prioritize/organize diverse material
Excellent foundational consulting skills: analytical, written and verbal communication, strong executive presence, facilitation and presentation skills; travel may be up to 80-100%

Manager, Due Diligence Resume Examples & Samples

Conduct initial and on-going due diligence reviews for product companies (including product level review). This includes: on-site visits, questionnaire management, direct interviews with firms’ senior management and investment teams to gain insight and to build conviction in the strength and consistency of the investment philosophy, process and the people managing the strategies
Review materials provided by third parties, including public disclosures and regulatory filings to identify key investment related risks, assessing for platform suitability, and performance metrics. In addition, gather and evaluate data and related content from a wide array of sources, including but not limited to investment advisors, third party databases, and other publicly available resources
May need to provide buy/sell recommendations and be able to have dialogues with Ameriprise Financial Advisors regarding a certain product and/or firm base on due diligence findings
Ability to obtain Series 7 within 90 days

Securitization Due Diligence Manager Resume Examples & Samples

Assess and review mortgage loan populations, data, and transaction timelines for closing
Coordinate the mortgage securitization due diligence process by interacting with relevant external counter-parties to procure, address and remediate exceptions to close a transaction
Review reports, findings and conclusions for all due diligence transaction-related matters with the head of securitization to ensure appropriate remediation efforts to internal groups, bankers/underwriters, rating agencies and other applicable counter-parties
Coordinate and manage various internal department requests and third parties for scheduling, resolutions and execution of all due diligence criteria and individually review and/or prepare all items for accuracy and completeness, including
Third party vendor due diligence process and results
Review and confirm third party vendor reports and narrative
Reliance Letters and 15g reporting
Stay informed of industry changes in state laws/regulations, and policies or procedures that may impact the mortgage loan or RMBS securitization market
Utilize tools to extract data necessary to conduct portfolio analysis such as Excel, Access, SQL Server Management Studio, CAS and proprietary applications
Support various ad-hoc requests as necessary
Professional knowledge of, and experience with, RMBS securitization, mortgage capital markets, mortgage origination, and credit and compliance underwriting
Strong understanding of the regulatory landscape related to CFPB, federal, state and local lending laws
Ability to interface with securitization Underwriters to effectively negotiate and resolve problems
Exceptionally organized and detailed oriented
Work as a team player with department associates and management
Strong curiosity to learn and consider alternate paths for improvement

Enhanced Due Diligence Manager Resume Examples & Samples

Supporting Enhanced Due Diligence (EDD) reviews of Correspondent Banking Relationships maintained by the Corporate Bank
Analysing the findings of the reviews and making recommendations to maintain, exit or undertake further EDD to mitigate risks identified
Working alongside the Relationship Director to deliver recommendations on how to proceed with the client relationship, escalating where necessary against our EDD principles
Examine the detail of all cases nearing their completion deadlines, to assess the risks run, and provide consistent recommendations to senior management across the business
Monitor overdue and complex cases, chairing resolution meetings between KYC Operations, Coverage, and Fin Crime and bringing creative solutions to drive resolution as necessary
Drive up the quality of the KYC process through close liaison between KYC Operations and Coverage, challenging and improving procedures and processes
Experience in financial services or equivalent professional environment, with detailed understanding of the Banking Industry, especially focussed on AML/KYC processes
Experience of managing client/ stakeholders relationships – in particular balancing AML rigour with a positive client experience
Strong analytical skills with good attention to detail and ability to draw conclusions from complex and contradictory information, and present in a simple and coherent manner
Comprehensive business knowledge able to understand the markets in which the relationship teams customers operate and the business issues they are likely to face
Strong decision maker with a focus on client satisfaction, able to produce creative solutions, strategy setting and decision making to challenge and question stakeholders

Senior Manager, Enhanced Due Diligence Resume Examples & Samples

Oversees the coordination and administration of all aspects of the Global EDD program including planning, organizing, staffing, implementation, and controlling program activities
Plans the delivery of the overall program and its activities in accordance with the mission and the goals of the AML Program Transformation
Organizes the program to ensure program activities operate within policies and procedures and comply with governing regulations
Liaises with partners and stakeholders throughout the bank and at all levels on the design and development of the program and actively participates on the project management process from requirements through to implementation
Design and develop the Global EDD organization structure and assist with recruitment/hiring of staff
Ensure all staff members receive orientation and appropriate training and supervise program staff by providing direction, input and feedback
Leads the development of the required procedures and/or procedure enhancements that will support the new program
Monitor the program activities and report evaluation findings to Senior Management and recommend changes to enhance the program, as appropriate
Creates an environment in which his/her team pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to operational risk, regulatory compliance risk, AML/ATF risk and conduct risk, including but not limited to responsibilities under the Operational Risk Management Framework, Regulatory Compliance Risk Management Framework, AML/ATF Global Handbook and the Guidelines for Business Conduct
Strong knowledge of project planning and tracking techniques and methodologies and market trends
High level understanding of applicable business line objectives
Thorough knowledge of the Bank's interactive systems including Excel, PowerPoint and Word
Working knowledge of Process Mapping and Business Architecting, including use of related software and tools (e.g. Visio )
Previous experience with EDD would be an asset
Strong analytical, problem-solving and critical thinking skills

Enhanced Due Diligence Manager Resume Examples & Samples

The role holder will have line management responsibilities for up to eight analysts and AVPs globally, performing the BAU EDD function for onboarding and ongoing review for both banking and markets
The role will be responsible for analyzing and advising on the risk presented by high risk customers, analyzing and advising on complex structures for personal and institutional customers, performing ad hoc reviews to identify potential financial crime risk for prospective customers, reviewing detailed memos documenting the thought process in identifying and mitigating financial crime risk
The individual will be expected to lead by example and will appreciate their role in providing guidance and education and training to others. The role holder will be able to clearly navigate and articulate the importance of the FC Control Environment to the business. The individual will be expected to educate colleagues and skilfully provide simple explanations, real world case studies and is able to effectively present/ facilitate EDD training if required
The role holder will actively perform and manage quality checks on the enhanced due diligence work performed in the team. The role holder will be responsible for ensuring any errors identified are corrected. The role holder will be responsible for on-going training of their team members – both on the job, in 1:1 sessions, via team meetings, and via semi-annual refresher trainings
The role holder will manage a series of control reports – aimed at identifying items which may have been missed by the analyst and/or the second check. This includes ensuring adequate procedures are written, regular review is evidenced / documented, and items are investigated and cleared in a timely manner
The role holder will be expected to self identify training, procedure, process, control failures within their team. This includes formally raising to senior management & Risk and Control for logging & action planning. The role holder will then be responsible for working with those escalation points to root cause the issue and develop holistic actions plans. This self identification process within the line management function is critically important given the current level of regulatory scrutiny on financial crime functions (e.g. regulatory enforcement orders at a number of peer banks)
The role holder will be responsible for identifying and managing any aged population of cases via weekly and monthly MI Reporting. This individual will work with Financial Crime globally to ensure cases escalated to 2LoD due to a significant Financial Crime concern are completed in a timely manner. The role holder will also be expected to work regularly with senior business stakeholder to ensure prioritization and business needs are sufficiently met
The role holder must demonstrate expertise against the following

Manager, Operational Due Diligence Resume Examples & Samples

Coordinates and leads operational due diligence assessments of external fund managers, including on-site meetings with fund manager personnel
Due diligence activities include an assessment of processes, systems, documentation, personnel and overall controls pertaining to the following areas: trade capture, investment operations, valuation, counterparty risk, accounting and financial reporting, risk management, performance measurement, compliance management, disaster recovery and cyber security
Establishes and maintains strong working relationships with internal stakeholders and external vendors
Assist in mentoring and developing the junior team members in execution of on-site visits and other relevant tasks
Writes initial drafts to be reviewed by the Senior Manager, review initial drafts of Junior team members, provides feedback and finalizes operational due diligence memos, based on insights from on-site visit and review of fund documentation
Works closely with the team members to prioritize due diligence activities and allocate resources to upcoming assessments
Develops knowledge and keeps abreast of changes with respect to industry standards and best practices impacting operational due diligence
Continually assesses current processes and recommends appropriate enhancements to improve or adapt to changing business or regulatory requirements
Contributes to strong working relationships within all key areas of CPPIB
Develops and shares knowledge with key individuals and team members

Manager, M&A Operational Due Diligence Resume Examples & Samples

Serve as a key advisor to corporate and private equity clients, focusing on the delivery of operational strategic due diligence and performance improvement services
Participate in professional development of KPMG Strategy team members and assist with the recruiting and training of new staff
A minimum of five years in an external consulting role providing advisory services in mergers and acquisitions, with specific experience providing operational due diligence and performance improvement services to clients
Bachelor’s degree from an accredited college/university; MBA from an accredited college/university is strongly preferred
Demonstrated ability to assess, improve, and redesign business processes and functional organizations with a focus on implementation, including a deep understanding of financial analysis, business strategy, and supply chain optimization
Deep performance improvement skillset, with the ability to develop strategic insights from profitability and other related analyses, including an understanding of operational due diligence and post deal value creation
Ability to realize substantial bottom line benefits for clients and travel as necessary

Manager, M&A Operational Due Diligence Resume Examples & Samples

Lead enterprise-wide Strategy engagements including M&A (Operational Due Diligence, Synergy assessments, stand alone cost assessments) as well as Corporate Performance improvement projects from start to finish, including setting scopes, budgets, staffing resources, generating information/data requests, leading client and target workshops, creating and coordinating final deliverables, and assisting with presentation of results
Act as the day-to-day, full-time project manager to help ensure successful problem formulation, hypotheses generation, comprehensive analysis in testing hypotheses, and problem resolution
Provide oversight of highly skilled KPMG work teams throughout the project lifecycle and serve as the primary team interface with various levels of executives and team members
Lead the team to create value-add insights that tie to the client’s strategic and financial ambitions, including identifying the underlying value proposition and challenging the client’s near and long term investment thesis through structured data analyses to identify operational risks, efficiencies, or other opportunities
Help lead proposal development and other new business development activities by leveraging new and existing relationships with C-level executives across Corporate and Private Equity clients
Support professional development of KPMG Strategy team staff
A minimum of five years external strategy consulting experience in a client-facing strategy discipline at a Big 4 firm, major strategy firm, or a boutique strategy firm with a focus on pre-deal M&A work, operational due diligence, and performance improvement in the Semiconductor/High Tech industry
Bachelor's degree from an accredited college/university, preferably in Business Administration, Engineering, or other related field; Master’s degree in Business Administration from an accredited college/university is highly preferred
Strong business acumen, with analytical and problem solving skills and ability to understand how business model decisions impact operating model design/execution across operations, technology, risk governance, and organizational design