AML Compliance Resume Sample

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Valentin Denesik
34025 Doyle Turnpike,  New York, NY
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Work Experience

AML Compliance Manager
12/2016 - PRESENT
Detroit, MI
  • Monitor the TS businesses’ compliance with laws and regulations, identifying weaknesses and developing remedial programs
  • Implements and maintains continuous improvement of AML and Sanctions Program
  • Coordinates the execution of strategic AML and regulatory imperatives as designated by the AML Director
  • Ensures timely response and remediates compliance program deficiencies identified in Regulatory reports and Audit/ Management Self Identification Issues, e.g. Supervisory Letter, Responses, Remediation Report, Matters Requiring Attention, AML Compliance Report to the businesses
  • Reviews management information to assist in the pro-active identification of trends and recommendations for remediation. Performs quality control by vetting and analyzing MI, reports and metrics provided by lines of business and AML function
  • Facilitates management of regulatory initiatives, AML audit findings, enterprise risk assessment findings, operational risks, and oversees the implementation, execution and ultimate remediation of these findings
  • Assists in the discharge of AML Director accountability by pro-actively assisting in identifying and containing compliance risk, undertaking monitoring and reporting functions, fostering a compliance culture and optimizing relations with regulators
  • Drives forward-looking risk information that Compliance and the businesses can use to manage risks proactively before issues arise
Analyst, AML Compliance
07/2012 - 11/2016
Philadelphia, PA
  • Develops a consistent reporting standard, Key Risk Indicators and Management Information and provides same to Regional/ Global Governance Committee
  • Partners with PMO, lines of business, AML Senior management and other stakeholders to prepare briefing notes, prepares or requests required analysis, presentations and reports for AML Director Consumption and recommendations as required
  • Conducts periodic review on key management reportings. Oversees the production quality and improvements for AML Director’s compliance reporting
  • AM - 5PM (Flexibility Required)
  • High
  • Responsible for overseeing the BSA/AML and economic sanctions controls as well as implementing procedures from corporate policies that are related to the Deposits function
  • Manage a team of AML Compliance professionals through engagement and motivation
  • Supervise the implementation of the firm’s Customer Identification Program (“CIP”)
  • Oversee due diligence on new high-risk account relationships, including foreign accounts, for all of the firm’s five business lines
AML Compliance
07/2009 - 02/2012
San Francisco, CA
  • Ensure AML surveillance and due diligence activities are completed and documented in accordance with firm and regulatory expectations
  • Support the AML Compliance team, serving as an escalation point for potentially suspicious activity and transactions
  • Review suspicious activity and suspicious activity reports filed with the government
  • Lead change associated with regulatory changes affecting AML, ensuring firm policies and procedures are up to date
  • Leverage industry best practices by attending conferences, meeting with broker-dealers and other industry groups, and staying current on new laws and regulations
  • Contribute to the firm’s AML continuing education and training program
  • Assist Associate Director – AML Compliance with regulatory requests, audits, and exams related to AML
  • Design, develop, and implement a quality review program


St. Lawrence University
2003 - 2008
Bachelor's Degree in Business

Professional Skills

  • Superior attention to detail, Strong project management skills, Demonstrated leadership skills
  • Strong knowledge of English: Outstanding oral, written, and listening skills to communicate effectively at all levels
  • Communication skills, organizational skills and attention to detail
  • Proven ability in providing superior client service, interpersonal, critical thinking, and active listening and communication skills (verbal and written)
  • Strong drafting / editing skills
  • Strong knowledge of English (Outstanding verbal, written and listening skills)
  • In-depth internet research skills including strong Boolean search capabilities is required

How to write AML Compliance Resume

AML Compliance role is responsible for analytical, compliance, training, listening, microsoft, english, leadership, interpersonal, research, advanced.
To write great resume for aml compliance job, your resume must include:

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

Contact Information For AML Compliance Resume

The section contact information is important in your aml compliance 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 AML Compliance Resume

The section work experience is an essential part of your aml compliance 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 aml compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular aml compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative AML Compliance resume experience can include:

  • Extraordinary oral, written, and listening skills to communicate effectively in Spanish and English at all levels
  • Solid leadership skills and managerial experience
  • Strong analytical skills, attention to details, and independent decision making
  • Lead projects with end-to-end responsibility (thus need strong Project Management skills)
  • Strong project management skills, ability to coordinate global projects with diverse participation
  • Strong analytical skills, able to analyze root causes of AML compliance risk issues

Education on an AML Compliance Resume

Make sure to make education a priority on your aml compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your aml compliance 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 AML Compliance Resume

When listing skills on your aml compliance 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 aml compliance skills:

  • Proven prior experience with suspicious activity reporting within a financial institution
  • Excellent English communications skills. (verbal, written and listening) English level B2+ or above
  • Strong communication and presentation skills in English and Nordic Languages (primarily Swedish)
  • Proven experience in case report writing, FinCEN reporting and supervision of all final suspicious activity reporting
  • Experience analyzing, interpreting, and presenting quantitative and qualitative research and data, preferably related to customer experience
  • Customer service experience in any of the following industries: retail, hospitality, administration, banking with preference for call centre experience

List of Typical Experience For an AML Compliance Resume


Experience For AML Compliance Manager Resume

  • Fluency in English – outstanding verbal, written and listening skills
  • Open to Feedback, People skills, Team player Multitasking
  • Foster a common vision and provide clear direction and common priorities for Anti-Money Laundering Compliance both within and outside the department
  • Develop business cases and management presentations to demonstrate operational, financial and reputation risk to the organization
  • Enjoys investigative work and strong analytical abilities
  • Delivers on time high quality audit reports, IA and Regulatory issue validation, and Business Monitoring reporting
  • Assist with development and testing of the monitoring reports to assess the control environment effectiveness

Experience For Manager, AML Compliance Resume

  • Experience on working with different Systems and Applications environments
  • Proven record of working cohesively with team members and ability to work independently or under low Supervision when necessary
  • Proactively assess team operating effectiveness and efficiency and propose actions for improvements within our own team, as needed
  • Working with Central Compliance to support development and implementation of AML Compliance policies and local policies and procedures where appropriate
  • Tracking of site visit results

Experience For Analyst, AML Compliance Resume

  • Understanding of payments products, services, and operations (or equivalent in other financial services organizations)
  • Uploading of documents and information to databases from due diligence reviews
  • Coordinate, supervise, and support compliance-related programs, such as compliance training, compliance testing and reporting
  • Keep abreast of changes to regulatory and legislative rules and principles including attending lectures, seminars and training courses (where possible)
  • Enhance Business Group’s mutual understanding and consistency in AML risk management and mitigation (eg: policy, screening and searching)

Experience For Director, AML Compliance Resume

  • Support with the development of the annual monitoring and evaluation plan and ongoing tracking of team internal control activities
  • Produce reports containing quality assurance results and associated metrics using established procedures
  • Coordinate with legal counsel and operating departments to ensure adherence to regulations relating to new or revised AML controls and fraud areas
  • SME providing KYC advisory to the GIM client and distributor on-boarding team
  • Assist in the implementation of new KYC system by taking on the following activities
  • Assist in drafting and documenting procedures, policies and processes as necessary

Experience For AML Compliance Screening Analyst Mid-shift Resume

  • Document Management – Including creation of word and excel documents from a guide and uploading of those documents to a shared drive
  • Manage FI Compliance databases/tracking tools related to conducting analysis of FI client risk
  • Generate monitoring and evaluation observations reports clearly and concisely summarizing results
  • 1) Ensure details of consumers are being entered into WU systems properly by analysing data
  • Identify and assess risks relating to the company’s products, platforms, channels, and processes
  • Have day-to-day responsibility for oversight and implementation of the department’s compliance activities with regards to anti-money laundering (“AML”)
  • Assist with development an delivery of Induction and other AML or Financial Crime subject specific training

Experience For AML Compliance Specialist Resume

  • Coordinate OCC requests/ exams, MRAs and Compliance/ Audit testing
  • Take part in enhancing system development
  • Familiar to local AML regulations and keeping up to date with changes in regulations
  • Authority to approve release or alternative action for payment and client screening hits
  • Approval with respect to handling of high risk clients from an AML, CTF, ES and ABC perspective
  • Authority to recommend communication / training requirements for businesses

Experience For Senior Analyst, AML Compliance Resume

  • Make recommendations with regard to the organization structure and staffing for I&TS AML Compliance locally and/or regionally
  • Policy exception approvals relating to I&TS platform (except where CAMLO/PAMLO/MLRO authorization is required)
  • Utilize AML monitoring systems as needed
  • Series 7, Certified Anti-Money Laundering Specialists (CAMS) desired but not required
  • Assist Compliance Specialists with onboarding functions for Alternative Payment programs
  • Interface with internal and external parties in order to coordinate testing activities

Experience For Director, BSA / AML Compliance Program Office Resume

  • Actively participate in and oversee the program’s project portfolio, including but not limited to strategic initiatives and system requirements
  • Oversight of Program including products and tools
  • 2) Plan and book approved travel using WU systems such as Concur
  • Perform quality assurance review in accordance with Compliance policies and departmental procedures within established timeframes
  • Maintain current knowledge of regulations applicable to the business, any business changes as well as pertinent internal regulatory policy and procedural changes
  • Provide insight into quality gaps discovered as part of the quality assurance process and ensure these gaps are communicated to appropriate management and business owners
  • Analyze information gathered to develop recommendations for improvement and changes in current policies and procedures for continued compliance with WU Compliance Policy and applicable regulations
  • Work in partnership with business lines and other control processes, to provide guidance in the identification, assessment, management and resolution of operational risk challenges

Experience For MYS Ctsm Kl-aml Compliance Resume

  • Oversight and examination of Quality and other Control Processes in the lines of business including review and advisory consultation on scope, sampling, testing, reporting and effectiveness of corrective actions
  • Perform quality tests conducted by the lines of business for validation purposes and the performance of discretionary testing as emerging risks are identified
  • Participate in the department’s educational program through bulletins, training sessions, and sanctions or regulatory updates
  • Liaise with the BSA/AML Officer and BSA/AML Officer’s direct reports, business leaders and Business Line AML Officers and Advisors on BSA/AML regulatory changes, trends, industry issues, new products/businesses, policy and procedure documents, and process improvements
  • Utilize a wide variety of research tools, manuals, bulletins, and guidelines for transaction and entity reviews
  • Adherence to the established guidelines and procedures

Experience For WM AML Compliance Resume

  • Ensure that Sanction, Interdictions and PEP cases are correctly referred and appropriately escalated
  • Implement and assist in fraud risk training remediation programs with agents as requested by Fraud Risk Management department (EFRAL, 2+, ad-hoc escalations, etc.)
  • Prepare monthly internal reporting, analytical reports and statistical summaries including, not limited to UTR and LMS dashboards
  • No gambling, gaming or online pharmacies background
  • Review and approve Suspicious Transaction Reporting and related narratives

List of Typical Skills For an AML Compliance Resume


Skills For AML Compliance Manager Resume

  • Strong PC skills including but not limited to Windows 2013 or higher, Microsoft Word, Excel)
  • Experience in AML, or 5 years experience in Fraud, or 5 years experience in investigations
  • Experience in AML, or 3 years experience in Fraud, or 3 years experience in investigations
  • Strong communication skills, self-motivation
  • Fluency in English and Mandarin– outstanding verbal, written and listening skills
  • Demonstrated experience in working in a multicultural team

Skills For Manager, AML Compliance Resume

  • Proven experience in dealing with financial services regulators in Nordic Region
  • Exceptional Auditing and Analytical skills
  • Proven experience in project and people management, strategic planning, risk management and change management
  • Can effectively communicate verbally and in writing to internal and external clients
  • Experience in established financial institution or with regulator (experience in capital markets, stock broking an advantage)

Skills For Analyst, AML Compliance Resume

  • Effectively perform inbound and outbound phone interviews and offline tasks
  • Good understanding of AML issues and risks. At least 7 years’ experience implementing AML/ATF programs
  • Proven experience in complex regulatory environment. (multiple lines of business)
  • Effectively perform quality control over work of others
  • Proven experience working in a multi-national organization
  • Banking and finance experience, preferably gained from working in an Operational capacity and/or Compliance, Internal Audit or in-house Legal, Finance role
  • Preparing the annual BSA/AML and OFAC Compliance Risk Assessment Reports regarding SBUS’ BSA/AML risks and effectiveness of controls

Skills For Director, AML Compliance Resume

  • Experience in AML Compliance, in-depth understanding of anti-money laundering regulations within the banking/financial services industry
  • Experience in anti-money laundering transaction monitoring software systems
  • Experience in driving and managing strategic projects and programs of work
  • Proven track record of moderately complex problem solving and decision-making ability
  • Experience making independent decisions and working with a high level of autonomy
  • Experience in a compliance management role focusing on anti-money laundering responsibilities
  • Experience creating and populating Regulatory Reports: Unusual Transactions, 24 Unusual Transactions, Internal Worrisome Reports, etc

Skills For AML Compliance Screening Analyst Mid-shift Resume

  • Knowledge of relevant legal and regulatory environments and experience in managing implications
  • Relevant experience in AML Compliance, Risk Management, Testing or Audit
  • Demonstrated ability to challenge the status-quo and champion best-in-class solutions and problem-solving
  • +4 years of experience in internal audit, quality assurance, quality control, internal controls testing, risk management, or Compliance
  • Experience of dealing with regulators
  • Strong understanding of BSA/AML and OFAC regulations
  • Extensive experience drafting policies, procedures, and programmatic documents
  • Experience in working on dynamic and multifaceted projects

Skills For AML Compliance Specialist Resume

  • Working experience in the areas of AML/KYC and Compliance
  • Strong knowledge of Microsoft Suite Products including Excel, Word, PowerPoint, and SharePoint
  • Experience conducting public database and adverse media research
  • BSA/AML experience, including management of a team

Skills For Senior Analyst, AML Compliance Resume

  • Knowledge in banking/brokerage products (experience in brokerage on AML/CFT and knowledge of SGX rules is an advantage)
  • Experience in dealing with Regulators or Audit (internal and external)
  • 3 Qualifications: At least 2 year of experience in operations team is desirable
  • Experience in a Compliance, Internal Audit or Risk Management position within the financial industry
  • Previous work experience in BSA/AML/OFAC Compliance field
  • Maintain a broad knowledge other firm's business and the regulatory framework in which it operates
  • Securities Broker-Dealer industry experience
  • Law enforcement or white collar crime enforcement experience

Skills For Director, BSA / AML Compliance Program Office Resume

  • Recent experience with Customer Identification Program laws and regulations
  • Experience in AML/KYC within a financial services firm
  • Experience in Compliance and financial services
  • Excellent command in English and Chinese (both written and spoken)
  • Assess the quality and effectiveness of the bank’s BSA/AML and OFAC Compliance control programs
  • Knowledge of French, Spanish, Arabic or German languages is a strong advantage
  • Experience in ROC Compliance Operation area

Skills For MYS Ctsm Kl-aml Compliance Resume

  • Experience in customer service and/or AML Compliance would be an advantage
  • Complying with rigid schedule adherence requirements to deliver ongoing support 365 days a year
  • Typing speed of 30 words per minute is desirable
  • Understanding of both internal business drivers and industry dynamics
  • Working knowledge of audit review process and procedures, BSA/AML compliance and regulatory issues related to the department and/or company

Skills For WM AML Compliance Resume

  • Working knowledge of Bank Secrecy Act, Patriot Act, FinCEN
  • Working knowledge of MS Word, Excel, and MS Access
  • Understanding or risk management principles
  • Making sure that the banks AML/BSA and OFAC risk controls are in compliance with the Federal Reserve Bank’s supervisory regulations and standards
  • During the fieldwork, evaluate internal controls and identify deficiencies and anticipate and provide solutions to complex issues
  • In-depth understanding of anti-money laundering regulations within the banking/financial services industry
  • Accurate documentation and record keeping within multiple systems to ensure end to end visibility and case decision making across the compliance programs
  • Continuous learning of a rapidly changing regulatory / operations environment and application of industry’s best practices

List of Typical Responsibilities For an AML Compliance Resume


Responsibilities For AML Compliance Manager Resume

  • Lead audit engagements as outlined above covering the CCB businesses including risk assessment, audit planning, audit testing, control evaluations, report drafting and follow up and verification of issue closure. Ensure audits are completed timely and within budget
  • Work closely with CCB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
  • Banking or financial services experience within AML and/or fraud investigations to include 4+ years people management experience
  • Proven experience in currency transaction reporting
  • Prior supervisory experience in coaching fraud and AML investigators

Responsibilities For Manager, AML Compliance Resume

  • Banking or financial services experience within AML and/or fraud to include 4+ years people management experience
  • Proven experience advising product managers on changes, updates and compliance regulatory guidance within lines of business
  • Fluency in English and Indonesian Bahasa (Indonesian Language) – outstanding verbal, written and listening skills
  • Maintain prompt reporting and good relationships with regulators, law enforcement authorities and WU network agents
  • Experience within the Gaming/Hospitality industry
  • 2+ years relevant experience in corporate AML/fraud investigations
  • Investigating and reporting unusual consumer activity
  • Working under the supervision of the Head of AML Europe to develop the Financial Crime framework in Europe
  • Advising Manager, Compliance any identified non-compliance with AML or regulatory requirements

Responsibilities For Analyst, AML Compliance Resume

  • Assist in addressing escalations from stakeholders locally and offshore, in relation to transaction monitoring and sanctions screening tasks
  • Liaise with Client On-Boarding team and QA roles for oversight of AML controls in respect of new business including management of exceptions
  • Contribute to the development and maintenance of US Bank’s AML/KYC framework; managing and reporting on Business Line execution efforts
  • Provide governance, oversight and SME support for all Country GBRCs including conducting Quality Assurance over the administration of Country GBRCs
  • Expert in monitoring and analyzing Consumer behavior based upon scarce data

Responsibilities For Director, AML Compliance Resume

  • Maintain a working understanding of WU Case Management Systems and future development projects
  • Promote continued development of AML staff through coaching and training
  • Assist in conducting AML/CTF program reviews of our correspondent banking relationships – this includes Financial Institutions which are clients of WUBS
  • Assist in providing coaching to the compliance analyst in coordination with the Compliance Manager
  • Prepare proposals, presentations, internal compliance related documentation, training and a variety of other agent facing communication
  • Use various business intelligence tools including Business Objects, MS Access Tableau and/or SQL leading to successful business intelligence solutions

Responsibilities For AML Compliance Screening Analyst Mid-shift Resume

  • Serves as a critical role in ensuring TD Ameritrade's ongoing compliance with highly scrutinized and visible rules and regulations
  • Quarterly reporting to US Risk and Executive Committees, as well as input to overall Board Reporting
  • The role derives from statutory obligations under the Criminal Justice (Money Laundering and Terrorist Financing) Acts 2010 and 2013
  • Be responsible for providing support on anti-money laundering (AML) compliance program
  • Consider and determine approval of payments on accounts related to ongoing investigations that have been restrained
  • Assist with ongoing regulatory investigations, inquiries, production orders and litigation requests

Responsibilities For AML Compliance Specialist Resume

  • Ensure that issues arising from QA reviews, Investigations and any other source are escalated, where appropriate, to senior compliance and business management
  • Assist the Senior Manager with UTR/SAR management and other reporting requirements to local regulators
  • Maintain the HR and PEP register for jurisdictions that the FIU support Assist the Senior Manager and MLRO with drafting Business Risk Assessment
  • Assist the Senior Manager and MLRO with drafting Business Risk Assessment
  • Support preparation of AML/CFT compliance reporting to relevant business and management forums
  • Support preparation of AML/CFT compliance reporting to relevant business and management forums and global compliance projects
  • Oversee and support management of higher risk business activities and relationships (including PEPs) as well as specific AML/CFT issues and exposures
  • Oversee complex financial investigations, trading surveillance, or other AML Processes
  • Contribute to the implementation and enforcement of policies, procedures, and programs designed to minimize potential money laundering risk

Responsibilities For Senior Analyst, AML Compliance Resume

  • Self-motivated and able to multi-task as well as work well in a dynamic and rapidly changing environment
  • Able to focus in achieving operational metrics on daily and monthly basis
  • Certified Anti-Money Laundering Specialists (CAMS) required within 12 months of hire
  • Flexibility to work in various shifts, according to business needs
  • Create narratives according to best practices issued by the Mexico Government Financial Intelligence Unit

Responsibilities For Director, BSA / AML Compliance Program Office Resume

  • Knowledge of Unusual Operations Reporting based in MX Gov. FIU Best Practices
  • Knowledge of CIP, KYC and monitoring policies and procedures
  • Ad-hoc analysis and/or projects of the effects of operational, policy, and procedure options on the U.S. and/or SWB Reporting Programs
  • Utilize a wide variety of research tools including data analysis systems and predetermined analysis criteria
  • Build and manage relationships with regulators including Central Banks, FIUs, Law Enforcement
  • Have decision making ability for moderately complex issues
  • Coordinate requirements from stakeholders for changes to the Compliance templates including rules to enforce compliance fields
  • Assist internal stakeholders with compliance related queries, including but not limited to escalations from accreditation, business and operations/ROCs
  • Assist with the completion of compliance monitoring tasks

Responsibilities For MYS Ctsm Kl-aml Compliance Resume

  • Assist in providing oversight of each functional unit’s adherence to relevant internal Policies and Procedures
  • Plan and execute Compliance Desk Reviews according to the established risk based review schedule and on an ad-hoc basis, if necessary
  • Interact with government officials and respond in writing to inquiries, audits, etc
  • Insurance or banking industry is preferable
  • Knowledge in anti-money laundering related regulations, guidelines and practices

Responsibilities For WM AML Compliance Resume

  • Create and deliver engaging educational sessions designed to reinforce MasterCard’s AML Compliance principles throughout the evolution of the business
  • Conduct FLA/Affiliate training as needed especially when on site at location visits
  • Series 7, Certified Anti-Money Laundering Specialists (CAMS) desired
  • Leads audits of AML and Compliance in US, including projects in all US offices
  • Face of Audit to senior stakeholders in the US including the Head of AML/ATF and Head of Compliance
  • Knowledge and understanding of Swedish, Danish and Norwegian legislation and regulations of Money Services Business or Financial Services is essential
  • Ideally hold a recognised relevant professional qualification, or be willing to study for the same
  • PC literate and well versed in using MS Office applications
  • Proactively work with Line of Business (‘LOB’) compliance and the business to address any questions raised by GFCC

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