Financial Crimes Resume Sample

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Rex McGlynn
258 Schulist Stravenue,  Houston, TX
+1 (555) 465 1745

Work Experience


Financial Crimes Investigation Unit-VP
02/2016 - PRESENT
San Francisco, CA
  • Efficiently communicate and interact with clients with limited use of documented scripting based on client responses
  • Three years of experience in financial fraud prevention and/or investigation
  • Promote the department’s goals and strategies throughout the company
  • Assist in the development and maintenance of globally applicable customer identification, customer due diligence, enhanced due diligence and other KYC policies and procedures
  • Collaborate with AML Coverage Managers, Operations, Legal, IT and business stakeholders on the development and implementation of regional and business line KYC policies and procedures that adhere to the program standards established by global KYC policies
  • Be an escalation point for issues related to the interpretation or application of KYC policies throughout the Firm
  • Assist in driving KYC program enhancements to meet new legal requirements, evolving regulatory expectations, industry best practices and self-identified program needs
  • Participate in internal, external and regulatory audits and examinations that have KYC policy and procedure components and provide assistance for any resulting program enhancements
  • Collaborate on strategic program efforts, including the development of a new Single Client View capability
Financial Crimes Systems Analyst
05/2011 - 08/2015
New York, NY
  • Activities that require a significant amount of daily time: research and wrting
  • Task critical to success: good research skills, excellent verbal communication skills; superb writing skills
  • Research; 50% writing
  • Performs expansive investigative research and analysis concerning legal/regulatory inquiries, filings and actions, adverse media reports and other high profile matters potentially posing financial crime, regulatory or reputational risk
  • Evaluates transactions and customer relationships for money laundering activities, identifies red flag issues, escalates within the AML framework for further investigation and drafts Suspicious Activity Reports (SAR’s) as appropriate
  • Maintains familiarity with appropriate investigation techniques to support AML activities, including research utilizing bank systems, intranet, internet legal and third-party sources, and external vendor solutions as appropriate
  • Provide additional support with the AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions as appropriate
  • To discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators and law enforcement agencies
  • Provides work direction and daily direction for staff. Responsible for managing and prioritizing workflow based on order of importance and level of risk to TCF and according to the team’s skills and abilities
Financial Crimes Summer Internship
06/2007 - 01/2011
Houston, TX
  • Support special projects identified by the Global Head of KYC and the Head of GFC Core Functions
  • Project managing aspects of the Financial Crimes programme, to include
  • Make decisions that impact processes and clients with financial, compliance and legal implications (e.g. pay/no pay, block/hold an account and transaction or access based on analysis of research conducted)
  • Communicate and interact with external clients, Community Bank, various lines of business, and other financial institutions to verify authenticity of items or availability of funds. Educate clients about fraud issues including online banking safety and take appropriate action to protect clients’ accounts
  • Process low to mid-range cases (up to $2,500) with one to two transaction/case types
  • Evaluate cases with simple to moderate complexity to ensure the necessary information and documentation is available. Research case evidence for validity and authenticity
  • Perform the following functions based on the assigned area within the department
  • Gain and maintain effective knowledge and understanding to ensure processes comply with regulations (e.g. Regulation E, Visa Operating Rules, UCC, Federal Credit Reform Act (FCRA), Regulation J, Regulation CC, NACHA, Bank Secrecy Act/Anti-Money Laundering/Patriot Act (BSA/AML), Telephone Consumer Protection Act (TCPA), Office of Foreign Assets Control (OFAC) and Identity (ID) Theft red flags)
  • Prepare documentation to return items, stop bill payments, close accounts/block cards, hold funds, block online access and complete client/branch notification forms and Suspicious Incident Reports (SIR). If applicable, prepare consumer claim documents on all on-us fraud transactions including fees and interest

Education


Strayer University - Newport News Campus
2002 - 2006
Bachelor's Degree in Business

Professional Skills


  • Customer service/call center experience
  • At least 9 months or more of financial services experience
  • Influencing leadership in order to increase effectiveness of marketing activities thus driving revenue and strengthening brand in the marketplace; and,
  • Demonstrating extensive abilities to communicate and write in order to translate complex concepts into easy to understand and compelling messaging
  • Managing and driving multiple complex marketing programs in one or more business areas
  • Setting strategic direction for the Financial Crimes team and overseeing performance to ensure key objectives are met
  • Highlighting potential technical and non-technical solutions for improving current fraud detection and response processes

How to write Financial Crimes Resume

Financial Crimes role is responsible for research, securities, retail, finance, credit, training, database, security, trading, reporting.
To write great resume for financial crimes job, your resume must include:

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

Contact Information For Financial Crimes Resume

The section contact information is important in your financial crimes 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 Financial Crimes Resume

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

  • Strong research skills, advanced skill in the use of Microsoft Outlook, Excel, PowerPoint, Word, and Access
  • Exposure to working with compliance testing scripts and/or experience with performing testing reviews or audits
  • Highly experienced in a banking Fraud leadership role (1st line) leading a team of Fraud specialists
  • Seven or more years of relevant managerial experience in compliance or related risk management, data analytics or critical thinking positions
  • Recent experience of Anti-Money Laundering Compliance, KYC Operations, investigations or other risk/control functions an advantage
  • Experience in financial crimes investigator

Education on a Financial Crimes Resume

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

When listing skills on your financial crimes 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 financial crimes skills:

  • Have a proven track record of effectively managing fraud and AML risks in a retail bank across all common retail bank products at senior leadership level
  • Demonstrated experience leading process and technology change within a large financial institution’s AML and/or trade surveillance environment
  • Total years and type of prior related experience:2+ years in banking/finance industry or data analytics
  • Total years and type of prior related experience: 2+ years in banking/finance industry or data analytics
  • Design a plan to perform a validation and end to end testing of the effectiveness of sanctions related system controls
  • Effectively research and review complex/unique situations

List of Typical Experience For a Financial Crimes Resume

1

Experience For Financial Crimes Systems Analyst Resume

  • Assist with the oversight of the implementation of FinCEN’s Customer Due Diligence rule throughout the company and conduct industry benchmarking as necessary
  • Provide support to Financial Crimes and Enterprise Technology regarding business-side system administrator responsibilities, including access management, change management, logging and monitoring, etc., using technical and business knowledge
  • Perform analysis to identify opportunities to improve program and adjust to changing environment
  • Responsible for day to day activities within AML Operations and Analytics, specifically the Transaction Monitoring Insights and Analytics team
  • U.S. Bank Enterprise Financial Crimes Compliance Program Vision and Status Communications
  • Create presentations, communications, and metrics to educate internal and external partners
  • Collaborate with team to meet key deliverables across the Enterprise Financial Crimes Compliance Team
2

Experience For Financial Crimes Investigation Unit-VP Resume

  • Build effective working relationships by providing regulatory and industry news, emerging trends, new policy direction and other communications to the business line to ensure transparency
  • Execute EFCC Risk Assessments, Business Change Risk Assessment, Third Party Risk Management Reviews
  • Provide guidance and review material changes to BL procedures to align with EFCC policies
  • Analyze data for trends and anomalies and present findings
  • Create, manage, and utilize high performance relational databases (SAS, SQL Server 2012, Microsoft Access, OLAP and other)
  • Assists AML Analytics and Operations Manager
3

Experience For Financial Crimes Data Analyst Analytics & Operations Manager Resume

  • Major field of study:Computer Science, Mathematics/Statistics, Business or related major
  • Major field of study: Computer Science, Mathematics, Business or related major
  • Travel, international and domestic
  • Lead the OFAC Compliance Systems & Technology Audit Team
  • Communicate with clients about sensitive information
  • Review, verify and/or identify customer transactions to detect/prevent financial crimes activity, policy violations and suspicious situations in order to mitigate losses
4

Experience For VP, Audit Financial Crimes Resume

  • Enhanced Due Diligence and Advisory
  • Assist with the development, implementation and execution of risk-based Compliance testing to review and assess the effectiveness of the Firm’s AML, Sanctions and Anti-Bribery and Corruption policies and procedures and controls
  • Querying and mining large data sets to discover transaction patterns, examine financial data and filter for targeted information using traditional as well as predictive/advanced analytic methodologies
  • Prepares documentation to return items, deny payments, close accounts, block cards, hold funds, block online access and complete client/branch notification forms. Prepares financial spreadsheets or enters data into a database or system in order to capture and monitor loss information for further analysis
  • Highlight potential technical and non-technical solutions for improving current fraud detection and response processes
  • Provide regular reporting on CSFC cyber-enabled fraud efforts to cross functional staff and executive leadership
5

Experience For Financial Crimes Innovation & Effectiveness Data Analyst Resume

  • Represent the CSFC during financial crime related audits and regulatory exams
  • Financial Crimes Testing
  • Identify and analyze cyber-enabled financial crime patterns to prevent future cyber-crimes against Citi, its partners, and clients
  • Ensure detected fraud cases are properly escalated and resolved in a timely manner
  • Create and standardize global CSFC financial crime capabilities
6

Experience For AML Financial Crimes Risk Manager Resume

  • Closely integrate with all CSFC teams in their three global locations particularly those teams focused on intelligence, big data analysis, investigation, and cyber “hunt” activities
  • Interact frequently with Citi’s Security Operations Centers on their financial crime and cyber security efforts
  • Develop cyber-enable fraud crisis management plans
  • Lead tabletop and live exercises to better prepare all CSFC teams for their cyber enabled financial crimes responsibilities
  • Participate in broader global internal and external events/meetings as the CSFC cyber enabled financial crime SME
7

Experience For Senior Financial Crimes Director Resume

  • Understand how other financial institutions manage the coordination and communication of financial crime events particularly during detection, response, and mitigations phases
  • Identify methods in which CSFC financial crime initiatives can add value to our clients and stakeholders
  • Act as partners in CSFC responses to catastrophic or significant cyber incidents (both internal and external)
  • Travel, domestic and international
  • Financial Crimes Investigations
  • Establishes and maintains files and records while maintaining client confidentiality. Communicates identified fraud trends to assist management in adjusting parameters of fraud detection systems. Develops and prepares periodic reporting for management and continuously strives to improve reporting process. Identifies and clearly communicates system issues and gaps to management in a timely manner

List of Typical Skills For a Financial Crimes Resume

1

Skills For Financial Crimes Systems Analyst Resume

  • Experience in financial crimes intelligence analyst
  • Experience in financial crimes investigator
  • Providing regular reporting on CSFC cyber-enabled fraud efforts to cross functional staff and executive leadership
  • Identifying, and analyzing cyber-enabled financial crime patterns to prevent future cyber-crimes against Citi, its partners, and clients
  • Overseeing marketing strategies and plans that deliver positive results in brand awareness and revenue growth
2

Skills For Financial Crimes Investigation Unit-VP Resume

  • Utilizing global CSFC financial crime capabilities
  • Navigating through multiple screens quickly
  • Developing cyber-enable fraud crisis management plans
  • Participating in tabletop and live exercises to better prepare CSFC teams for their financial crimes responsibilities
  • Representing the CSFC in broader global internal and external events/meetings as the CSFC financial crime SME
  • Overcoming internal barriers and resource constraints to produce successful program(s)
3

Skills For Financial Crimes Data Analyst Analytics & Operations Manager Resume

  • Working knowledge of fraud detection systems
  • Participate in the drafting and revising of the Bank’s BSA/AML and Sanctions programs, policies, procedures and operating manuals
  • Annual tuning of suspicious transaction monitoring scenarios and customer risk rating models
  • Manage and facility client Due Diligence, including coordinating the participation of bankers/branches and the AML teams that serve the KYC officer(s)
  • Serve as the point of contact for KYC and reporting issues for designated clients as well as the AML outreach team
4

Skills For VP, Audit Financial Crimes Resume

  • Participate in annual AML discussions and training
  • Identify, discuss and escalate with AML teams and complex issues surrounding client types and other AML related risk issues
  • For the Testing Team roles - ACCA, ACA or CIA qualifications would be desirable
  • Knowledge of securities, derivatives and other complex products’ trading strategies and compliance requirements
  • Perform ad-hoc reporting for other AML functions
  • Assists in preparation of documentation for regulatory agencies as well as internal audit and testing teams
  • Develop customer risk rating models in SAS
  • Onboard new products onto the AML Analytic and Operations platforms, including data quality and analysis
  • Exposure to compliance testing, quality control/assurance processes or internal/external audits
5

Skills For Financial Crimes Innovation & Effectiveness Data Analyst Resume

  • Use a variety of sources for information, including online systems and tools/models
  • Perform general account handling functions such as close account determination, holds, restraints, etc
  • Motivated, eager, and customer service driven
  • Computer proficient and ability to multi-task
  • Flexibility work overtime and possibly some weekends
  • Flexibility to work in Chandler or Tempe
6

Skills For AML Financial Crimes Risk Manager Resume

  • Working closely with internal and external constituents, including regulatory/governing bodies – particularly with the Fed and the OCC -- in the interest of CIT acting in full compliance with all requirements
  • Ensuring that all Financial Crimes policies and procedures are continuously monitored, evaluated, updated and enforced in a timeline that is consistent and adequate given the risk to the enterprise
  • Instituting and maintaining an effective Financial Crimes reporting and communication program for the firm, including the training of existing and new CIT employees to achieve enterprise understanding of key issues
  • Participating in industry and firm-wide committees to influence policy creation and ensure that such policies and execution are consistent with the needs of regulators
  • Maintaining quality relations with emphasis on service, quality and support of business needs
  • Ensuring that current processes are regularly evaluated for best practice approaches
  • Ensuring detected fraud cases are properly escalated and resolved in a timely manner
  • Closely integrating with all CSFC teams in their three global locations particularly those teams focused on intelligence, big data analysis, investigation, and cyber “hunt” activities
  • Interacting frequently with Citi’s Security Operations Centers on their financial crime and cyber security efforts
7

Skills For Senior Financial Crimes Director Resume

  • Understanding how other financial institutions manage the coordination and communication of financial crime events particularly during detection, response, and mitigations phases
  • Identifying methods in which CSFC financial crime initiatives can add value to our clients and stakeholders
  • Acting as a partner in CSFC responses to catastrophic or significant cyber incidents (both internal and external)
  • Participating in Citi financial crime related audits and regulatory exams
  • Utilize multiple screens
8

Skills For Financial Crimes Specialist Resume

  • Perform KYC fraud related checks on potential high risk customers to better detect client fraud for the branches
  • Act as KYC and AML subject matter resource expert for KYC Due Diligence teams (districts)
  • Act as subject matter expert on KYC/AML policy and procedures
  • Evaluate client AML/KYC risk, including the identification of key issues and related mitigations through independent research, verifying appropriate risk profile and making risk assessment recommendations
  • Liaise with various CBBD FCC AML groups
9

Skills For Financial Crimes Cons Resume

  • Assessing marketing needs to make recommendations in allocation of budget across respective business unit(s), managing marketing budgets across all programs, measuring and tracking results of marketing programs, reporting on return on investment (ROI)
  • Engaging in teamwork dynamics as a team leader, including understanding personal and team roles and contributing to a positive working environment by building solid relationships with clients and team members
  • Overseeing and maintaining the BSA/AML and OFAC risk assessments for the business units within TOS
  • Review and analyze key metrics related to key measurements of BSA/AML execution
  • Escalate significant BSA/AML issues and activities to senior management
  • Oversight, guidance and credible challenge to senior business leaders in driving timely resolution to targeted completion dates for issue milestones and overall resolution plans
  • Oversight and guidance to the business in the development and implementation of effective controls for CIP, CDD, periodic review, and enhanced due diligence for higher risk customers
  • Point of escalation for Risk Management on KYC implementation efforts related to BSA/AML Operational Processes
10

Skills For Analyst AML & Financial Crimes Resume

  • Provide leadership for the execution of EFCC Risk Assessments, Business Change Risk Assessment process, and Third Party Risk Management Reviews
  • Development of Executive-level communications to educate appropriate internal and external partners/leaders
  • Acts as a positive role model and plans opportunities to improve own and others’ technical competency and professional growth
  • Seven to ten years of experience in an applicable risk management environment with specific emphasis on Corporate Functions compliance related to BSA/AML/OFAC at a large financial institution, regulatory or law enforcement agency
  • Proficient in SQL and/or SAS

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