Compliance Risk Resume Sample

4.9
12 votes

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Rozella Kub
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Work Experience


Compliance Risk Specialist
09/2016 - PRESENT
San Francisco, CA
  • Assist in the development of CRA program
  • Manage and oversee completion of annual CRA process by Americas coverage compliance officers
  • Data analytics, including analysis of metrics impact on CRA scoring formula and results and analysis of results data by risk theme, region, desk and other criteria
  • Incorporate GC and Business Management feedback to validate and develop CRA content
  • Enhance CRA process to meet regulatory/audit points and user feedback
  • Assist with oversight of Periodic (twice annually) CRA program
  • Participate in the RCSA working group forums with Ops Risk as required
  • Ensure digital channel compliance by evaluating company websites and social media sites
  • Raise awareness among Board members and Management of the firm’s compliance risk profile; and
WM Compliance Risk & Data Analyst
05/2010 - 04/2016
San Francisco, CA
  • Third level qualification in Finance/accounting or equivalent
  • Have or be working towards a relevant professional qualification (e.g. ACA, ACCA)
  • Knowledge of the key regulatory requirements relevant to the financial services industry would be an advantage
  • Experience in a compliance, audit or other oversight function
  • Strong technical abilities and knowledge of the regulations (especially Life Directives, UCITS, AML Directive, FATCA)
  • Provide research and analysis (quantitative and qualitative) from multiples sources and make
  • Special Note: This is a temporary role, anticipated to be 15 months in length
  • Active management of third party product policies and procedures including integrating new rules/regulations
  • Support the Global Head of AMT in developing the risk-based annual review plan
Compliance & Risk Intern
02/2004 - 02/2010
San Francisco, CA
  • Understand material exposures that enable Group to take proactive measures
  • Ensuring delivery of a monthly Compliance Audit for the Fund we administer
  • Preparation and distribution of the weekly Errors, Complaints & Breaches log
  • Contributing to internal reporting on day to day activities and play an active role in relevant Oversight Committees
  • Provision of support for projects which plan to be implemented into the department
  • Liaise and build relationships with the fund Trustee
  • Special Note: This is a temporary role, anticipated to be 24 months in length
  • Knowledge of mortgage, consumer, or business banking, or wealth and investment management
  • Knowledge of STATA, Fair Lending Wiz, or CRA Wiz

Education


William Jessup University
1999 - 2003
Bachelor's Degree in Business

Professional Skills


  • Excellent time management skills and the ability work autonomously
  • Excellent communication skills in English – both written and verbal
  • Strong Microsoft Office skills, especially Microsoft Excel
  • Previous experience of Accreditation, Sanction Checking, Transaction Monitoring, Suspicious Activity Reporting. Fraud experience would be advantageous
  • 6 – 10 years experience with strong knowledge of Mortgage regulations, statutes and agency guidelines
  • At least five (5) or more years of experience in audit/testing, banking, compliance, or a similar function with a specific understanding of internal controls
  • Strong creative problem solving and analytical thinking

How to write Compliance Risk Resume

Compliance Risk role is responsible for excel, travel, digital, research, reporting, architecture, security, integration, training, finance.
To write great resume for compliance risk job, your resume must include:

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

Contact Information For Compliance Risk Resume

The section contact information is important in your compliance risk 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 Risk Resume

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

  • Experience working and interacting with colleagues at all levels, from front line to senior leadership teams on complex compliance, risk and regulatory issues
  • Experience communicating and liaising with multiple stakeholders and an ability to work independently, lead a project, or as part of a team
  • Experience communicating and liaising with multiple stakeholders and an ability to work independently, lead a project or as part of a team
  • Strong knowledge of regulations relating to financial services (FCA rules, EU directives, SFC, HKMA, and MAS etc)
  • Build a strong risk-based approach
  • Experience in Financial Services industry, preferably product development and or product management

Education on a Compliance Risk Resume

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

When listing skills on your compliance risk 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 risk skills:

  • Strong knowledge of Capital Markets and Investment Banking operations and products
  • A proven track record of achieving results
  • Experience in successfully managing multiple projects within a global organisation
  • Possesses ability to maintain professional composure in a dynamic work environment that often requires the management of multiple and competing priorities
  • Experience working in a similar regulated organizational structure with cross function interaction
  • Coordinate and cooperate with local impartiality committee including carry out impartiality review and risk analysis

List of Typical Experience For a Compliance Risk Resume

1

Experience For Compliance Risk Specialist Resume

  • Adhere to Group / Global policies and procedures and establish necessary local policies and procedures for support and meeting local accreditation and business requirements
  • Payments-related Compliance experience
  • Assists team with internal control testing according to documented processes. Promotes sharing of expertise through consulting, presentation, and documentation
  • Coordinate the tracking, timely resolution, root-cause analysis and resulting rectification of all client complaints and/or appeals for the business
  • Coordinate and/or manage maintenance and enhancement of the businesses’ policies, procedures and management systems, based on best practice and lessons learnt, aligning with Group Business streams where necessary
  • Manage a programme of audits, covering compliance to necessary standards to obtain and maintain accreditation status, and also compliance to its business policies, procedures and management systems
  • Fully engage with the Asia Pacific Head of Risk & Compliance for all matters relating to compliance to the businesses’ management systems, including risk, health and safety
  • Establish and maintain appropriate relationships with the Compliance & Risk stakeholders in each country, identifying local regulation requirements and sharing information, best practice collaboratively within that community, while evaluating performance against KPI’s and producing consolidated reporting
2

Experience For Compliance Risk Assessment Team Lead Resume

  • Establish and maintain appropriate links with internal and external committees and forums where appropriate, coordinated with the businesses’ management team
  • Draft written reports regarding compliance testing results
  • Coordinate ongoing risk assessment exercise with compliance and Engineering
  • Development and ongoing maintenance of risk and regulatory dashboard reporting
  • Strengthen action plans from Risk Management Tracking System (or applicable system) based on assessment results
  • Continued focus on improving communication efforts between first and second line
  • Ensure that all activities are undertaken in line with BSI protocols, policies and procedures
3

Experience For Head of Compliance & Risk Resume

  • Other responsibilities as specified from time to time
  • Assists in the implementation of compliance and risk program initiatives in assigned business areas and provides independent, overall assessments of the business areas' adherence to applicable laws and regulations, as well as other policies within the scope of the compliance and risk functions
  • Assists in the identification of trends consistent with potential risk or compliance issues. Advises on tools and solutions to facilitate risk management and compliance and develops and maintains comprehensive records and reports of associated activities
  • Maintains legal and regulatory compliance by researching and communicating requirements and providing recommendations to assigned business areas; reviews regulatory bulletins and other sources of information; keeps assigned business areas abreast of requirements; writes and communicates guidelines
  • Maintains a working knowledge of internal control and risk management practices, BSA/AML best practices, OFAC/US Patriot Act/Counter Terrorism compliance as well as other applicable state and federal laws and regulations within the scope of the compliance and risk functions
  • Coordinate execution of compliance related tasks within Engineering – conduits to the support service area and partnership with compliance subject matter experts
  • Aid in the development of new monitoring and controls
4

Experience For Compliance & Risk Intern Resume

  • Tactical oversight – discovery of potential issues within the first line of defense and development/coordination of remediation activities
  • Manage implementation of controls to be determined by compliance risk assessment process
  • Assist in the measurement of performance to risk appetite
  • Develop action plans in first line of defense to mitigate high and critical risks identified in risk assessments
  • Participate/Coordinate compliance risk workshops with first line of defense and second line membership
5

Experience For Human Resources Compliance & Risk Specialist Resume

  • Overseeing development of appropriate Risk Management reporting and assessments on key regulatory risk initiatives, including identification of key risk indicators and controls
  • Helps in creating and performing global IT Risk and Compliance assessments
  • Ambassador to create a culture of compliance within the first line of defense
  • Interact with regulators as requested
  • Assists in annual audits for industry specific reports
  • Assists team with established compliance processes with IT and Information Security policies, standards, guidelines and relevant legal and regulatory requirements
  • Analyze the results of the risk assessment campaign, key incidents, external enforcements, results of previous reviews, regulatory agenda and detect weak areas and process at risk. Narrow down the selection of priorities with the contribution of key compliance and business stakeholders across all the region
6

Experience For Compliance Risk & Control Specialist Resume

  • Maintain a detailed and updated working knowledge of the FCA, SFC, HKMA, MAS rules and regulations
  • Strengthen action plans from Risk Management Tracking System based on assessment results
  • Coordinate ongoing risk assessment exercise with compliance and the line of business
  • Coordinate execution of compliance related tasks – conduits to the line of business and partnership with compliance subject matter experts
  • Manage implementation of consumer controls to be determined by compliance risk assessment process
  • Participate/Coordinate compliance risk workshops with FLOD and second line membership

List of Typical Skills For a Compliance Risk Resume

1

Skills For Compliance Risk Specialist Resume

  • Demonstrated ability to pro-actively report and present to Senior Management
  • Previous experience in Compliance & Risk of shared service implementation
  • Understanding of the financial services industry and mortgage lending products
  • Working knowledge of Mortgage regulations, statutes and agency guidelines
  • Working knowledge and/or background in identification of Risk(s) and Control(s)
2

Skills For Compliance Risk Assessment Team Lead Resume

  • Capturing Regulatory Change data elements
  • Take a leading role in mitigating key and emerging areas of conduct risk across BlackRock’s business
  • Knowledge of consumer regulations, including fair lending
  • Complete testing UBS Bank USA and UBS AG U.S. Branches, including the FDIC, Consumer Financial Protection Bureau, Federal Reserve, and OCC supervised Branches as scheduled
  • Perform sample-based testing evaluations, including the documentation of scripts, work papers and results observed
  • Ensure timely tracking and resolution of AMT recommendations pertaining to the Manager’s perimeter
3

Skills For Head of Compliance & Risk Resume

  • Oversee and verify compliance standards related to the team’s testing work-papers and supporting documentation
  • Promote innovation through research and creative thinking of clients’ future needs and developing new solutions and services to address them
  • Perform Compliance Testing scheduled in a comprehensive and timely manner consistent with the Compliance Program procedures
  • Evaluate the regulatory requirements included in the assigned Compliance Test, and make sure that the scope, approach, documentation and data requirements are thorough
  • Proficient in Microsoft Office including Visio and MS Project
  • Flexibility and responsive to changing situations; adaptable
4

Skills For Compliance & Risk Intern Resume

  • Build understanding and awareness of BlackRock’s operational and regulatory control environment
  • Desire to acquire Master’s in Accounting or CPA certification (SOX positions)
  • Prepare and manage records related to the application and underwriting process for the corporate insurance program
  • Develop and maintain a process for managing certificates of insurance
  • Interview appropriate business area personnel to understand the context of the practices and processes under review
5

Skills For Human Resources Compliance & Risk Specialist Resume

  • Complete evaluation of applicable policies and procedures to determine whether they are current, accurate, complete and address the risks associated with the process or practice
  • Work with Compliance organization colleagues for communication of results and potential issues identified
  • Understand and apply laws, regulations, and instructions to the Employer Group Business Segment, including small group, large group, and self-funded/ASO lines of business
  • Resolve compliance difficulties as they occur and provide an escalation process for your team
  • Advise the business on application of rules and controls
  • Resolve compliance difficulties as they occur
6

Skills For Compliance Risk & Control Specialist Resume

  • Team player & leadership qualities
  • Make decisions autonomously
  • The ability to manage across multiple time zones within a fast-paced and diverse cultural environment
  • Deal with customers and employees at all levels within the organisation
  • Education – Any Graduate, Any Specialization
7

Skills For WM Compliance Risk & Data Analyst Resume

  • Develop and maintain processes to measure and report on the effectiveness of the compliance testing function, including the department’s adherence to the compliance monitoring schedule
  • IT (Governance, Risk, Compliance)
  • Exceptional analytical, influence, prioritization, adaptability, and decision-making skills. Partners with leadership team to develop goals and objectives aligned to the organization’s strategic vision
  • Experience in Financial Services industry, preferably product development and or product
  • Experience in a compliance or related control function, such as risk applied to the wealth management industry and/or operational risk,
  • Series 7 and Series 24 are required or ability to obtain within 90 days
  • Professional certifications such as CAMS, CFE, CCEP or CIA
8

Skills For Compliance & Risk Specialist Resume

  • Experience working in the financial services industry or related industry in analyst role performing data, business, finance, strategic or quantitative analysis
  • Moderate knowledge of application and system vulnerabilities and exposures
  • Knowledge of network security architecture and risks
  • Work independently on tasks and take ownership of projects
  • The Financial Services Regulatory environment; and
  • Application of compliance/framework methodologies
  • University Graduate in Law, Bank & Finance or Economics
  • High level of motivation as well as strong communication (written and oral) and interpersonal skills, with the ability to communicate with both internal and external constituencies
  • Knowledge of banking laws/regulations, specifically Consumer Financial Protection Bureau (CFPB) laws and regulations
9

Skills For Compliance Risk Assessments Resume

  • Deliver Compliance reviews pertaining to the Manager’s perimeter, as required by the annual plan
  • Evaluate the adequacy of business policies, procedures, training and reference materials, system and manual processes with respect to regulatory requirements
  • Perform testing of the control framework and deliver Compliance reviews as required by the annual plan
  • Ensure timely tracking and resolution of CTL recommendations
  • Ensure timely implementation of internal/external audit and regulator’s recommendations assigned to AMT
  • Ensure Compliance risks are identified and managed in a timely manner
  • Contribute to build the APAC yearly control plan based on key compliance risk indicators
  • Supervise and provide support to staff and ensure quality assurance of their deliverables
  • Perform or supervise the team’s permanent supervision controls, as required
10

Skills For Assistant VP-corporate Compliance Risk Team Resume

  • Support the enhancement, development and execution of the Compliance Managers’ Control Assessment (MCA) across EMEA
  • Support the Director, Corporate Compliance, in developing and implementing global compliance monitoring programs to provide assurance over Argo Group’s international operations including the Argo Managing Agency and its syndicates
  • Assist the Director, Corporate Compliance with maintaining and periodically revising international operations’ codes of conduct and compliance policies and procedures in accordance with applicable laws and regulations
  • Responsible for all matters related to compliance and ensure effective control and implementation of the APAC Operational Excellence Model [Franchise]
  • Planning and implementing C&R activities including internal audits, C&R related training, education and promotion
  • Assisting in the development of the Annual Compliance Plan, which sets forth the Compliance Department’s global focus areas for the upcoming year
  • Works independently under general supervision, and is able to exercise some latitude for initiative and independent judgment
  • Manage the local implementation of the quality review and decision process for all certifications and training decisions, ensure certificates are issued promptly as appropriate
  • Working collaboratively with other teams at different levels to define, maintain and enhance specific testing, assessment & certification schemes associated with the product portfolio, so that the accreditation status for such schemes is maintained

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