Advisory Officer Resume Sample

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Kyle Effertz
4784 Morar Point,  Philadelphia, PA
+1 (555) 864 2055

Work Experience

Director Criteria Advisory Officer Corporates & IFR
03/2017 - PRESENT
New York, NY
  • Experience in the area of anti-money laundering / sanctions within a large financial institution
  • Risk and process oriented thinking
  • Work with Surveillance team on all the background review/surveillance work each time a regulatory inquiry of transactions occurs. The includes inquiries from exchanges (e.g. SGX/CME) or regulators (e.g. CFTC, MAS)
  • Work with Surveillance team on the conduct of trade surveillance (in FX LM & G10), and electronic communications surveillance on FXLM,, Rates & G10.
  • Advise Permanent Control team on how to go about conducting compliance reviews and controls testing of business
  • Performs on-site visits to high-risk customers to assess the compliance and financial crime risk posed by the customer’s business, operating methods, AML and fraud controls, products offered and the customer’s client base
  • Ensures that the high-risk customer information maintained in the Bank’s automated customer risk assessment system is up-to-date
  • “LIVE” the Bank’s Mission Statement and “PRACTICE” the Bank’s Corporate Strategy
Compliance Advisory Officer
04/2010 - 12/2016
Philadelphia, PA
  • Anticipate and advise the country business managers and the Regional Compliance Officer of significant regulatory developments relating to GCB KYC
  • Keep the Regional Compliance Officer aware of the country AML initiatives pertaining to KYC, Name search, screening
  • Develop and implement country compliance AML KYC policies and procedures and guidelines to promote compliance with requirements to ensure policies and procedures are aligned with Citi policies, US and local regulations
  • Conduct AML Compliance training tracking of the business and global function to ensure all the relevant AML Compliance trainings have been fully attended and/or completed
  • Advise businesses and global functions on the Anti-Bribery and Corruption (“AB&C”) Policy and related procedures, other AB&C issues, and AB&C regulatory requirements, and escalate to AB&C Compliance, as appropriate
  • Stay abreast of and communicate developments in AB&C internal requirements, guidance, laws, and regulations
  • Review and approve the maintenance of the GI Ignorant List
  • Other administrative tasks as assigned by the Country AMLCO
  • Ensuring that the PTRs for FCB, MSB and Embassy clients are completed in accordance with Citi AML policies and procedures.
United Kingdom Anti-money Laundering Advisory Officer
08/2003 - 11/2009
San Francisco, CA
  • A challenging role within of a group of specialists responsible for the global development and implementation of the Bank’s compliance programme relating to AML laws and regulations, including the laws of the United States, Switzerland, the United Kingdom, the European Union, Hong Kong and Singapore
  • Conducting gap analysis’s against Global Financial Crime related Policies
  • Ensures Citi’s adherence to applicable AML laws and regulations in EMEA with the development and implementation of a business-specific Regional AML Program
  • Providing advice on all features of relevant Compliance procedures and policies
  • Providing UCITS Eligible asset advice to the business and Portfolio Compliance team
  • Representing Compliance in new fund launches, closures and key amendments
  • Investment policy interpretation
  • Oversight of Regulatory filings and compliance with jurisdictional requirements


Northwood University - Florida Campus
1998 - 2002
Bachelor's Degree in Finance

Professional Skills

  • Excellent interpersonal skills, including verbal and written communications
  • Strong analytical skills and ‘big picture’ perspective
  • Strong IT skills would be highly desirable, including Sharepoint, Excel and PowerPoint
  • Problem solving skills as well as flexibility and adaptability
  • Proven experience of Financial Services preferably within Compliance, Risk or Legal or a demonstrable interest
  • Good oral and written communication skills, with the confidence and ability to communicate internally and externally with a variety of stakeholders
  • Maintaining a strong working knowledge of the regulatory and exchange rules and regulations applicable to the business line

How to write Advisory Officer Resume

Advisory Officer role is responsible for retail, finance, training, database, auditing, trading, reporting, design, compliance, events.
To write great resume for advisory officer job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Advisory Officer Resume

The section contact information is important in your advisory officer resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Advisory Officer Resume

The section work experience is an essential part of your advisory officer resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous advisory officer responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular advisory officer position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Advisory Officer resume experience can include:

  • Strong Microsoft application knowledge. Excel, Word, Access, and Outlook
  • Ensuring that the business conducted is in compliance with the UK AML regulations and the Bank’s AML policies
  • Provide training to enhance analytical practices’ criteria processes, understanding, communication, application and documentation
  • Manages action plan log of regional-wide Issues for tracking and reporting
  • Provide reporting/escalation on compliance programs and risks to Corporate Compliance Management
  • Extremely detail oriented and comfortable working both independently and in team settings

Education on an Advisory Officer Resume

Make sure to make education a priority on your advisory officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your advisory officer experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school

These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Advisory Officer Resume

When listing skills on your advisory officer resume, remember always to be honest about your level of ability. Include the Skills section after experience.

Present the most important skills in your resume, there's a list of typical advisory officer skills:

  • Good understanding of Fixed Income activities
  • Coordinates and consolidates crucial monthly Management Information reporting for the AML workstream, as well as identifies key AML risk trends where relevant
  • Working experience in Finance
  • Develop and manage strong working relationships with business units
  • Assist and/or own the collation and validation of Compliance Reporting to Legal Entity and Line of Business governance forums
  • Previous compliance advisory experience

List of Typical Skills For an Advisory Officer Resume


Skills For Compliance Advisory Officer Resume

  • Manage workload and shift priorities to meet deadlines in a dynamic and rapidly-changing environment
  • Good product knowledge (Equities and/or Fixed Income)
  • Adopts the key Business Unit Coordinator role on annual firm-wide AML risk assessments to validate the Assessment Unit Respondents’ input
  • Knowledge of existing EU directives relating to financial services
  • Exposure to upcoming EU regulation is recommended
  • Knowledge and understanding of compliance/ AML policies and standards
  • Self-directed and work driven, engaging well with peers and seniors

Skills For Director Criteria Advisory Officer Corporates & IFR Resume

  • Knowledge and understanding of AML/KYC compliance and AB&C policies and standards
  • Coordinates trainings on regional AML topics in coordination with Country MLROs (excluding in-country trainings to be hosted by Country MLROs)
  • Coordinates the semi-annual Country Fincrime briefing forums/governances in Asia
  • Works across clusters for strategic AML projects and assessments to ensure best practice and knowledge sharing across business units
  • Provide weekly status report of all activities to Manager- Compliance Training and Documentation
  • Communication and interaction with compliance colleagues in France, US and Asia
  • Work well in a team, is proactive and interface and partner with Control and business/ functions across sectors businesses
  • In a foreign bank’s compliance/AML area

Skills For AML Advisory Officer Resume

  • Commitment to the principles of the AML regime
  • Drives regulatory gap analyses to regularly review and/or update Asia Country AML/CFT Framework programs and related KYC Appendices for regional consistency
  • Manages and coordinates audits (internal/external) and regulators inquiries and examinations in coordination with Country MLROs
  • Reviews AML risk control and self assessment for Asia
  • Conduct necessary investigations on and respond to STR referrals/law enforcement orders received for Asia in coordination with relevant Country MLRO, and consults RMLRO of the investigation outcome for a decision on to file STR or not
  • A very well organised individual, with the ability to handle multiple competing priorities
  • Conduct enhanced due diligence reviews on high risk client referrals as and where required
  • Participation in internal business/governance meetings and represent BNY Mellon externally as required
  • Critically review and analyse varied materials and identify details for focus and/or challenge

Skills For United Kingdom Anti-money Laundering Advisory Officer Resume

  • Professional with MS office
  • Assist with Compliance Risk Assessments of business units and programs
  • Provide expert regulatory advice, challenge and oversight on compliance matters to business units
  • Work with Compliance Assurances on action plans designed to address regulatory findings and track timely remediation of regulatory issues
  • Advise business units on options for remediating regulatory compliance issues identified through self-assessments, compliance monitoring, compliance control testing, internal audits and regulatory examinations
  • Assist with Third Party Vendor Risk Assessments on compliance related items
  • Serve as compliance representative and advisor for assigned new business initiative and special projects

Skills For Fixed Income Compliance Advisory Officer Resume

  • Provide status reports on assigned initiatives and special projects
  • Collaborate across Texas Capital Bank Compliance to synthesize and communicate a comprehensive view of regulatory risk to lines of businesses
  • Provide weekly status report of all activities to Manager- Compliance Advisory Services
  • Stay current on the regulatory environment and expectations through discussions with peers, seminars, webinars, roundtables, bankers associations, etc
  • Specific knowledge of risk management, bank operations, products and services, or regulation
  • Write reports and create presentations for executive management and external stakeholders

Skills For Trade Finance Advisory Officer Resume

  • Take a leading role in helping to manage our relationship with EMEA regulators, in particular the UK. This includes regulatory correspondence, attending meetings with regulators, meeting write-ups and tracking of any actions arising
  • Ensure items for escalation, significant issues and/or other items of notes are recorded in the central database and highlighted to senior management/colleagues as required
  • Assist with development of compliance related training
  • Deliver in person training to various business lines as needed
  • Review and approve marketing items for regulatory requirements

Skills For Compliance Advisory Officer Fixed Income Resume

  • Assist with review of Line of Business procedures for regulatory requirements
  • Create compliance related communications for distribution to bank employees
  • Assist with development and oversight of bank Record Retention Requirements
  • Maintain regulatory compliance policies and update as needed
  • Develop and maintain the applicable Compliance Programs to ensure policies and procedures are current and reflect regulatory and process changes
  • Collaborate with the lines of business and operational areas regarding implementation of regulatory changes, and provide guidance and support on projects and process enhancements

Skills For Senior GM Compliance Advisory Officer Resume

  • Analyze regulatory changes and develop summary of requirements and impacts to the Bank
  • Evaluate policies, procedures, and controls to identify risks and work with impacted areas to develop corrective action or performance gap closure
  • Assist in the coordination of audit and exam materials
  • Stay abreast of regulatory changes and industry trends
  • Working knowledge of all consumer protection laws and regulations, including but not limited to: Regulation CC, Regulation D, Regulation E, Regulation DD, Regulation O, Regulation W, FHA, HMDA, UDAAP, TILA, FCRA, FDCPA, SAFE Act, CRA and RESPA
  • Effective project management skills to lead and contribute to regulatory implementation projects
  • Strong research, analysis, problem-solving, and decision-making skills with ability to identify compliance risks and issues for escalation to management, as necessary
  • Serve as a subject matter expert, including but not limited to consumer lending and deposit laws and regulations, Community Reinvestment Act (CRA), and fair lending laws and regulations to develop and execute training, contribute to the Bank’s Compliance Risk Assessment, and other activities necessary to maintain a satisfactory Compliance Risk Management Program

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