Sanctions Analyst Resume Samples

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L Schoen

Ludie

Schoen

8920 Raymond Island

Boston

+1 (555) 104 0322

8920 Raymond Island

Boston

Phone

p +1 (555) 104 0322

Experience Experience

Detroit, MI

Analyst Sanctions

Detroit, MI

Buckridge-Harvey

Detroit, MI

Analyst Sanctions

Distribute BA Compliance Manual, updated with the latest sanctions Compliance processes and methodologies
Distribute Group Sanctions compliance Policy and documentation
Maintain logs, distribution logs, and version control of policy, procedure and related documents (electronic and manual)
Provide support for and help drive various compliance projects
Evaluate and challenge information received from the country MLRO’s with the objective of achieving continuous improvement in compliance
Follow up on the implementation of action plans to resolve any issues identified in any BIA audit of Sanctions and monitor completion of remedial activities keeping the BA Regional Sanctions Manager abreast on progress made
Monitor and report on remediation activities

Houston, TX

Sanctions Analyst

Houston, TX

Rodriguez, Jones and Miller

Houston, TX

Sanctions Analyst

Working knowledge of OFAC/Sanctions interdiction software and/or case management software a plus
Assist the Sanctions Program Manager with updates to the OFAC policies and procedures
Provide support and guidance to the bank’s operational areas and assist with implementation of Sanctions related programs
Provide back up in performing the FT BESS Beginning of Day process
Establish working relationships with key business partners across all lines of business
Other duties assigned by management
Actively identify process improvement initiatives, implementing solutions, while maximizing productivity and resources

present

Dallas, TX

Analyst, In-country Sanctions Singapore

Dallas, TX

Wunsch and Sons

present

Dallas, TX

Analyst, In-country Sanctions Singapore

present

Assisting in local list management and new request submission
Performing research on prospective and existing clients as well as related parties to identify and analyse a sanctions nexus
Develop and implement procedures and processes in partnership with the LOB to comply with the GSC Program and Standards
Provide comprehensive and ongoing training to LOBs within the country in collaboration with the RSOs
Assisting the LOB and RSO with completion of sanctions risk assessments, certification, and validation protocols
Provide support on periodic/independent testing
Working with non-U.S. regulators with regard to authorizations, reporting and guidance under non-U.S. sanctions laws

Education Education

Bachelor’s Degree in Criminal Justice

The University of Alabama

Bachelor’s Degree in Criminal Justice

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Analyst Sanctions Resume Examples & Samples

Distribute BA Compliance Manual, updated with the latest sanctions Compliance processes and methodologies
Distribute Group Sanctions compliance Policy and documentation
Maintain logs, distribution logs, and version control of policy, procedure and related documents (electronic and manual)
Provide support for and help drive various compliance projects
Maintain logs of Sanctions breaches and fines and report to the BA Regional Sanctions Manager where appropriate
Provide appropriate information to the BA Regional MLRO and Sanctions Manager by collating appropriate, accurate and reliable MI to effectively manage compliance risks
Evaluate and challenge information received from the country MLRO’s with the objective of achieving continuous improvement in compliance
Follow up on the implementation of action plans to resolve any issues identified in any BIA audit of Sanctions and monitor completion of remedial activities keeping the BA Regional Sanctions Manager abreast on progress made
Monitor and report on remediation activities
Maintain central log of any dispensations or Waivers to the Sanctions policy for BA and track and notify the BA Regional Sanctions Manager of the expiry dates of dispensations and review dates of Waivers to ensure the timeous renewal and re-negotiation with the Group
Report and escalate all Sanctions compliance risks, issues and audit findings/issues arising from the BA businesses promptly and appropriately in accordance with Group and local legal and regulatory requirements
In relation to breaches, dispensations and waivers to the Group Sanctions Policy ensure appropriate investigation of the issues, escalation to Group Compliance, drafting of quality detailed reports. Liaise between Group Compliance and country MLROs and track completion of remedial actions related thereto until closure
Keep the BA Regional Sanctions Manager informed on sanctions compliance matters which may pose financial or reputational risks for the business
Respond promptly to information requests from the BA Regional MLRO, Country MLRO’s and BA Financial Crime Units
Provide appropriate information to the BA Regional Sanctions Manager on a daily, weekly and monthly basis by collating appropriate, accurate and reliable MI to effectively manage compliance risks
Support the BA Regional Sanctions Manager by ensuring the effective coordination of information on a continuous basis
Establish close working relationships with the country MLRO’s and Country HOC to ensure required sanction related information is retrieved
Liaise with and assist the Regional Sanctions Manager throughout BA and act as point of reference for procedural queries, audit findings/issues and breach, dispensation and waiver requests
Discuss emerging or current issues with country MLRO and HOC and escalate or resolve these issues where possible
Relevant tertiary education/ professional certification
Minimum of 3 years’ experience, preferably in Compliance, Operational Risk or Audit in a combination of banking, regulatory, consultancy/professional environment
Legal or Governance or Risk management or Compliance qualifications
Specialist knowledge of Sanctions Policies and procedures
Advanced user of Microsoft Office, particularly Excel, Word, Outlook email, Internet

Senior Analyst, Central Sanctions Unit Resume Examples & Samples

Knowledge of the USA Patriot Act, Bank Secrecy Act, anti-money laundering legislation, the OFAC SDN list and purpose, HMT and EU sanctions, and OFAC regulations
Experience with customer and payment case investigations derived from sanctions, and the ability to build case rationale and evidence
General regulatory knowledge of CIP/KYC requirements for customer on-boarding is a plus
Familiarity with FircoSoft screening and Pegasystems case management tool is a plus

Level Sanctions Analyst Resume Examples & Samples

Identify repetitive false hits
Analytical and deductive reasoning skills
Ability to work in high-volume, high pressure processing environment
Related experience in funds transfer and/or sanction screening
Strong computer skills including Word and Excel

Sanctions Analyst Resume Examples & Samples

Act as a Sanctions Analyst from Sunday – Thursday from 3:00 p.m. – 11:00 p.m. shift
Ensures all False Positive Matches Sanctions transactions and payments are processed in accordance with the AML Compliance, Governance, Economic Sanctions internal policy, AML Regulatory requirements, CPA, LVTS, SWIFT and Banking Arrangement guidelines to avoid reputational risk, eliminate/minimize interest claims and potential losses to the Bank and escalate all “Positive Matches” transactions to AML Economic Sanctions & AML Payments team as required
Zeror Errors and adhere to the overall business KPI requirements of 12.5 per month
Adherence to internal quality assurance
Mitigates Operational/Transactional risk through proactive measures i.e. being aware of various cut-off times, accurate processing and verification of payments
Provide back up in performing the FT BESS Beginning of Day process
Responsible for providing a high level of service and support to a global client base by consistently meeting measurable Service Delivery Standards
Provide highly effective day-to-day support on all electronic and manual processes in Payments Processing
Carry out responsibilities in accordance with established department benchmarks per functions, while adhering to all relevant procedures and guidelines including SWIFT, LVTS, CPA and Sanctions etc
Provide training support for Sanctions positions in Payments Processing as well as cross-training, external job shadows, and product knowledge sessions
Actively identify process improvement initiatives, implementing solutions, while maximizing productivity and resources
Work closely with peers and Managers, Team Leaders and service partners; establishing collaborative working relationships to enhance the customer experience and minimize costs
Mitigates Operational/Transactional Risk through proactive measures, reporting any suspicious transactions to a designated UTR (Unusual Transaction Reporting) within the Payments Processing & Operations Centre
Responsible for the development of a continuous learning philosophy by enhancing competencies and continuously improving skill-set through documented self-development plans (RBC Campus cross-training, videos, books etc…)
Responsible for Wire Payment and CLS processing, by providing significant level of service and support to an international/domestic client base of Strategic/Relationship/Core/Global Financial Institutions Banks by consistently meeting Service Delivery Standards, within established Service Level Agreement
Ability to independently resolve high risk/high impact situations ensuring business decisions including critical/contingency situations are made on behalf of RBFG and escalate to appropriate parties
Participates in the execution of regular Business Continuity testing [i.e. LVTS, DRP, SWIFT, etc] with Bank of Canada, CLS Bank and the Canadian Payments Association as required
Assist in documentation and or provide feedback to enhance and maintains operational manuals, process maps, & system documentation as part of continuous learning philosophy
Provide backup and be able to perform the duties of Payments Exception [PEXC] officer as and when the need arises
Promotes an environment of open, two-way communication, fostering group identity, diversity and teamwork by leading through example
Posting end date: February 26th 2015 ***

Level Sanctions Analyst Resume Examples & Samples

Strong data entry skills and exception attention to detail
Exemplary interpersonal and customer service skills
Fundamental understanding of FED, CHIPS and SWIFT payment formats
Flexible and adaptable, able to multi-task and prioritize in a high pressure processing environment
Must be able to work with Excel, Access and Word
Prior payment processing and banking experience a plus
College Degree or equivalent work experience required Hours: M-F 9am-6pm

Level Sanctions Analyst Gpo Resume Examples & Samples

Review and action payment transactions held for sanction related matches
Prepare and compile reports
Identify opportunities for process improvement and follow through on implementation
Self-motivated with strong time management skills
Banking and payment knowledge including Swift, FED, Chips is preferred
Understanding of regulatory practices in AML, OFAC and sanctions is preferred
Flexible and able to shift between different functions quickly and efficiently
Must be able to work occasional weekends

AML & Sanctions Risk Analyst Resume Examples & Samples

AML & Sanctions Investigations & Reporting - Suspicious Matter Reports and liaison with AUSTRAC
Transaction monitoring, high risk customer profiling and
Assisting in developing and implementing an effective AML program
Acting as a point of contact for AML related queries from the business
Monitoring, assessing and reporting on AML risks, breaches and incident management
Challenging and educating business units on regulatory change and best practice

AML / Sanctions Analyst Role Resume Examples & Samples

Assist in maintaining an effective AML & Sanctions framework
Keep abreast of changes in local regulatory requirements and Group AML policy
Review transaction alerts and assess for potential money laundering activities
Conduct investigations of suspicious transactions
Perform periodic reviews to ensure compliance with money laundering, due diligence, know-your-client (KYC) processes, sanctions and transaction monitoring regulation
Develop, deliver and track AML/CTF and Sanctions training for Hong Kong
University graduate, preferably in a finance or accounting related discipline
Knowledge of HKMA and SFC regulations and rules
Self motivated and hardworking with a strong sense of commitment and responsibility

Sanctions Analyst Resume Examples & Samples

Management of Risk
Observation of Internal Controls
Strong analytical, numeric and problem solving skills
Grasp of sanctions and the importance in ensuring compliance with regulations
Fircosoft experience/knowledge desirable but not essential
Have the ability to build effective relationships
Enjoy working as part of an international team
Be proactive and aspire to excellence
Have strong communications skills, both written and verbal
Reporting and presentation skills as required

Senior Analyst FCC Sanctions Alert Investigations L COE Resume Examples & Samples

Knowledge of SWIFT messages (preferred but non-mandatory)
Experience within the financial services industry
High level of English language skills
Experience in a QA or team lead role (preferred but non-mandatory)

Sanctions Analyst Resume Examples & Samples

Provides consultation on Sanctions compliance to appropriate line managers, business compliance officers and other business partners responsible for BOTW’s compliance with Sanctions rules and regulations
Implements compliance policies and procedures developed by the BSA/AML Sanctions Organization
Assists and supports the independent reviews by Internal Audit and Compliance Quality Assurance Testing and actively engages in any corrective action taken under the direction of the Sanctions Officer
Identifies Sanctions training needs for different employee groups. Conducts specific compliance training for various groups including employee staff and consultants
Provides and communicates Sanctions matters to internal BOTW staff
Produces forms and related operational procedures to ensure compliance with BSA/AML Sanctions program, for approval by the appropriate senior compliance officer
Manages and updates Sanctions related databases from external and internal sources to meet regulatory expectations and requirements
Acts as the subject matter resource on assigned Sanctions related laws and regulations, keeping abreast of all developments impacting assigned regulatory landscape
Provides information to support the Bank’s management information reporting for senior compliance leadership
Performs special projects regarding Bank compliance activities which may require research and analysis, including the preparation to senior compliance leadership
Participates and supports BOTW project management efforts assessing compliance implications involving product, service and systems development
Assists the Sanctions Officer in preparation and ongoing support for regulatory examinations
Bachelor’s Degree or equivalent combination of training
Direct and applicable Sanctions Compliance experience
Certification, National Compliance School
Industry certifications such as CAMs certification from ACAMS
Five to seven years internal audit, credit review, compliance, or regulatory experience
Strong knowledge of general banking with an understanding of deposit, lending and alternative investment products
Strong knowledge and expertise of Sanctions laws and regulations
Strong interpersonal skills for coordination/liaison functions
Strong writing skills for composition of reports
Bank and product knowledge
Compose letters/memorandums
Planning and organizing
Use personal computer and MS products

Analyst, Sanctions Resume Examples & Samples

Review all SWIFT messages referred for manual review by the sanctions filter
Review all customer account scanning results and investigate and escalate any possible hits
Ensure adherence to existing standard operating procedures during designated shifts to protect against possible sanctions breaches
Identify risk factors affecting customers and the business, and ensure appropriate rules and procedures are in place to minimise the impact of identified risks
To ensure the highest level of compliance with the relative acts which are attributable to this process
Any possible matches that require further investigation are to be immediately escalated as per the business processes agreed
A sound understanding of SWIFT and a thorough knowledge of all aspects of International Banking including trade and clean payments
The Analyst will require the skills necessary to assess information within a SWIFT message and relate it to the likely match against the sanctions filter
Basic investigative skills will be required along with use of tools supplied to assist in this task
To be able to communicate with a supervisor and relay information in a timely manner

Gpo-level Sanctions Analyst Resume Examples & Samples

Investigate and obtain additional information to make a sound decision
Engage and escalate to various compliance and AML teams when appropriate
Understand payment processing and formats

Sanctions Analyst Resume Examples & Samples

Responsible for the Live monitoring of payments and messages via the banks OFAC filtering system to ensure all transactions are in compliance with OFAC regulations and AML policies
Perform daily testing of payments, messages and OFAC stripping reviews
Review escalations from the Client On- boarding team pertaining to new and existing Counterparty relationships
Perform screening of customer lists against OFAC SDNs and prepare reports as needed
Provide guidance and expertise to other associates/analysts within the group and other business units
Update OFAC hit log and daily OFAC outstanding items log as needed
Assist the Sanctions Program Manager with updates to the OFAC policies and procedures
Participate in user acceptance testing of a new tool to measure the systems efficiency prior to go-live
Secretary to bi-weekly conference calls with the operations, cash management and compliance teams
Participate in Ad-hoc management requests with relation to Global Sanctions
Stay abreast with new laws and regulations that involve Global Sanctions Compliance
Other duties assigned by management

AML & Sanctions Analyst Resume Examples & Samples

New client screening – screening of clients using World Check, Lexis Nexis databases – process and investigate RTS related alerts generated by the Barclays surveillance tools. Escalation to MLRO as required
Sanctions Screening controls – process and investigate any Sanctions related alerts generated by the Barclays surveillance tools. Escalation to MLRO as required
Transaction surveillance – process and investigate AML related alerts generated by the Barclays surveillance tools. Escalation to MLRO as required

Analyst, In-country Sanctions Singapore Resume Examples & Samples

Designated individual responsible for OFAC and local sanctions compliance in the country
Develop and implement procedures and processes in partnership with the LOB to comply with the GSC Program and Standards
Communicate any changes in the Global Sanctions Compliance (GSC) Program to the Line of Business Sanctions Officer (LSO), the Regional Sanctions Officer (RSO), as well as all employees within the booking location
Serve as a single point-of-contact for the booking location for all sanctions related updates and issues
Internal controls for sanctions compliance, including screening of customers and transactions, as appropriate, and ongoing sanctions list management applicable to location/legal entity
Performing research on prospective and existing clients as well as related parties to identify and analyse a sanctions nexus
Blocking and rejecting accounts & transactions (OFAC and local Sanctions)
Reporting of true match, blocked or rejected transactions (OFAC and local regulator)
Other Reporting requirements (e.g. Sanctions Breaches, collaboration with ICSO on sanctions violations that warrant potential SAR filing)
Assisting with Regulator or Law Enforcement requests for information
Written sanctions policies and standards in collaboration with the RSOs
Assisting the LOB and RSO with completion of sanctions risk assessments, certification, and validation protocols
Provide comprehensive and ongoing training to LOBs within the country in collaboration with the RSOs
Ensure effective monitoring, including timely updates to the sanctions screening filter
Provide support on periodic/independent testing
Assist in implementing OFAC/Sanctions initiatives including quality assurance, policy reviews and advising on establishing screening procedures within the businesses
Escalating all sanctions escalations to the LSOs and RSOs related to their specific booking location
Attending regional forums to address all Lines of Business and country sanctions issues or updates
Working with non-U.S. regulators with regard to authorizations, reporting and guidance under non-U.S. sanctions laws
Advising, reporting and resolving non-U.S. sanctions issues in conjunction with the RSO and LSO and the local Legal teams as appropriate in the region
Identifying all screening instances within the country in partnership with the LSO and LOB to report to the RSO
Assisting in local list management and new request submission

Sanctions Senior Analyst Resume Examples & Samples

Leading of most important projects
Faceoff to Compliance, regulator, Audit, serviced branches
Analysis preparation and presentation for senior management, regulator and serviced branches
Maintenance and tracking of metrics and relevant MIS (end to end MIS management and preparation)
Assisting with ad hoc requests received in relation to Citi’s Global Sanctions Screening Policy and applicable sanctions programs
Assist management in meeting Department goals where necessary, i.e. client & audit requests
Strong involvement in daily operational activities
Maintaining up-to-date knowledge and expertise in the sanctions regulatory environment
Displays an awareness of the risk and controls that exist within their section and will implement corrective actions when gaps identified
During challenging times, will champion the Business needs
Coordinating training and coaching new staff
Required to manage work-flows for the team

Sanctions Analyst Resume Examples & Samples

Bachelor’s degree or 1 to 3 years relevant banking or compliance experience
Ability to comprehend and adhere to Federal and State banking regulations, Company policies and procedures, and successfully participate in regulatory and Company training requirements via multiple and variable delivery methods
Strong PC skills including but not limited to Windows 2013 or higher, Microsoft Word, Excel
Excellent organizational skills and acute attention to detail
Self-reliance and willingness to "own" problems and creatively find solutions
Spanish speaking preferred, but not required

Analyst FCC Non-sanctions AML Name Screening Resume Examples & Samples

Where necessary, escalation of AML as well as FCC-related issues is required to Senior FCC managers
Provide highly professional, competent and skilled service to the FCC function
Bachelor degree preferred or equivalent experience. Association of Certified Anti-Money Laundering Specialists (ACAM) accreditation certificate an asset
Familiar with the following programs World Check, SCION, Client Connect
Understanding and knowledge of HSBC’s activities, products, processes and systems would be preferred
Ability to adapt to changing work and demands
Professional conduct

Sanctions Analyst Resume Examples & Samples

1 to 3 years relevant banking or compliance experience
Candidate must have strong written/verbal communication, solid high volume processing and analytical skills with the ability to work independently on multiple assignments in a deadline driven, regulatory environment
Self-reliance and willingness to creatively find solutions

Country Sanctions Analyst Resume Examples & Samples

Excellent interpersonal skills and the ability to interface and partner with Citi businesses in Singapore
Strong analytical and research skills, with keen attention to detail
The ability to work effectively (both autonomously and as member of dynamic team) and manage multiple/varied projects simultaneously
Effective communication skills, both written and oral, particularly in the context of delivering clear and concise advice, recommendations and/or feedback
Advanced proficiency in Microsoft Word, Excel, PowerPoint, and Outlook
Conducting investigations, including open source research, with the aim of dispositioning potential sanctions matches
Familiar with AML/sanctions typologies and risks associated with banking

Sanctions Analyst Resume Examples & Samples

Timely analysis of potential matches through interdiction software platform
Thorough documentation of the review supporting the decision to release, block/reject or escalate the activity for further review
Adhere to bank policy, procedure and regulatory requirements and to maintain a strict level of confidentiality
Assist with 314(a) searches, PEP screening and negative news searches, as assigned
Work in a team oriented and collaborative environment to ensure overall unit goals and deadlines are met
Establish working relationships with key business partners across all lines of business
Provide support and guidance to the bank’s operational areas and assist with implementation of Sanctions related programs
Assist with special projects and data gathering for audit and/or regulatory purposes
Assist with internal audit and federal regulatory examinations
3+ years experience with audit, financial investigations, or the broader banking industry
Associates Degree (AA) preferred OR High School Diploma/GED
CAMS Certification preferred
Experience with list screening operations
Familiarity and understanding of OFAC sanctions programs, 314(a) and (b) and PEPs
Knowledge of bank products including deposit, lending, ACH, ATM, RDC and correspondent banking
Ability to meet regulatory deadlines with a sense of urgency while maintaining a high level of professionalism
Working knowledge of OFAC/Sanctions interdiction software and/or case management software a plus
Advanced knowledge of Microsoft Office, including WORD, EXCEL, and POWERPOINT

Sanctions Project Analyst Resume Examples & Samples

Act as liaison between Risk, Compliance, Legal, Business, Operations and Technology for projects
Perform detailed Business Analysis as needed
Maintain Key Risk & Performance Indicators
Participate in meetings with stakeholders to address issues/CAPs
Understand sanctions compliance risks inherent in the business and the regulatory environment in which the business operates and, where appropriate, review and utilize Citi’s Enterprise-Wide OFAC Risk Assessment (EWORA) to monitor Business risk and enhance the control environment
Work with stakeholders to ensure project scope definition to meet business objectives
Identify risks which impact program and project deliverables

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