Asset Management Compliance Resume Sample

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Amely Fahey
516 Howe Estate,  Philadelphia, PA
+1 (555) 113 1279

Work Experience


Asset Management Compliance UK Advisory Compliance Manager VP
10/2016 - PRESENT
Boston, MA
  • Manage the execution of AML Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues
  • Develop and manage a team focused on AML Risk Assessment, AML control audits, and independent validation of remediation activities
  • Represent Audit on AM's AML related committees and forums
  • Develop and maintain relationships with the AM AML Management team
  • Compliance advisory and surveillance for GSAM’s Alternatives business in EMEA
  • Past experience developing or enhancing compliance or audit programs
  • Proven ability to build rapport, garnering respect and appropriately exercise authority in a collaborative environment
Asset Management Compliance
05/2013 - 06/2016
Phoenix, AZ
  • Participating in regulatory, vendor, and internal compliance efforts across major vendors including IBM, Microsoft, Oracle, CA, SAP, Symantec, HP, and other key vendors
  • Support JPMC’s strategic vision for data quality management and governance
  • Excellent interpersonal skills - team player, able to forge relationships, build consensus, and influence decisions
  • Manage a ticket queue of software requests for users and systems firmwide to prescribed SLA’s
  • Manage and provide portfolio monitoring support for portfolios trading in the U.K. and Europe, and as appropriate, in Asia and the U.S. Coordinate with overseas offices (Boston, Merrimack, Hong Kong) to ensure adequate coverage. Develop and manage the portfolio monitoring team in the U.K
  • Collaborate with other Asset Management Compliance Vice President’s on general and specific compliance matters related to global trading, asset class support, portfolio monitoring, control room activities, trade oversight, and forensics testing
  • Identify, resolve and/or escalate issues in a timely and effective manner. Communicate resolution/status to senior management
  • Work with the Head of International Compliance and the FMRIM (U.K.) Executive Director to coordinate effective coverage of U.K. regulatory requirements
Software Asset Management Compliance
04/2006 - 03/2013
San Francisco, CA
  • Communicate and coordinate with Portfolio Management, Trading, Legal Department, Treasurer’s Office, Ethics Office and other departments and senior management to continually enhance the effectiveness of the overall compliance program
  • Maintain UK Compliance Manual, UK Compliance Program, and policies covering U.K. and other requirements. Work with Legal, Finance, and other relevant business units to review, update, and maintain ICAAP
  • Help manage investment related regulatory application process for FMRIM (U.K.) and its employees. Train and advise local staff regarding regulatory requirements
  • Manage relationships with local regulators regarding investment compliance matters
  • Facilitate regulatory inquiries and examinations with direction from Head of International Compliance
  • Manage audits and oversea filing of trade/transaction reports and other regulatory filings. Assist with maintenance of the FMRIM (U.K.) Form ADV and other relevant disclosures
  • Manage information barriers and the information barrier process

Education


Pepperdine University - Encino Graduate Campus
2002 - 2006
Bachelor's Degree in Management

Professional Skills


  • This role requires a highly motivated individual with a strong sense of ownership, technical and analytical expertise as well as an aptitude for customer / end user relations
  • Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of AM Compliance
  • Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of AM Compliance
  • Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of AM Compliance
  • Experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (3+ years)
  • On-boarding and maintenance of employees’ personal trading accounts & provide Personal Account Dealing (PAD) approval
  • Assist in reviewing impact of regulatory change and new business initiatives and advising on relevant compliance control

How to write Asset Management Compliance Resume

Asset Management Compliance role is responsible for software, trading, reporting, compliance, accounting, maintenance, liaison, excel, testing, word.
To write great resume for asset management compliance job, your resume must include:

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

Contact Information For Asset Management Compliance Resume

The section contact information is important in your asset management 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 Asset Management Compliance Resume

The section work experience is an essential part of your asset management 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 asset management 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 asset management compliance position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Asset Management Compliance resume experience can include:

  • Establish strong working relationships with AM Compliance management
  • Keep current with relevant U.K. and European Union regulatory requirements and developments applicable to investment management firms and approved persons
  • Work with Head of International Compliance, UK Legal, and external legal counsel, as appropriate, to periodically monitor FMRIM (U.K.)’s compliance with UK regulatory requirements and to evaluate activities of FMRIM (U.K.) employees
  • Report regularly to FMR senior management about the activities of FMRIM (U.K.). Organize and manage periodic FMRIM (U.K.) Board of Directors, UK Trade Oversight Committee, and senior management business review meetings, which include Asset Management Compliance reports
  • Review and approval of financial promotions
  • Conduct forensic reviews on specific areas of coverage to ensure GSAM’s sales process remains robust

Education on an Asset Management Compliance Resume

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

When listing skills on your asset management 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 asset management compliance skills:

  • Approximately 5 to 8 years relevant Compliance or regulatory experience
  • Anyone not meeting all these qualifications can be considered for an AVP, Senior Auditor position
  • To cover GSAM’s Fundamental Equity business, serving as a key liaison and advisor to the business on all Compliance matters
  • The primary objective of this role is to be the eSAM Fulfillment / Compliance Data Quality specialist
  • Provide Business Line Compliance support to the Business by assisting the guideline monitoring team and guideline implementation team in resolving open issues in the firm’s order management and trading systems
  • Anyone not meeting all these qualifications can be considered for an Associate/ Auditor position

List of Typical Skills For an Asset Management Compliance Resume

1

Skills For Asset Management Compliance UK Advisory Compliance Manager VP Resume

  • Software compliance experience in Software Asset Management for large enterprise vendors including IBM, Microsoft, Oracle, CA, SAP, Symantec, HP, and other key vendors
  • Participate in the execution of AML Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues
  • Participate on AM's AML related committees and forums
  • Assist in implementation relevant global compliance policies and procedures

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