Compliance Testing Officer Resume Sample

5.0
1 vote
Toy Morar
68700 Ivah Square,  Houston, TX
+1 (555) 311 9208

Work Experience


Senior Compliance Testing Officer
04/2016 - PRESENT
Dallas, TX
  • Conduct regular compliance testing of the key functions as set out in the framework as amended from time to time
  • Liaise with key stakeholders to validate test results as needed
  • Issue formal reporting on all compliance testing completed
  • Maintain current knowledge of business processes and compliance requirements, as well as pertinent internal and external regulatory changes
  • Identify control gaps and weaknesses resulting from assigned testing through in-depth analysis of the control environment. Provide recommendations to close gaps
  • Provide recommendations to better align the Function/Business to the Strong Enterprise Risk Management (SERM) framework in assisting the second line of defense testing function
  • Maintains current knowledge of business processes and compliance requirements, as well as of pertinent internal regulatory policy and procedural changes
Compliance Testing Officer
11/2013 - 12/2015
Boston, MA
  • Performs testing, as directed by CTAC management, and assists in the reporting of related results designed to assist HNAH Compliance in identifying deficiencies and other issues impacting compliance controls
  • Helps align the function to the Strong Enterprise Risk Management (SERM) framework by deploying the critical second line of defense testing function
  • Performs testing, as directed by CMAT management, and assists in the reporting of related results designed to assist HNAH Compliance in identifying deficiencies and other issues impacting compliance controls
  • The firm has systems and controls to allow it to comply with relevant rules and regulations; and
  • That the firm is in compliance with the relevant rules and regulations
  • The firm has systems and controls to allow it to comply with relevant rules and regulations; and/or
  • Plans, leads, and executes "audit-like" Compliance Reviews to assess the effectiveness of the bank's practices for compliance with federal and state consumer protections laws/regulations
CEP Compliance Testing Officer
09/2009 - 10/2013
Boston, MA
  • Researches regulatory laws, recent or proposed changes, guidance and interpretations as part of the Compliance Reviews
  • Prepares and presents Compliance Review results and written assessment reports that summarize the scope of the work performed, findings, and recommendations
  • Tracks and validates management corrective actions and enhanced business processes in addressing findings from Compliance Reviews
  • Assists in preparation for examinations by regulators and auditors
  • Acts as a subject matter expert for the "regulatory compliance programs" within the team's scope of responsibility
  • Plans, leads, and excutes "audit-like" Compliance Reviews to assess the bank's practices for compliance with federal and state consumer protections laws/regulations
  • Knowledge of products, operation process and applicable regulations
  • Timely escalation of issues to Country Compliance Control Officer and the concerned Business Manage
  • Participate in developing a review work plan based on the results of the annual compliance risk assessment, in consultation with the Americas Head of Compliance Testing and Line-of-Business compliance management. Ensure review work plan addresses regulatory priorities and that reviews are designed to meet applicable regulatory guidance

Education


Virginia International University
2003 - 2008
Bachelor's Degree in Business

Professional Skills


  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing
  • Possess analytical, problem solving, and researching skills
  • Extensive AML experience including Sanctions and AB&C experience is essential
  • Demonstrated knowledge and understanding of banking operations; and understanding of all facets of banking
  • Three years of experience of compliance testing, internal audits, external audits or other field related to the banking regulatory environment
  • Experience with managing / delegating the work flow required
  • Extensive experience with MS Office products including Word, Excel, Access, PowerPoint, Outlook, and Visio is required

How to write Compliance Testing Officer Resume

Compliance Testing Officer role is responsible for compliance, testing, education, planning, analysis, trading, retail, negotiation, presentation, business.
To write great resume for compliance testing officer job, your resume must include:

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

Contact Information For Compliance Testing Officer Resume

The section contact information is important in your compliance testing 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
  • Email
  • Telephone number

Work Experience in Your Compliance Testing Officer Resume

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

  • Ensure that all findings and recommendations are entered into Compliance Testing’s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
  • Perform analysis against regulatory risks and associated controls specific to Citi’s ICG activities and conduct testing of these in accordance with predetermined standards and test programmes
  • Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions)
  • Excellent leadership ability and organizational skills
  • Good knowledge of the laws and regulations applicable to CIT’s consumer banking business, including consumer lending and deposit operations
  • Three years of experience working with third party vendor relationships

Education on a Compliance Testing Officer Resume

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

When listing skills on your compliance testing 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 compliance testing officer skills:

  • Demonstrated experience of federally recognized examination procedures to evaluate compliance with applicable regulations
  • Working knowledge of the CRA, related data and examination procedures to assess effectiveness of the Bank’s CRA program
  • Years of functional/professional experience: 5 - 7 yrs. combined in Banking/Compliance/Audit/Risk Management/Regulatory
  • Years of functional/professional experience: 3 - 5 yrs. combined in Banking/Compliance/Audit/Risk Management/Regulatory
  • Assesses the effectiveness of bank’s processes and controls to ensure legal and regulatory compliance
  • Industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution

List of Typical Experience For a Compliance Testing Officer Resume

1

Experience For AML Compliance Testing Officer Resume

  • Leads and performs testing activities accurately, thoroughly, and following work paper protocols in accordance with Compliance Independent Testing Standard, Operations Manual, FMP (Fundamental Monitoring Points) requirements, and CUSO-IHC Standard
  • Adheres to Compliance Independent Testing Standards, Operational Procedures, established service level agreements, and any promised timelines in order to provide high value service to business partners
  • Leads and contributes to team process enhancements through sharing of innovative ideas. Also, adapts to and executes process improvements timely
  • Develops and maintains core technical and soft skills (e.g., systems, leadership, people management, planning and organizing, communication, job knowledge and problem solving)
  • Prepares and presents written information in a clear, concise, grammatically correct, and convincing manner
  • Responds timely to internal or external requests for information, analysis and/or advisory testing services
  • Follows up on the status of outstanding compliance issues in a timely manner
  • Performs non-Sarbanes-Oxley controls testing and evaluates results related to applicable areas
2

Experience For Senior Compliance Testing Officer Resume

  • Is a contributor in the development of the annual compliance testing schedule
  • Participate in related meetings and complete all required documentation that supports the work performed in accordance with the testing methodology
  • Communicate test results with compliance and business management both verbally and through written Compliance Testing reports
  • Achieve objectives within constraints
  • Collecting and reporting AML review results to identify trends and areas of emerging risks; and to communicate analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing AML emerging risks
  • Independently manages assigned testing and monitoring protocols, and develops risk-based testing activities under Compliance Testing Manager, and/or Head of Independent Testing guidance
  • Leads and performs testing and monitoring activities accurately, thoroughly, and following work paper protocols in accordance with Compliance Monitoring and Testing Standard, Operations Manual, FMP (Fundamental Monitoring Points) requirements, and CUSO-IHC Standard
3

Experience For CEP Compliance Testing Officer Resume

  • Performs and documents assigned risk-based testing of controls, designs and effectiveness of internal regulatory compliance policies and procedures. Identifies issues, exceptions and patterns, researches and analyzes testing results or issues, and prepares written summary report of testing results and recommendations
  • Works with the Compliance Department in identifying areas of risk and makes recommendations on operational improvements, processes for compliance, and quality assurance essential to mitigate risk. Seeks ways to assist the Bank in strengthening controls, remain compliant and improve efficiency
  • Keeps knowledgeable about current banking, regulatory, and audit issues; maintains expertise in areas tested
  • Properly executes testing and evaluates control design to assess compliance with laws, rules and regulations
  • Ensures work covers all procedures and supporting documentation is complete
4

Experience For AVP, Compliance Testing Officer Resume

  • Attends Compliance Department meetings and provides input on topics of discussion
  • Ensures reviews are efficient and address the current risk and control environment
  • Plans reviews to ensure they achieve the desired scope, objectives and deadline
  • Ensures reports are accurate, concise and clearly articulate the scope and results of each review
  • Escalates issues to the appropriate level of Compliance Management, as necessary
  • Execute compliance testing reviews across consumer banking businesses with an emphasis on residential lending and assess the key compliance risks while evaluating the associated internal controls for design and effectiveness
  • Draft issues, reports and prepare planning memos, process narratives, lead sheets and sample rationale documents as well as other test related material that requires minimal editing
5

Experience For Cass Compliance Testing Officer Resume

  • Build effective relationships with colleagues to enable partnership and collaboration
  • Recommend ratings for both issues and reports based on the work performed
  • Identify the root cause of policy and/or internal control deficiencies
  • Present suggestions for process improvements, associated corrective action and oversee the execution of the remedial actions by management
  • Participate in special projects or ad-hoc assignments on an as-needed basis
  • Coordinate the investigation and escalation of potential Issues and documenting appropriate remedial Actions. Manage closure verification of Actions following completion, including the assessment of evidence to support closure
6

Experience For Senior Corporate Compliance Testing Officer Resume

  • Understand and provide expertise on Compliance Testing policy and procedures, including in relation to scoping, sampling, QA, and documentation
  • Help enhance the Compliance testing programme as it evolves, liaising with the EMEA Compliance Coverage teams and relevant global teams and contributing to global discussions on testing matters and sharing best practice
  • Planning and Implementing
  • Collaborating as Partners
  • Coordinates, performs and documents testing to evaluate the bank’s compliance program’s adherence to policies, procedures, state and federal laws and regulations. Identifies compliance controls and develops strategies to ensure appropriate testing of controls. Monitors remediation activities of identified issues, escalation of past-due items
  • Lead the design and delivery of a portfolio of Compliance Tests and Reviews across the business units covered by the EMEA Compliance Testing programme and in line with the role and purpose of the Compliance Testing function. Focus on the key compliance risks and take a proportionate approach to scoping tests and completing testing efficiently to make the best use of available resources

List of Typical Skills For a Compliance Testing Officer Resume

1

Skills For AML Compliance Testing Officer Resume

  • Internal Audit or Compliance testing experience
  • Question existing processes/procedures with the intent to make them more efficient/effective
  • Be effective under pressure
  • Extensive overall industry experience, preferably with a background in Compliance, Risk or Audit gained in an international financial institution
  • Experience of Citi Businesses, Operations and Systems a distinct advantage
  • Project Management and/or data management experience beneficial
  • Significant overall industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
  • Extensive AML experience is essential
2

Skills For Senior Compliance Testing Officer Resume

  • Enhance Relationships with Stakeholders: Establish, develop and maintain strong relationships with internal and external partners
  • Identifying potential control weaknesses and making recommendations to strengthen
  • Compliance Testing and Monitoring Process
  • Designs, Plans, Executes and Leads Compliance Reviews (Monitoring and Testing) to assess the effectiveness of the bank’s practices used to ensure legal and regulatory compliance
  • Broad knowledge of banking industry and banking operations
  • Revise test scripts and monitoring checklists/tools used for testing to ensure that they reflect most current information and regulations
  • Detail oriented and ability to multi-tasking
3

Skills For CEP Compliance Testing Officer Resume

  • Be a team player, willing to work flexibly to meet team goals
  • Knowledge of consumer compliance regulations, particularly lending regulations
  • 30%: Risk Management (Compliance Findings and Reporting)
  • Acts as a subject matter expert for the “regulatory compliance programs” within the team’s scope of responsibility
  • Designs, Plans and Leads Compliance Reviews (Monitoring and Testing) to assess the effectiveness of the bank’s practices used to ensure legal and regulatory compliance
4

Skills For AVP, Compliance Testing Officer Resume

  • Audit/Business Administration/Finance. Analytical skills. English (Oral, and Written). Powerpoint. Advanced Excel. Multitasking. Executer. Strong organization, and discipline skills. Team working capacity. Results-oriented
  • To ensure that effective and timely corrective action plans are in place to address any areas of compliance risk that are identified
  • Significant industry experience with a background in Compliance, Risk or Audit, preferably gained in an international financial institution
  • Professional certification in compliance or audit desired (CRCM, CIA, CPA, etc.)
  • Relevant audit/compliance profession certifications, such as CRCM, CIA or CAMS
5

Skills For Cass Compliance Testing Officer Resume

  • Previous experience of Sales & Trading, Investment Banking, and/or Asset Management, whether though Compliance experience or working within the business or other controls functions. Prior experience of Compliance Testing useful but not essential
  • Identify the key compliance risks in the area subject to testing and to think creatively about how these risks might manifest in practice and how a test could seek to identify this
  • Good interpersonal skills and the ability to build relationships with members of the Compliance Department and employees in the business units and control functions subject to testing, challenging information received or decision made in a constructive way
  • Broad understanding of the FCA and PRA Handbooks and the approach of regulators in EMEA and globally, with particular focus on US regulators
  • Background and understanding of relevant AML, Sanctions and Anti Bribery and Corruption laws and regulations
6

Skills For Senior Corporate Compliance Testing Officer Resume

  • Attention to detail and proactive. Confidence to use own initiative and apply judgment in an in-house context
  • Manage delivery of a portfolio of tests and work programmes
  • Broad knowledge of federally recognized examination procedures to evaluate compliance with applicable regulations
  • Knowledge of the three lines of defense from a risk and control perspective
  • Knowledge of regulatory examination procedures used to evaluate consumer activities
  • Valuing Diversity:Demonstrates an appreciation of a diverse workforce. Appreciates differences in style or perspective and uses differences to add value to decisions or actions and organisational success
  • Ensure compliance risk control standards and maintained including timely implementation
  • Communicates openly, honestly and with transparency ensuring commitment to the Bank’s values and principles
  • Maintain current knowledge of all new regulatory developments which are applicable to Retail Servicing operations) and Collections. Determine the impact of proposed or actual changes to regulations upon current processes and procedures
7

Skills For Compliance Testing Officer x Resume

  • USA Patriot/Customer Identification Program Requirements
  • Takes personal accountability for decisions, actions and work product
  • Perform complex reviews of loan origination files to assess quality, accuracy and compliance with applicable regulatory standards
  • Work collaboratively with Business Unit Compliance Officers to successfully implement any procedural changes resulting from testing and monitoring, observations or findings. Proactively collect feedback to assess effectiveness of proposed changes
  • Works effectively and independently in a team setting to assist in the execution of all aspects of the review of assignments and contributes to their overall success
  • Monitoring timely completion of Corrective Actions Plans (‘CAPs’) developed in response to issues identified through compliance reviews and performing validation testing to verify appropriate CAP completion and issue closure
8

Skills For AVP Senior Compliance Testing Officer Resume

  • Summarizing the results of testing and monitoring in clear, accurate and concise written reports; andBe able to effectively communicate and explain the results of testing/monitoring activity to line management
  • Managing the administration of testing results and identified issues within the Firm’s centralised tracking system from raising to resolution
  • Strategic & Conceptual Thinking
  • Perform testing to evaluate compliance with federal laws and regulations applicable to the Bank’s third party vendors and the vendor management program
  • Initiate and promote value-added change
9

Skills For Compliance Testing Officer Volcker Rule Resume

  • Responsible for testing applicable AML legal, regulatory and policy requirements covering various businesses and processes across all businesses and processes of CEP (Ireland and 20 branches)
  • Demonstrates and influences others with a positive attitude in the work place and accepts accountability
  • Assisting in day to day management of the AML Compliance Testing Team
  • Work with countries across the region by providing consultancy on control issues identified as a result of AML testing
  • Analyse review results to identify trends and areas of emerging risks. Communicate this analysis to internal stakeholders to ensure consistency in approach to monitoring and addressing emerging risks
  • Develops and maintains compliance testing procedures and checklists for the Consumer Compliance Testing Program
10

Skills For Compliance Testing Officer Acca Resume

  • Oversee and guide junior team members, including assisting with Quality Control on tests completed by other team members
  • Prepare aspects of Compliance Testing management information on the work and findings of EMEA Compliance Testing
  • Provide support in relation to regulatory, audit or third party activities specific to AML Compliance Testing for CEP
  • Independently manages assigned testing protocols, and develops risk-based testing activities under Compliance Testing Manager, and/or Head of Independent Testing guidance
  • Leads and performs assigned testing activities within budgeted project hours including cross team engagements. Adheres to established timelines for testing and monitoring assignments

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