AML Officer Resume Sample
Gilbert Pollich
7459 Annetta Bypass,
Los Angeles,
CA
+1 (555) 225 6700
Work Experience
Senior AML Officer, Temporary Contract
05/2018
-
PRESENT
Dallas, TX
- Guide the OG to implement a robust AML Risk Management Framework and AML Program including program strategy, standards, and tools based on Regulatory Requirements and Industry Practices
- Work with Business Leaders in multiple geographic locations / jurisdictions in which the OG operates in order to understand business processes and legislative requirements as they relate to AML
- Provide access to and guidance on the AML Program to ensure that management is aware 1) of the Bank’s AML risk appetite, AML policy, authority structure, procedures and processes, and, 2) their own role and accountabilities in supporting these processes
- Review AML policies, procedures, and standards, etc. for the LOB / LE in the OG which recognize the individual risks posed by the LOB / LE along with regulatory risk management expectations and which articulate the AML controls
- Provide objective and independent AML expert advice and counsel to the LOB / LE Management teams across the OG under the direction of the Director or Deputy CAMLO
- Lead the review and approval of assessment, mitigation and appropriateness of changes to 1st line business processes regarding AML risk within the OG in conjunction with the Director and AML Officer
- Support the 1st line process for identifying and assessing the AML risk inherent in assigned OG initiatives including new products, processes, subsidiaries, joint ventures, outsourcing and acquisitions. Support the Line of Business to develop robust control processes which meet regulatory and internal requirements
- Be instrumental in helping to build strong working relationships between front office, back office and technology areas of the bank to create an awareness of AML accountabilities throughout the OG and their partners
- Understand the OG (and the LOBs / LEs) strategies, boundaries, scope, opportunities and risk through ongoing dialogue with senior management
AML Officer
11/2012
-
11/2017
San Francisco, CA
- This job contributes to BMO Financial Group’s overall compliance and risk management effectiveness by making recommendations that significantly improve Wealth Management Operating Group’s AML compliance effectiveness
- Effectively implements and periodically reviews LPL's Programs, including the Program’s policies, procedures, management information systems and money laundering detection systems
- Provides training to and meets no less than quarterly with the AML Officer of each Business Unit to discuss all relevant issues regarding the Business Unit’s Program
- Ensures Citi’s adherence to applicable AML laws and regulations in Singapore with the development and implementation of a business-specific Global/Regional/Country AML Program
- Responsible for development and maintenance of a risk based Compliance Monitoring Plan related primarily to anti-money laundering, terrorist financing, bribery and corruption, fraud and other financial crime. The Plan to provide comprehensive monitoring coverage of UK and EMEA business operations across all legal entities
- Act as primary point of liaison with US Compliance in respect of monitoring related activity
- Completion of reviews scheduled in the Plan; undertaking reviews along with other members of the team
- Ensuring that all regulatory and BNYM policy requirements are adhered to in connection with reviews and that all reviews are fully and comprehensively completed
- Develop and maintain standards of completion for each review, including: terms of reference, working papers, report structure and evidence
AML Officer, Temporary Contract
08/2006
-
10/2012
Chicago, IL
- Prompt and comprehensive completion of review records in GCMS (BNYM monitoring platform) for each review
- Ensure timely completion of a full and comprehensive report for management review, discussion and approval
- Tracking implementation of agreed review recommendations within agreed timeframes, escalating incomplete activity as appropriate
- Obtain evidence on completion of recommendations and re-test where required / as deemed necessary
- Escalating significant issues identified to EMEA Group MLRO
- Providing regular updates as required on EMEA monitoring activities and significant issues and tracking to the applicable Legal Entity Boards, EMEA Governance Committees and EMEA Anti-Money Laundering Oversight Committee (EAMLOC)
- Ensure the annual review plan is agreed in advance with Asset Management boutiques and relevant staff in Germany, Belgium (including Branch offices), Ireland, Luxembourg, Pune and Dubai. Agree dates for completion of reviews in locations noted above
Education
Southwest Minnesota State University
2001 - 2006
Bachelor's Degree in Economics
Professional Skills
- Organizational skills, teamwork, verbal communication skills
- Five years of prior AML compliance experience required with at least two recent years of experience in a senior anti-money laundering compliance role
- Outstanding oral and written communication skills; and
- Demonstrated experience in managing key stakeholder relationships at a senior level both internally and externally
- Able to work on your own but with exemplary teamwork and coordination skills
- Solid experience either Account Opening or Money Laundering Prevention
- Experience in AML orand in managing position within bank
How to write AML Officer Resume
AML Officer role is responsible for insurance, retail, securities, training, compensation, accounting, reporting, design, russian, aml.
To write great resume for aml officer job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For AML Officer Resume
The section contact information is important in your aml 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
- Telephone number
Work Experience in Your AML Officer Resume
The section work experience is an essential part of your aml 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 aml 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 aml officer position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative AML Officer resume experience can include:
- Oversee specific monitoring activities undertaken in UK Asset Management boutiques and Germany, Belgium, Ireland, Luxembourg, Dubai and Pune ensuring that scheduled reviews are undertaken and completed in a timely manner
- Accurate and timely update of tracker in order to effectively track progress and status of review process of each FCB client
- Effective and efficient management and tracking of existing CBOC SE escalation cases and instances where new escalation to CBOC SE is required
- University graduate with 3 to 4 years of relevant experience
- Work related experience, preferably in audit, compliance/regulatory background
- Strong knowledge of PandC Canada products, services, processes, and organization
Education on an AML Officer Resume
Make sure to make education a priority on your aml officer resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your aml 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 AML Officer Resume
When listing skills on your aml 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 aml officer skills:
- A thorough knowledge of multiple control environments along with a good working knowledge of Citi’s controls processes and policies
- Experience in compliance or 5 years in banking or financial industry
- Oversee the firm’s AML, sanctions, and KYC screening policies, and monitor the effectiveness of those policies
- Support priorities and escalate urgent or sensitive issues to the Wealth Management Team Lead in a timely manner
- Strong analytical and clear thought process abilities
- Experience in AML compliance, preferably at a large broker or other financial institution with an international customer base
List of Typical Experience For an AML Officer Resume
1
Experience For Senior AML Officer, Temporary Contract Resume
- Financial crime experience
- Maintaining contact with national, international, internal and external regulators and supervisory authorities
- Review of transactional data contained within the Periodic and / or Targeted Transaction Review document (PTR and / or TRP) to assess transaction flows through the Citi accounts and the associated risk (e.g. nested flows, flows between high risk jurisdictions, flows relating to high risk business types and industries, etc.)
- Provision of guidance and advisement (where appropriate) on due diligence and Know Your Customer (KYC) checks conducted on FCB relationships ensuring that such is in line with relevant regulatory standards
- Support the AMLCOs in maintaining an AML framework
- Coordinate and conduct testing and controls
- Assist in identifying applicable sanctions laws and provide advice in relation to those
2
Experience For Compliance Manager Ii Aml Officer Resume
- Monitor the sanctions screening processes and investigate potential matches escalated by units
- Assist AMLCO with the update of the annual AML Risk analysis
- Review and approve CitiKYC-records
- Conduct AML calls with Foreign Correspondent Banks and prepare relevant reports
- Coordinate inquiries related to AML issues and questions
List of Typical Skills For an AML Officer Resume
1
Skills For Senior AML Officer, Temporary Contract Resume
- Reports no less than annually to the Audit and Risk Committee of the LPL Board of Directors and LPL's Risk Oversight Committee any issues of compliance with the Program, including the sufficiency of the resources provided to fulfilling the Program
- Around 8 years experience in AML Compliance
- Assist to compile monthly and quarterly management reports from all OCBC entities and prepare the data collected for a consolidated report
- Analyzing and investigating customers who match against Sanctions and Non-Sanctions lists during the account opening and maintenance processes
- Evaluating and submitting autonomously to the Italian Authority any Suspicious Activity Report (as “Delegato Aziendale SOS”)
2
Skills For Compliance Manager Ii Aml Officer Resume
- Working knowledge of AML regulations and regulatory expectations
- Working knowledge of risk management practices
- Creating awareness of risks to AML and the consequences of external legislation and regulations within the business unit
- Assist in performing all Outsourcing Manager responsibilities according to the local Outsourcing Policy for the vendor
- Undertake quarterly reviews of monitoring completion, reviewing records in GCMS and monitoring papers to ensure adequate
- Oversees LPL's training relating to AML, Anti-Bribery, Fraud ID Theft/Red Flags and Sanctions Programs
- Expert knowledge of assigned Operating Group’s products and supporting business processes across the assigned LoB
- Use programming/computer packages to perform data mining and data analytics
- Assist the firm’s in-house counsel in responding to regulatory or enforcement inquiries regarding AML policies or issues
3
Skills For ED, Head of CIB Banking AML Officer Resume
- Oversee the firm’s efforts to make appropriate AML regulatory filings regarding customer activity, including SARs
- Advise the front and back offices regarding Company’s client onboarding and enhanced due diligence standards and requirements
- Assist the Group AML Head with the monthly AML Team Leads meeting and follow up on status of the AML Team leads meeting of minutes
- Maintains a thorough understanding of all relevant AML, CTF, Sanctions Compliance and Anti-Bribery laws and regulations
- Attention to details, understanding of high risk situations
- Has ability to build productive working relationship across the firm
- Certified Anti-Money Laundering Specialist (CAMS) or similar certification
- 401(k) plan, paid vacation, medical and dental insurance plans, flexible spending accounts
4
Skills For Chief AML Officer Resume
- Maintain and update the firm’s AML and KYC compliance training programs; and
- Active involvement in the identification, investigation and potentially reporting of suspicious activity
- Prevent, mitigate and control AML risks arising from UBS Canada’s activities
- Assist the 4-Man Committee Secretariat in administering the 4-Man Committee memo from the business stakeholders
- Capture minutes of meeting for the AML team meetings
- Serves as a member on the Firm’s Risk Oversight Committee
- Integrity, maturity, a positive professional attitude
- Contribute to the daily AML activities of the local AML Investigation team
- Is a real team player – can work in a team but also individually / independently
5
Skills For Senior AML Officer Resume
- Has ability to work together and influence opinion at a local, regional and global level
- Is aware of Citi processes, policies and relevant laws
- Czech (native) and English language
- Self-driven, enjoys challenges and able to work independently as well as in a team
- Appropriate securities and/or commodities registrations and/or ability to complete further required registration exams promptly
- Familiarity with the FFIEC Examination Manual as it relates to AML, KYC, CIP, USA PATRIOT Act, and FinCEN guidance
- Develop and maintain productive relationships with key internal clients across all levels but particularly with senior management
6
Skills For AML Officer, Contractor Resume
- Proactively identifies and recommends solutions to recurring errors, service gaps and process efficiency and effectiveness enhancements; acts as a referral point for sales and service employees
- Supports revenue growth by reducing revenue leakage and focusing on other opportunity spotting initiatives where applicable
- Knowledge of legal regulatory and industry requirements
- Project Management – participate and where necessary lead/manage
- Work with New Accounts and Surveillance teams to calibrate and implement customer due diligence procedures
- Maintain and update written policies and operational procedures as needed to reflect changes in BSA and other applicable laws
7
Skills For Senior Manager & Aml Officer Resume
- Develop and implement remedial action plans in response to internal and external audit findings
- Interact with, and present to, all levels of management
- Assist the EMEA Group MLRO in fulfilment of statutory and regulatory obligations as required under relevant legislation and regulation
- Assist the EMEA Group MLRO in fulfilment of BNYM policy obligations in respect of oversight of non UK legal entities and businesses
- Attend and participate in meetings with and/or on behalf of the EMEA Group MLRO
- To alongside the Group Head of Financial Crime and other Compliance colleagues to provide guidance to management and staff of SGPB Kleinwort Hambros so that the business remains compliant with all relevant financial crime regulations, legislation and best practice
- Responsible for ensuring direct reports hold the required regulatory, operational and product knowledge to fulfil the roles and for identifying gaps/risks in knowledge/skills and..
- Ensure findings have been appropriately recorded and escalated
8
Skills For Regional CPB AML Officer Resume
- Provide guidance, advice and risk based solutions to the business on their responsibility for complying with all relevant AML laws, regulations and related policies of the firm
- Partner with the LOB MLROs, LOBs and location Compliance Officers to ensure they understand the AML obligations for the business/location they support
- Conducts and or reviews Enhanced Due Diligence (EDD) on existing high risk entities, including a comprehensive review of customer information via public records and the bank’s internal systems to determine appropriate risk rating
- Able to handle multi-tasks independently and work under strictly tight deadlines and pressure
- Designing, developing, implementing, reviewing and reporting on smaller, less complex AML projects and initiatives, addressing certain AML risks, and communicating to AML Management
9
Skills For VP, Aml Officer Resume
- Act as an AML liaison officer with the overseas entities and advise overseas Compliance Officers on information required to fulfil the management reporting template
- Review the submissions by each OCBC entity to ensure data completeness
- Highlight potential issues from the report submission to AML Supervisor where discrepancies are noted or when the entity has difficulty in the data submission
- Maintain the 4-Man Committee registry to ensure that information is correctly captured and the register is consistently kept updated
- Assist the AML team to send email broadcast to all Bank staff and ensure that the broadcast registry is maintained on an updated basis
- Assists AML team with coordination of adhoc projects
10
Skills For SVP, Chief AML Officer Resume
- Maintain the MAS information request repository for requests from MAS and ensure that the information request is attended to by assigned AML officers and remind AML officers on timelines, where applicable
- Head, Group Anti Money Laundering
- Advising Management and advocating how to limit the AML risks by assisting Management, who maintains primary responsibility, in translating the relevant legislation and regulations into rules and controls governing the internal business operations
- As a second-line of defense, supporting and advising Management on the implementation and application of the relevant rules and controls to ensure compliance with AML legislation and regulations
- Independently assessing and monitoring the realization risk mitigation activities and remediation plans
- Fostering the creation of a sense of responsibility for preventing and limiting risks by adapting the internal business operations and monitoring the realization of plans
- Creating awareness and developing training and education
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