Compliance & Control Resume Sample

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Keshaun Beahan
431 Gia Park,  Philadelphia, PA
+1 (555) 513 6204

Work Experience


Compliance & Control Specialist
02/2016 - PRESENT
Philadelphia, PA
  • Exhibit pragmatism in advising on clients’ process remediation and implementation strategies, defining work tracks, and submitting assessment findings and recommendations
  • Coordinate as directed by the Chief AML Officer or designated AML Compliance Team manager, the dissemination of regulatory compliance regulations, related laws and guidance to Key's lines of business (LOBs) to ensure corporate-wide compliance with regulatory requirements
  • Act as a compliance relationship trusted advisor, concentrating on developing close partnerships with others in Risk Management, LOBs, marketing, legal and other support and administrative groups to identify and mitigate compliance risk
  • This includes, but is not limited to, merger and acquisition activities, contract reviews, risk assessments, compliance risk mitigation strategies, new or existing system and/or operational implementation
  • Lead the research, interpretation, summary and corporate guidance for new and changing financial institution laws and regulations. Design, communicate & evaluate AML Compliance policies and procedures for financial institution laws & regulations
  • Interact with regulatory agencies and the Risk Review group to respond to examination information requests, address exam findings, and respond to requests for comment
  • Collaborate with the Chief AML Officer, Chief Compliance Officer, AML Compliance Managers, other Risk Partners, LOBs and Business Risk & Control Officers on compliance issues, initiatives and projects
Compliance & Control Analyst
03/2011 - 11/2015
Detroit, MI
  • Responsbile for assisting in a broad range of data analytics and business intelligence activities, including defining the business requirments and developing the queries to collect the data, in order to support and execute the AML & OFAC Risk Assessment
  • Develop and maintain communications with lines of business and technology teams to get the understanding of new and existing products, services, delivery channeles, flow of data and related operational procedures
  • Support an assigned LOB as Second Line of Defense (SLOD) in the Governance, Risk and Compliance (GRC) application for BSA/AML/OFAC related matters. Collaborate with RCSA to establish or enhance compliance self-testing, validate testing results and address issues noted in the testing
  • Serve as second line of defense Subject Matter Expert for BSA/AML and OFAC across Key in GRC
  • Provide assistance in design and communication of FCG policies and procedures
  • Provide assistance in responding to internal and external examination information requests, and remediation of exam findings
  • Experience in banking, compliance or audit related activity
Contract Compliance & Control Solutions Intern
07/2005 - 09/2010
San Francisco, CA
  • Participate in new business initiatives (i.e., Business Initiative Decision) and due diligence activities to ensure compliance risks are appropriately identified and mitigated
  • Knowledge about banking products and services and the BSA/AML and OFAC risks they present
  • Common office skills including knowledge of personal computer applications (e. g., Microsoft Office, SharePoint, Lotus Notes/Outlook) copier, and facsimile devices
  • Comprehend compliance laws and regulations
  • Travel up to 15% (as needed)
  • Manage the day to day, on-going BSA/AML/OFAC Risk Assessment activities and processes that include colletion, review and assimilation of BSA/AML/OFAC Risk Assessment data. Integrate and synthesize the information from multiple sources, including business domain knowledge, in order to analyze the complex data and results. Document and analysis and observations into conscise and meaningful manner
  • Aid in the creation, documentation and maintenance of policies and procedures for the risk assessment process. Conduct quality assurance by reviewing the data and related activities to ensure the BSA/AML/OFAC information captured during the process is accurate, complete and applicable to the Risk Assessment components (clients, products, services, geography, lines of business)

Education


Strayer University - Woodbridge Campus
1999 - 2004
Bachelor's Degree in Business

Professional Skills


  • Strong strategic and consultative skills; experience in process improvement, strategic planning, change management, business integration
  • Proven experience reviewing trade information and analyzing data in relation to information sharing, front running and wall crossing
  • Prior experience working with AML/OFAC software such as LexisNexis Bridger, ACI Money Transfer System, Fircosoft, Oracle FCCM (aka Mantas), Actimize AML, etc
  • Prior experience in sanctions screening applications
  • Experience dealing with annual audits and inquiries by the firm’s regulators (e.g., SEC, FINRA, & FRB) is mandatory
  • Development and design of controls prior execution (e.g. application of risk-based sampling methodology and description of control scope and content)
  • Work effectively with contemporaries and peers in other countries and regions to maintain a collaborative culture

How to write Compliance & Control Resume

Compliance & Control role is responsible for integration, software, finance, credit, securities, database, trading, reporting, design, research.
To write great resume for compliance & control job, your resume must include:

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

Contact Information For Compliance & Control Resume

The section contact information is important in your compliance & control 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 Compliance & Control Resume

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

  • Maintaining effective working relationships with senior management in the business
  • Advanced level experience on MS Word, Excel including Macros, Access, PowerPoint, and Visio
  • SAS, Tableau, Cognos, OBIEE and other business intelligence of analytics tool experience to support the risk assessment data collection and assessment
  • Experience in banking, compliance or audit related activity
  • Commercial underwriting, portfolio management, or audit experience
  • Work closely with CDM, Sales Planning, Legal and Pricing Strategy on ongoing development of tools to maximize contracting compliance

Education on a Compliance & Control Resume

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

When listing skills on your compliance & control 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 compliance & control skills:

  • Strong research, analytical, and problem solving skills, as well as ability to communicate the analytical results tailored to the audience
  • Good knowledge / understanding of a service related business’s processes and execution models is desirable
  • Relavant experience required
  • Experience in regulatory compliance or the financial services industry such as broker dealer, bank, legal, audit, or risk management; or equivalent
  • One or more years of experience in AML or OFAC data analytics, or a similar area
  • Strong software proficiency (Excel, Word)

List of Typical Experience For a Compliance & Control Resume

1

Experience For Compliance & Control Analyst Resume

  • Goal oriented and able to work independently to achieve results
  • Travel up to 20% (as needed)
  • Create and maintain OFAC sanctions screening model documentation which provides screening requirements and rationale for the selection of the parameters/thresholds, lists, frequency, etc
  • Assist in sanctions screening model tuning, validation and Above-The-Line/Below-The-Line testing related activities and articulate the optimization methodology/approach in a clear and concise manner
  • Participate in activities related to the data quality dashboard program for BSA/AML and OFAC applications and assist in documenting the business definition and usage of the data collected from various source systems
2

Experience For Compliance & Control Specialist Resume

  • Establish the framework to escalate and report the data errors impacting model performance and work with data stewards and other stakeholders for remediation
  • Review the line of business desktop procedures and variance form on OFAC ancillary files, and ensure effectiveness and ongoing alignment with the OFAC screening requirements
  • Assist in preparing, updating, and maintaining the OFAC procedures and other related documents
  • Support the analysis of third party vendors relied on by Key for OFAC screening
  • Assist in data analytics related efforts on Key’s risk assessment, BSA/AML and OFAC monitoring/screening processes, and provide on-demand data intelligence
3

Experience For Procurement Compliance Control Specialist Resume

  • Assist in assessing trends and inconsistencies within data sets and proactively seek out additional data to support the decision making process
  • Provide data analytics related supports to create and maintain executive level reports and dashboards
  • Research and gather data from Key systems (e. g., core banking, client due diligence, onboarding and transactions processing, policies and procedures systems) to support FCG’s Subject Matter Experts (SMEs)
  • Assist in evaluation of new products, services, and business lines to ensure monitoring and screening coverage
  • Assist with internal and external audit, examination, regulatory inquiry, and investigation requests for information, as well as, assist in the evaluation of audit and examination findings, implementation of corrective action, and needed responses
  • Assist FCG’s SMEs in interpreting OFAC lists and/or broader prohibitions outlined in country and list based sanctions and work with ESS and RM&A teams to make relevant changes in screening applications/models
  • Keep abreast of new rules and regulations as well as current surveillance and screening techniques
4

Experience For Compliance & Control Senior Associate Resume

  • As assigned, act as corporate subject matter expert resource for various complex Anti-Money Laundering laws and regulatory requirements
  • Assist with other requests as required to ensure team objectives are achieved
  • Perform complex compliance tasks as assigned. This includes, but is not limited to, merger and acquisition activities, contract reviews, risk assessments, compliance risk mitigation strategies, new or existing system and/or operational implementation
  • Lead the research, interpretation, summary and corporate guidance for new and changing financial institution laws and regulations
  • Design, communicate & evaluate AML Compliance policies and procedures for financial institution laws & regulations
5

Experience For Compliance Control Specialist Resume

  • Collaborate with Risk Assurance and Financial Crimes Governance testing teams to establish or enhance compliance self-testing, validate testing results and address issues noted in testing
  • Collaborate with the Chief AML Officer, Chief Compliance Officer, FCG Managers, LOBs and LOB Business Risk & Controls Officers on compliance issues, initiatives and projects
  • Participate in new business initiatives (i.e., Business Initiative Risk Assessment) and due diligence activities to ensure compliance risks are appropriately identified and mitigated
  • Knowledge of testing concepts and statistical expertise related to testing for quality of production work, sampling, etc
  • Pay close attention to detail and review work with a critical eye from a quality control perspective
  • Work under pressure and adhere to strict guidelines while remaining flexible to adapt quickly to change or shifting priorities in a fast-paced environment
  • Provide technical compliance guidance to business unit management and exercise oversight for the compliance program
6

Experience For Head of Compliance Control Group, India Resume

  • Assist the business units in identifying risk and integrating legal/regulatory compliance requirements into all written policies and procedures and new product/process proposals
  • Identify, coordinate and work with business staff responsible for day-to-day compliance and control responsibilities to leverage the reach of Compliance and ensure compliance focus and control in business operations
  • Provide value-added recommendations to improve the control environment
  • To ensure the reports are prepared accurately and timely in accordance with clients’ request
  • Assist in the development of logical and workable solutions to remediate deficiencies as well as support the timely and effective remediation of any self-identified findings or findings issued by auditors
  • Support the management of the Comprehensive Capital Analysis and Review (CCAR) process on behalf of the Credit Campus
7

Experience For Credit Bureau Process Compliance & Control Manager Resume

  • Keep well-informed on internal procedural updates as well as changes to credit policy and the regulatory environment
  • Support and contribute to the coordination of audits/examinations and collaborates with control owners and other stakeholders in these processes and activities
  • Monthly reports /KPI’s

List of Typical Skills For a Compliance & Control Resume

1

Skills For Compliance & Control Analyst Resume

  • Assist in developing contracting strategies and reporting to facilitate contract compliance
  • Through familiarity with underwriting processes and procedures, perform quality assurance and control testing for Community Bank Commercial Underwriting
  • Other qualification: Mature personality, capable of leveraging and pushing for business solutions
  • Understand AML and OFAC monitoring/screening models at a theoretical level, and explain/document them appropriately for an in-depth technical review
  • Perform electronic communication controls and ongoing review of alerts flagged by the monitoring system
  • Initiation of remedial actions and tracking their timely resolution including escalation where necessary
  • Proactively alert Sales, Pricing and Sales Planning of contract expiration
  • Comprehensive knowledge of BSA/AML/OFAC regulations, monitoring/screening and due diligence requirements
  • Work in a team environment, but also be a self-starter by taking initiative and working independently
2

Skills For Compliance & Control Specialist Resume

  • Language: Fluent in both oral and writing English
  • Basic knowledge of banking laws and regulations with emphasis on BSA, AML, and OFAC
  • Familiarity with banking systems and how to maximize the use of customer and transaction data within these systems
  • Familiarity with Tableau or other business intelligence tools for visualizing data
  • Basic knowledge of banking laws and regulations with emphasis on the OFAC sanctions
3

Skills For Procurement Compliance Control Specialist Resume

  • Execution of controls or risk assessments on established or new businesses/processes to identify potential/emerging material risks
  • Preparation of periodic management reports and assistance with regulatory reporting and inspection, as well as audits
  • Participation in Monitoring, Surveillance & Controls (MS&C) stream initiatives where required
  • Documentation and relevant notifications under the Firm’s Wall Crossing policies and procedures
  • Serve as key support resource in execution and maintenance of strategically critical and comprehensive customer contracting processes
4

Skills For Compliance & Control Senior Associate Resume

  • Support HR with Mandatory COID (Workman’s Compensation)processes
  • Perform multiple tasks in a fluid environment, and to work both independently and as a member of a team
  • Relevant professional certification (e.g. CRCM, CAMS)
  • Sound knowledge about financial institutions that are subject to AML Program requirements (e.g. Money Services Businesses, Casinos, Residential Mortgage Lenders or Originators, etc.)
  • Knowledge of Key’s internal systems and AML Program Knowledge of FFIEC Examination Manual Experience in vendor management for outsourced or relied upon business processes related to AML compliance topics
  • Relevant professional certification (e.g. CAMS, RCSA, Base SAS, Tableau Certifications)
  • Knowledge of FFIEC Examination Manual and/or SEC AML related guidance and regulations
  • Knowledge of banking related products and services operations, processes, commercial, retail, private baking, broker dealers and transactional flows, and related BSA/AML/OFAC risks
5

Skills For Compliance Control Specialist Resume

  • Experience with relational databases and an ability to source data and convert it into a usable form
  • Analyze and compile data from multiple sources to produce effective reportsSearch Jobs US
  • Familiarity with the customer onboarding procedures including CIP and Customer Due Dilligence (CDD), Transactions Monitoring, and OFAC Screening
  • Comprehensive knowledge of the operational, technical and functional structure of the Key organization
  • Knowledge of Key’s internal systems and AML Program
  • Proficiency with SAS, SQL, and MS Office
  • Advanced knowledge and experience of any of the Business Intelligence or data analysis applications such as SAS, Tableau, Cognos, OBIEE, SQL, Python, Crystal Report, R, etc
6

Skills For Head of Compliance Control Group, India Resume

  • Adapt quickly and succeed in a fast-paced and dynamic environment
  • Understand and use statistical models in SAS, R, Matlab, Python, etc
  • Review of Fixed Income and Equity Research against the Firm’s Watch and Restricted List for compliance with relevant securities laws and with internal policies, such as the Firm’s M&A Research Policy
  • Chaperoning and gatekeeping of permissible communications between Research and the Private Side under the Global Research Settlement and relevant internal policies and procedures
  • Provide advice and interpretation of Morgan Stanley’s policies and regulatory requirements, particularly relating to Restricted List, communications between Research and Investment Banking, Employee Trading, and working with internal and external lawyers, providing advice on Takeover Code, US, UK and other laws and regulations
  • Participate in regional and global system and IT development projects aimed at enhancing the Control Group’s surveillance program
  • Manage any necessary regulatory body reporting and inquiries
7

Skills For Credit Bureau Process Compliance & Control Manager Resume

  • Track engagements of the investment banking division
  • Chaperone communications between investment banking and research personnel
  • Monitor the Firm’s information barriers and track information flow
  • Review research for compliance with applicable regulatory requirements and internal policies
  • Implement and provide advice with respect to the Firm’s information barrier policies, including trading restrictions, clearance of employee trading requests, research publication and Wall (“China Wall”) crossings
8

Skills For IAM Compliance & Control Analyst Resume

  • Assists in identifying and evaluating the organization’s risk areas and provides input to the development of the risk-based annual plan
  • Work collaboratively with the Sales team, Sales Planning and Legal to ensure contract compliance with new and existing customers
  • Assist in recommending options for implementing expansion opportunities within an account
  • Manage compliance reporting requirements with Customer Data Management (CDM) team, Sales Planning and Sales Systems Support
  • Documentation, relevant notifications and surveillance under the Firm’s Wall Crossing policies and procedures
  • Analyze, optimize and coordinate the appropriate FedEx Office resources to deliver contracted requirements to new and existing clients
9

Skills For Compliance Control Group Associate Resume

  • Direct oversight and management of staff involved in the day-to-day responsibilities of the Control Group’s activities
  • Working with the Firm’s Investment Banking and Capital Markets professionals to review advisory and financing transaction for conflicts of interest, to conduct materiality assessments and maintain watch and restricted lists
  • Working with the Firm’s Research division to provide advice on regulatory matters in relation to research product (e.g. Investor Education Research and ordinary course research publication) as well as managing the process for interaction between bankers and analysts in capital formation under the Firm’s policies and procedures
  • Staying abreast of regulatory developments and working with global business and Compliance peers to implement any necessary changes to Firm’s policies or procedures
  • Perform critical control functions to ensure effective and timely risk mitigation
  • Participate and contribute to meetings, including regional and global calls
  • Maintenance of the Control Group logs (for example on Information Barrier breaches)
10

Skills For TK Compliance, Control Room, Associate to AVP Resume

  • Identifies and evaluates the organization’s risk areas and provides key input to the development of the annual plan
  • Work and partner with CDM, Sales Planning, Technology, Field Operations, Product Management, Legal, Marketing, Strategy and Finance to ensure the implementation of policies and processes that are functionally integrated
  • Lead efforts to improve contracting processes and present solutions to customers
  • Support the development and maintenance of testing procedures
  • Prepare documentation and reporting of issues and remediation to management
  • As assigned, prepare and deliver executive level reporting to business managers
  • Develop and maintain a database of all agreements and critical information on all current and future agreements between external Customers and FedEx Office
  • Assist senior team members to support processes and procedures, work independently or with senior team members to provide ongoing support to manage application SLA’s, resolve a majority of the problems and fulfill service requests that do not require application development
  • Assist the business units in assessing all new or changed laws and regulations to determine their impact on processes, procedures and information systems

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