Financial Crimes Compliance Resume Sample

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Yolanda Fay
91645 Holly Camp,  Houston, TX
+1 (555) 818 6368

Work Experience

Financial Crimes Compliance Audit, Director
08/2017 - PRESENT
Dallas, TX
  • Assist the Head of FCC AML Office to implement and manage the following elements of the AML Programme
  • Dispensation process for Canadian Regional AML. Review and assess dispensations submitted, forming a recommendation for sign-off by the Canadian Head of AML
  • Variances introduced by business lines or geographies are monitored and considered for ongoing enhancements of the Programme, to ensure Canadian Regional consistency in the management of risk
  • Standards and policy documents are up to date and reviewed periodically, in accordance with Programme requirements of other trigger events
  • Assist the Head of FCC AML Office to establish the framework for AML reporting and the preparation of the annual AML report and EWRA qualitative assessment
  • Assist with communications for the AML function, including the AML Steer Co and Townhalls for the immediate AML function, Senior Stakeholder briefings, regional level briefings through the country AML Offices
  • Assist with the implementation and execution of the AML Plan, including
  • Assist with AML projects and responding to audit and regulatory findings, including the results of the EWRA
  • Coordinate projects, stakeholder involvement and attendance of related steering committees, ensuring alignment of AML initiatives with other functions within FCC and RC
Financial Crimes Compliance
07/2013 - 05/2017
Chicago, IL
  • Fully understands the regulatory requirements for compliance with Federal standards (FFIEC Guidelines) and ensures investigative procedures comply with those requirements
  • Is cognizant of all banking products and OFAC risk associated with those products and services, changing Global Sanctions, and demonstrates expert-level knowledge of OFAC requirements
  • Develops and maintains relationships with colleagues from other firms, trade associations and other organizations relevant to the executive’s functional responsibilities
  • Process cases to agreed procedural standards required and within agreed service levels
  • Ensure appropriate pro-active use of media and relevant websites to gather intelligence and identify ML or TF risk associated with relevant investigation subjects
  • Produce a high quality case file including a comprehensive narrative and recommendation as to whether or not a STR is required
  • Identifying and assessing operational risks and controls within acceptable levels to the scale and nature of the area’s operations and within Group and regional standards and local regulations
  • Assist with the CEO Attestation, including significant open issues in the internal control framework and obtain Management’s confirmation that all documented policies and procedures remain effective against known significant issues
Summer Internship Enterprise Financial Crimes Compliance
10/2006 - 01/2013
Houston, TX
  • Act as back up to the Head of FCC AML Office on the AML Exco and related Steering Committees, acting as an effective escalation point for AML and facilitating issue resolution
  • Directs multiple Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Business Analysts involved in the evaluation of system requirements
  • Manages the tasks of BSA/AML Business Architects assigned to a project, as required, to assure objectives are met on time and within cost, includes project planning, project design, and developing integrated business solutions
  • Defines requirements, procedures, and practices to implement changes and increase efficiency
  • Analyzes problems in terms of process and/or system functionality; generates data and applies analytical and quantitative techniques to formulate, describe, communicate, and coordinate implementation of recommended solutions
  • Quickly learn the US Bank sanctions screening systems (including LexisNexis Bridger Insight XG) and become a subject matter expert. Support Economic Sanctions Adjudication teams with troubleshooting the application, and develop intricate knowledge of the system’s relevant algorithms and configurations
  • Provide support and guidance to CBSS Business Units on what actions to take in dealing with high risk and special requirements customer accounts
  • Lends expertise and support across all lines of business and corporate functions on economic sanctions activity to provide a consistent view and approach
  • Ensures that information which is developed regarding potential OFAC and Global Sanctions is effectively communicated to the Managing Director and US Head of Sanctions in a timely and complete manner


American InterContinental University (AIU)
2001 - 2006
Bachelor's Degree in Business

Professional Skills

  • Have excellent interpersonal skills and ability to work effectively with internal and external stakeholders
  • Relevant experience including recent experience specifically in Money Laundering Prevention/ Anti Financial Crime
  • Experience in financial service company (banking) and BSA/AML compliance experience
  • Experience in leading and managing, internal/external development and operations (DevOps) teams who are geographically separate
  • Flexible with re-prioritising work in response to business needs
  • Experience of Anti-Money Laundering Compliance, KYC Operations or other risk/control functions
  • Recent experience of Anti-Money Laundering Compliance, KYC Operations or other risk/control functions an advantage

How to write Financial Crimes Compliance Resume

Financial Crimes Compliance role is responsible for research, government, events, reporting, security, database, integration, finance, search, landscape.
To write great resume for financial crimes compliance job, your resume must include:

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

Contact Information For Financial Crimes Compliance Resume

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

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

  • Responsible for day to day oversight of the effectiveness of the Transfer Agent’s, including reviewing management information and policies and procedures
  • Understanding of database modelling and data warehouse principles
  • Analysing trends and patterns in alerts for GFC coverage areas using advanced analytic tools
  • Ensuring that all analysis is completed in a timely and efficient manner, while maintaining the highest standards for regulatory and compliance requirements
  • Liaising with Compliance IT and other key stakeholders and partners with respect to technology projects and other initiatives impacting the FIU/Investigations
  • Interfacing with PBS’s Customer Information Management product managers, providing market and customer feedback

Education on a Financial Crimes Compliance Resume

Make sure to make education a priority on your financial crimes compliance 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 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 Financial Crimes Compliance Resume

When listing skills on your financial crimes 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 financial crimes compliance skills:

  • Work effectively on multiple reviews with different groups at the same time
  • Project management experience – ability to partner and motivate others to develop and deliver timely and effective solutions for a specific issue
  • Experience supporting initiatives in a large, complex, highly-regulated financial institution
  • Strong proficiency in Microsoft Word, Excel, Access, PowerPoint and Outlook
  • 5 – 7 years of BSA/AML corporate compliance experience
  • Coordinating with senior peers in the Firm’s other regions on matters relating to onboarding, due diligence and policy interpretation

List of Typical Experience For a Financial Crimes Compliance Resume


Experience For Financial Crimes Compliance Audit, Director Resume

  • Monitor and control adherence to policies and regulatory rules via ongoing controls
  • Identify and address items through day-to-day assignments to ensure the Bank’s KYC and CIP standards have been met
  • CAMS or CFE Certification required
  • Monitoring Financial Crimes industry developments, including red flags and best practices and ensure processes are in place to keep the FIU/Investigations team updated on such developments
  • Provide advice in relation to regulatory and internal requirements on
  • Supervision of Financial Crimes related outsourcings

Experience For Financial Crimes Compliance Platform Owner Resume

  • Conduct Financial Crimes related trainings
  • Provide support in revision and update of Financial Crimes related policies and procedures
  • Close liaison with Financial Crimes professionals in other Morgan Stanley regions
  • Act as primary escalation and liaison point for MSIM Financial Crimes matters relating to public and private funds and discretionary managed portfolios for the following areas
  • Assist with Firm’s oversight programme relating to Transfer Agents including, but not limited to, initial due diligence reviews, risk assessments, ongoing communication and oversight
  • Liaise with MSIM Operations teams in Luxembourg and London in relation to the onboarding of new investors to Luxembourg, Irish and UK AML rules

Experience For Business Consultant Financial Crimes & Compliance Resume

  • Responsible for responding to queries from all areas of the MSIM business on day to day Financial Crimes related inquiries (e.g. client on-boarding, Fund related matters, policy guidance)
  • Responsible for liaising with MSIM Private business to advise on KYC requirements for transactional due diligence; review of risk reports and escalation of financial crimes considerations to the relevant personnel as appropriate (anti-corruption, sanctions, AML)
  • Assist in reviewing escalations arising from payments screening
  • Perform daily, weekly and ad hoc negative news and sanctions screening checks as required
  • Assist and provide cover to other advisory functions as required
  • Rules Management Framework: assist in maintaining the rules management framework which includes: capturing all applicable rules, and ensuring these are tracked through to the Firm’s policies, procedures, training, systems and controls and testing
  • Lessons Learned: Maintaining a ‘Lessons Learned’ Programme: identifying and evaluating external and internal events and considering potential lessons to be learned and recommending enhancements to the Firm’s existing systems and controls where applicable

Experience For Project Manager Enterprise Financial Crimes Compliance Resume

  • Liaison with stakeholder teams across GFC, the Morgan Stanley Business Units and Operations
  • Sanctions and Embargoes
  • Practical and pragmatic
  • AML / CTF
  • Regulatory Developments: assist in the oversight of the regulatory and public policy developments programme within EMEA Financial Crimes. Identifying regulatory developments throughout the EMEA region and globally, with a financial crimes impact. Assessing their impact and recommending potential implementation plans. Liaising with other GFC staff to co-ordinate the implementation of any changes

List of Typical Skills For a Financial Crimes Compliance Resume


Skills For Financial Crimes Compliance Audit, Director Resume

  • Have the ability to effectively handle a fast paced environment and work to tight deadlines
  • Experience with MS Windows / NT and Linux / UNIX operating systems
  • Understanding of financial markets and products (in particular, asset management and funds)
  • Reviewing Financial Crimes/AML regulatory reports for non-UK EMEA locations
  • Tracking deliverables across multiple initiatives; and
  • Being assigned to an Investigative Team as an Investigator, as well as, a Reviewer and/or Manager (50%)

Skills For Financial Crimes Compliance Platform Owner Resume

  • Conducting internal and external investigations of known or suspected fraudulent/illegal activity which could result in loss to U.S. Bancorp
  • Assist in conducting AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank’s policies and procedures
  • Support the SAR Committee by preparing briefs, taking minutes
  • Support future phases of efforts related to tiered monitoring such as auto-closure, segmentation, profiling
  • Assess the output of Financial Crimes -related alerts from screening, transaction monitoring and negative news tools
  • Certification as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification/license an advantage – or certification within 15 months of hire

Skills For Business Consultant Financial Crimes & Compliance Resume

  • Knowledge of Know Your Customer requirements including customer due diligence and enhanced due diligence
  • Perform as EFCC Operations lead point of contact for all examinations including audit, internal quality assurance and regulatory
  • Partner with impacted EFCC Operation’s teams and the examining group to define examination scope
  • Ensure timely reporting and escalation of regulatory issues to stakeholders
  • Manage an enhanced customer acceptance, customer risk rating, enhanced due diligence, and the overall Know Your Customer (KYC) Program
  • Manage team members, assign workload, develop career
  • Be able to recognise and escalate risks and issues appropriately

Skills For Project Manager Enterprise Financial Crimes Compliance Resume

  • Possess strong written and verbal communications skills – able to deliver key information in a meaningful and succinct that is appropriate for varying levels of seniority within the firm
  • Be able to identify and escalate risks and issues appropriately
  • Experience in reviewing customer CIP, transactions and information for potentially suspicious activity as well as performing AML or financial investigations
  • Strong knowledge of the laws applicable to money laundering, including Bank Secrecy Act, the USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements
  • Strong research skills including experience with online search tools
  • Experience of asset management or funds industry an advantage

Skills For Senior Manager Financial Crimes Compliance Aml Office Resume

  • Knowledge of German Anti Money Laundering / Counter Terrorist Financing rules and regulations
  • Knowledge of regulatory landscape regarding bribery and corruption
  • Familiarity with some or all of the business lines operating in Morgan Stanley’s German operation (Institutional Sales and Trading, Investment Banking, Investment Management)
  • Well organised and able to adapt, solution oriented
  • Knowledge of 4th EU Money Laundering Directive, Money Laundering Regulations in the UK, and money laundering legislation/regulations in other jurisdictions in which the business operates (Knowledge Luxembourg and/or Irish regulations would be an advantage)

Skills For Financial Crimes Compliance Research Analysts Resume

  • Knowledge of Money Laundering Regulations in the UK and in other jurisdictions in which the Firm operates (Knowledge Luxembourg and/or Irish regulations would be an advantage)
  • Recent audit, operational risk, legal or compliance experience in a banking, law firm or management consulting environment
  • Familiarity with financial crimes compliance programmes and the regulatory framework that requires them
  • Understanding of financial markets and products (in particular, Equities, Fixed Income, Commodities and Investment Banking/Capital Markets and investment management)
  • Ensure effective and timely transition of identified issues to the Bank's issue management process

Skills For Global Head of Financial Crimes Compliance Payment Services Resume

  • Identification of Financial Crime Compliance changes and potential impacts on GBM in Canada
  • Manage examination deliverables. Includes not just the delivery of requested documents and data, but oversight of deliverables to ensure adequacy and appropriateness
  • Supporting the EMEA Sales organisation to qualify opportunities for PB’s Entity Resolution solution
  • Partner with impacted teams and the examining group to ensure clear, concise, and accurate examination reports
  • Create appropriate management responses including the identification of achievable timelines
  • Meets all deliverables for QA reviews, analyses, and regular reporting
  • Works with the US Economic Sanctions Head of Advisory and Due Diligence Services regarding HSBC’s Risk Profile and LOB procedures to provide advice and guidance on Global Sanctions policies and procedures
  • Maintains and organizes the monitoring function for wire transfer and cash letter deposit activity across the large corporate and financial institutional client base

Skills For Financial Crimes Compliance / BSA Resume

  • Provides oversight and advisory role on know your customer (KYC) for businesses among the highest risk in the Company and have commensurate levels of reputational risk
  • To discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators
  • Assisting with programmatic efforts and projects including consent order deliverables, metrics, and tracking (40%)
  • Reviewing case investigations, resulting in approval of case investigation or guidance and instruction to conduct additional investigative steps to allow for further review
  • Managing and supervises an investigative team

Skills For Senior Manager Financial Crimes Compliance Rbwm Asset Management Resume

  • Being assigned to the Inspection & Repair Team (10%)
  • Conducting additional quality control reviews, beyond reviewer and/or manager level, in order to improve overall case and SAR quality
  • Regulatory Developments: Supporting the regulatory developments program within EMEA Financial Crimes. Monitoring of regulatory developments with a financial crimes impact from different sources and performing impact analyses
  • Lessons Learned Program: Reviewing significant regulatory and or legal actions and evaluating their applicability or relevance to the Firm’s Financial Crimes Programme. Proposing recommendations on next steps and project managing resulting streams of work
  • Acting as the primary escalation point for issues relating to Financial Crimes in non-UK EMEA locations
  • Investigating issues and managing projects identified that affect the Financial Crimes framework
  • Management and development of the non-UK EMEA governance framework

Skills For Summer Internship Enterprise Financial Crimes Compliance Resume

  • Facilitating interaction between non-UK EMEA Financial Crimes officers and centralised Financial Crimes functions (including in respect of regulatory initiatives, internal and external audits, and other enhancement activities as well as training, policies and procedures, screening and monitoring)
  • Experience with MSSql, standard database query tools, Java, script management/development
  • Project management of non-UK EMEA Financial Crimes initiatives
  • Work with stakeholders to foster an open and honest risk management culture
  • Analyze and review alert closures, conclusions, and corrective actions to ensure the Bank’s quality review standards are met
  • Perform QA for “below the line” testing of monitoring system scenarios, alert scoring engine, and other model output as applicable, as well as for other non-BAU alerts
  • Review and investigate potential issues as a result of Inputs and Outputs
  • Maintain the inventory of procedures, work instructions, job aids, guidance, new activities, and changes for the FCC Operations team

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