Global Financial Crimes Resume Sample

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Kolby Cassin
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Work Experience


Global Financial Crimes Program Manager
08/2015 - PRESENT
Houston, TX
  • Experience with compliance testing, quality control/assurance processes or internal/external audits
  • Receive, request, analyze and disseminate information relating to suspicious activities in order to improve GFC’s monitoring processes and case results
  • Lead global coordination related to: high risk clients, including politically exposed persons, SAR/STR processes, and fulfilling Firm’s 314 (a) reporting requirement
  • Receive, request, analyze and disseminate information related to suspicious activities in order to improve GFC’s monitoring processes and case results
  • CAMS certified would be an advantage
  • Relevant experience in AML Compliance, preferably in sizable financial institutions or professional audit or consultancy firms
  • Develop proactive intelligence relating to financial crimes, including: money laundering, terrorist financing, global sanctions, corruption, external fraud, cyber threats and high-risk customers
  • Lead global coordination related to: high risk clients, politically exposed persons, STR processes
Global Financial Crimes
08/2012 - 03/2015
New York, NY
  • Drive case investigations that supplement the efforts of other GFC groups
  • Supervision of transaction monitoring and AML surveillance LI-LT2
  • Manage and oversee global anti-corruption compliance program in the Asia-Pacific region
  • Oversee Asia-Pacific implementation of ACG compliance functions, including
  • Assisting in the execution of a risk-based Compliance test plan including AML based desk reviews and test checks within Morgan Stanley and at Third Party Vendors to assess the adequacy and effectiveness of AML policies, procedures and controls
  • Communicating test results and program gaps to the Business Units and AML coverage areas reviewed including drafting reports detailing results of the review
  • Advise, engage and coordinate with internal stakeholders, including the Global Testing Teams, in the development of AML testing activities
  • Co-ordinate with the Asia Compliance Officers on AML-related issues and matters, such as internal reviews, monitoring and testing of AML-related processes and controls and the implementation of AML policies and procedures. LI-LT2
Global Financial Crimes Policies
10/2007 - 04/2012
Detroit, MI
  • Develop/manage the regular internal training series for GFC in the Americas
  • Assist in development and rollout of Financial Crimes training for new and recent hires
  • Coordinate and track training provided for the benefit of the AML Group, including the ongoing work associated with the Certified Anti-Money Laundering Specialist (CAMS) initiative
  • Coordinate and track policies and training provided by GFC to targeted business units globally
  • Work with business unit and regional AML teams to develop training content
  • Assist in the development of GFC’s annual Firm-wide targeted training plan
  • Coordinate with members of the Global Compliance department on quarterly updates on the status of all policies and trainings included on GFC’s Annual Compliance Plan
  • Coordinate with members of the Global Compliance department on the development of the Global AML Online course

Education


University of Phoenix - Lenexa Learning Center
2001 - 2006
Bachelor's Degree in Business

Professional Skills


  • Proven AML SME experience in APAC, with good planning and organizational skills and strong ability to implement initiatives independently
  • Possess excellent communication and influencing skills, including the ability to work effectively with colleagues across regions and business units
  • AML investigatory experience and strong analytical skills
  • Have strong quantitative and qualitative analytical skills and a creative and flexible approach to problem solving
  • Strong interpersonal skills and the ability to work collaboratively and with people at all levels of the organization
  • Demonstrate proactive leadership and management skills, to drive the development of the FIU and investigations team
  • Have excellent written and verbal communications skills in English, fluency in Chinese (traditional or simplified) advantageous

How to write Global Financial Crimes Resume

Global Financial Crimes role is responsible for analytical, aml, communications, excel, insurance, securities, retail, training, database, auditing.
To write great resume for global financial crimes job, your resume must include:

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

Contact Information For Global Financial Crimes Resume

The section contact information is important in your global 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 Global Financial Crimes Resume

The section work experience is an essential part of your global 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 global 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 global financial crimes position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Global Financial Crimes resume experience can include:

  • Experience working in AML-related compliance function of a large commercial and/or investment bank or in a regulatory agency
  • Maintain executives’ calendar, schedule all meetings and conference calls, handle meeting conflicts and prioritization issues
  • Onboarding / provide feedback to vendor / offboarding / handle escalations from coverage managers
  • Overseeing local and overseas teams of analysts in the alert review chain
  • Assisting with Internal Audit enquiries in alerts clearing LI-GK2
  • Train others on certain learning management tools for purposes of training tracking

Education on a Global Financial Crimes Resume

Make sure to make education a priority on your global 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 global 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 Global Financial Crimes Resume

When listing skills on your global 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 global financial crimes skills:

  • Anti-Money Laundering experience and strong analytical skills
  • Anti-Money Laundering experience and strong analytical skills
  • Exceptional written and verbal communications skills, attention to detail, and effective time management
  • Interest in developing new technological skills
  • Strong team player and ability to operate in an international environment
  • Pulling, consolidating, and formatting raw data from multiple sources to create account overview and transactional activity files for the KYCCU

List of Typical Experience For a Global Financial Crimes Resume

1

Experience For Global Financial Crimes Program Manager Resume

  • Conduct testing to review and assess the effectiveness of the Firm’s AML policies and procedures and controls
  • Running macros to generate CAR templates for the KYCCU
  • Developing CAR processes for products not yet covered by CAR procedures and for new products
  • Preparing filing of Suspicious Transaction Reports (STR)
  • Actively participate in Global Sanctions Screening Operating Committee to discuss Sanctions Screening Compliance related issues and enhancements
  • Alerts tracking, monitoring and trend analysis for weekly management reporting purpose
  • Coordinate with GFC Core Functions to create and update Sanctions Screening related policies, procedures and training
2

Experience For Global Financial Crimes Operations Manager Resume

  • Assist with responding to regulatory inquiries and internal audits, including assistance with document productions
  • Assist with drafting and revision of various legal documents, including contracts, agreements, and correspondence
  • Oversight of the development, drafting, and maintenance of the Firm’s global financial-crimes-related policies, including
  • Provide assistance on Global Policies and Procedures projects, including the Compliance Notice process
  • Address special projects identified by the Global Head of Policies, Procedures and Training and the Head of GFC Core Functions
3

Experience For Global Financial Crimes Division Resume

  • Develop/manage a regular internal training series for the Financial Crimes Group for Asia Pacific
  • Coordinate and track training provided by the AML Group to targeted business units in Asia Pacific
  • Work with Asia Pacific Financial Crimes coverage teams to develop training content
  • Assist in the development of the AML Group’s annual targeted training plan for Asia Pacific
  • Coordinate with members of the Global Financial Crimes training team on quarterly updates on the status of Asia Pacific-based policies and trainings included on the Financial Crimes group’s Annual Compliance Plan
  • Address special projects identified by the Global Head of Policies, Procedures, and Training and the Global Head of Financial Crimes Core Functions
  • Actively participate in GFC Operating Committee and Global AML Committee
4

Experience For Global Financial Crimes Policies Resume

  • Oversee the Sanctions Compliance program and Sanctions Compliance team to minimize Sanctions Screening operational risk and drive efficiency
  • Interact with GFC Legal Advisory Group on matters requiring legal interpretation
  • Manage temporary resource engagements, including interns
  • Weekly metrics / staffing and productivity levels
  • Use results of analysis to inform enhancements to Firm’s transaction monitoring system, if and when warranted
  • Exposure to testing or to quality control or quality management functions and results
  • Supervise transaction monitoring and AML surveillance LI-L2
  • Perform research on existing and potential clients and counter-parties
5

Experience For Head of Global Financial Crimes Program Execution Resume

  • Provide support for special projects arising from the administration of the GFC program
  • Maintain and update the External Training Tracker, which details professional development participation for Global Financial Crimes officers
  • Document EDD review and findings including all pertinent facts and information to support the result
  • Build and manage an operational excellence team to support GFC
  • Collaborate with local management on the operations of the Mumbai AML and other teams in future offshore/near-shore centers
  • Identify and rectify operational inefficiencies and defects with a focus on adherence to regulatory guidelines
  • Own and manage Service Level Agreements (SLAs) and vendor contracts associated with third party and offshore/near-shore support for GFC
  • Collaborate with the Head of GFC Testing on the design and execution of testing of GFC controls implemented by in-house Operations functions, offshore/near shore Compliance teams and third parties
6

Experience For PWM Coverage, Global Financial Crimes Resume

  • Achieve seamless delivery for expense controls, capacity planning and management
  • Collaborate with GFC Chief Administrative Officer and Strategy team to transition first line activities to Mumbai and other offshore/near-shore teams
  • Interact with senior leadership across GFC coverage areas, businesses and regions to drive in-house operations excellence
  • Supervise Sanctions Compliance IT Officer and collaborate with Regional Sanctions Compliance Officers on matters pertaining to any of the Firm’s Sanctions Screenings
  • Make decisions on global Sanctions Screening Compliance issues, including rule writing, the inclusion/removal of Sanction Screening lists and establishing global standards for screening
  • Review escalations from Regional Sanctions Compliance Officers
7

Experience For Global Financial Crimes Division Effectiveness Review Resume

  • Interact with Regional Sanctions Compliance Officers and Sanctions Screening Compliance IT Officer to ensure smooth and consistent execution of the Sanctions Screening program across the enterprise
  • Work with business unit and regional AML teams to create and draft policy, as needed
  • Create and maintain a Global Financial Crimes procedures database
  • Maintain and update the Global Financial Crimes intranet pages
  • Coordinate with members of the Global Compliance department on quarterly updates on the status of all policies included on the Global Financial Crimes group’s Annual Compliance Plan
  • Assist in leading training and communication efforts related to system implementations for global AML coverage areas
  • Coordinate with Technology teams to update and add new screening lists in Sanctions tool
8

Experience For Global Financial Crimes Effectiveness Review Resume

  • Work closely with the Head of the GFC Legal Advisory Group on supporting the Firm’s enterprise-wide anti-corruption program
  • Advise on and deliver training to relevant business units
  • Investigate potentially suspicious activity arising from account surveillance, branch escalations and Grand Jury subpoenas
  • Draft and assist with filing of Suspicious Activity Reports
  • Help plan various AML team meetings, including Town Halls and off-sites
  • Coordinate with members of the Global Compliance department on Firm wide policies and procedures issues, such as the creation of templates
  • Manage the Global Financial Crimes Compliance Notice process
  • Oversee technology issues for the Sanctions Compliance program and coordinate with Technology teams for any Sanctions Compliance tool enhancements
9

Experience For Global Financial Crimes Issues Management, VP Resume

  • Act as primary point of contact for Sanctions technology issues across all regions (e.g., excessive hits on a rule)
  • Coordinate with Technology teams to implement projects related to Sanctions (e.g., Accuity re-build)
  • Coordinate with Technology teams to make rule and algorithm changes in Sanctions tool
  • Serve as a link between Global Sanctions Compliance Coordinator, Regional Sanctions Compliance Officers and Technology teams to execute new technology enhancements that drive operational excellence and ensure smooth and consistent functioning of Sanctions screening across the enterprise
  • Actively participate in Global Sanctions Operating Committee
  • Provide advice and guidance on the application of corruption laws to new and existing business initiatives, transactions, accounts and other matters of importance to the Firm
10

Experience For Global Financial Crimes Anti-money Laundering Resume

  • Manage investigations, regulatory matters, and other internal and external inquiries concerning corruption legal issues
  • Advise on internal compliance policies and procedures
  • Collaborate closely with Legal and Compliance colleagues to ensure consistent coverage and implementation of the anti-corruption compliance
  • Contribute to global initiatives for the GFC Legal Advisory Group
  • Manage and supervise a direct report
  • Resolve surveillance items flagged as potentially suspicious transactions or exceptions
  • Conduct due diligence searches in various third-party and internal databases
  • Lead AML trainings of targeted divisions within the Firm
  • Respond to questions from the field

List of Typical Skills For a Global Financial Crimes Resume

1

Skills For Global Financial Crimes Program Manager Resume

  • Excellent interpersonal skills necessary to work effectively with colleagues across regions and business units
  • Excellent analytical skills and written and verbal communication skills
  • Anti-Money Laundering experience and strong analytical skills
  • Strong Excel skills and ability to understand and present department financial information
  • Strong organizational and project management and time management skills
  • Strong understanding of financial markets and banking transactions
  • Experience with surveillance/monitoring and testing/assessments
2

Skills For Global Financial Crimes Operations Manager Resume

  • Good understanding of the AML risk concepts including controls and related processes, requirements across APAC
  • Experience drafting and reviewing business requirements documents
  • Have high level of computer literacy, including experience using statistical packages for research
  • Have 3-5 years professional experience in an Anti-Money Laundering, Audit or Compliance role
  • Have project experience for financial services industry clients/or major consulting firms
  • Advanced knowledge and experience using Microsoft Project, Excel and PowerPoint
  • Experience managing a team of investigators
  • The ability to work independently with minimal supervision and be proactive with priority management, project planning, management and execution
3

Skills For Global Financial Crimes Division Resume

  • Professional experience at a large financial institution and/or in a training- or policies-related role at a large professional services firm
  • Strong understanding of MS Global Standards, technology platforms and organizational processes
  • Experience with Issue tracking/resolution and Metrics Management Analysis
  • Support phases of efforts related to tiered monitoring such as segmentation and alert prioritization
  • Have a strong sense of ownership and accountability for work product
  • Have 1-3 years of professional experience in an AML, Compliance, Audit or Risk Management capacity within the financial services industry
  • Experience with broker-dealer or bank AML regulation, preferably at large/complex financial institutions
  • Have a proven ability to lead and multitask including oversight of several special projects and change initiatives related to AML process enhancements
4

Skills For Global Financial Crimes Policies Resume

  • Have 3-5 years professional experience as a budget analyst in a Legal or Compliance group within Financial Services or equivalent
  • Possess 1-2 years of project management experience
  • Experience with Excel , Word, PowerPoint
  • A JD and/or 5-8 years professional experience at a large financial institution, especially drafting and revising policies and procedures
  • Experience with global collaboration or project management; and
  • Six Sigma or similar experience
5

Skills For Head of Global Financial Crimes Program Execution Resume

  • Typically requires 15-20 years of financial industry and compliance experience, preferably within a global organization
  • Understanding of financial markets, institutional sales & trading, retail wealth management, and bank lending
  • Assisting in driving CAR to meet new legal requirements, evolving regulatory expectations, industry best practices and self-identified program needs
  • Handling alerts escalation and presenting suspicious alerts to GFC team via weekly investigation meeting
  • Delivering ongoing and ad hoc training to APAC coverage teams, as well as parties in the alert review chain
  • Providing support in drafting and reviewing relevant policies and procedures
  • Understanding of the practical impact of KYC requirements on day-to-day business and operational functions such as client onboarding and periodic review
  • Assisting with regulatory requests or internal audit enquiries in alerts clearing. LI-GK2
  • Generating expense reimbursement aggregations
6

Skills For PWM Coverage, Global Financial Crimes Resume

  • Developing macros to improve process efficiency (e.g. certain transactional activity files)
  • Proficient in Excel, including using pivot tables, and creating formulas
  • Possess an understanding of banking, including broker-dealer product knowledge
  • Support the Global AML Monitoring Committee by preparing pre-reads, taking minutes
  • Perform QA for "below the line" testing of Transaction Monitoring System scenarios, alert scoring engine and any other AML models
  • Assist with updating of training modules on the Global Financial Crimes Training Bank
  • Work to develop GFC’s annual budget, including spend for consulting projects, temporary support, training, legal expenses, travel and entertainment
7

Skills For Global Financial Crimes Division Effectiveness Review Resume

  • Facility with technology/learning new software (note: the Firm’s learning management system is Cornerstone OnDemand)
  • Have a sound level of understanding and working knowledge of the Australian AML/CTF laws and regulations, particularly as they pertain to CIP/KYC/CDD
  • Highly-motivated self-starter able to work independently while collaborating and coordinating as part of a global program
  • Detailed understanding of the laws, rules, and regulations pertaining to anti-corruption, AML, and sanctions
  • Monitor the GFC Compliance Notice process, including the drafting/development of notices related to new or updated KYC policies
  • Provide assistance on Policies & Procedures projects impacting Asia Pacific, including the Compliance Notice process
8

Skills For Global Financial Crimes Effectiveness Review Resume

  • Monitor Operations groups which support GFC by defining Key Performance Indicators and ensuring quality of execution
  • Oversee GFC reporting function across businesses and regions to ensure comprehensive and consistent reporting to senior management
  • Maintain the Compliance Monitoring Inventory (e.g., enter new activities, change in staffing)
  • Maintain the Compliance Monitoring Inventory (e.g. enter new activities, change in staffing)
  • Undertake ACG and GPAC monitoring activities in coordination with the team, including
  • Oversee maintenance and updates to key systems and technological tools used by ACG and GPAC, including by liaising with IT and outside vendors as necessary
  • Maintain organized ACG and GPAC electronic filing systems, including SharePoint sites that house large volumes of documents and trackers
9

Skills For Global Financial Crimes Issues Management, VP Resume

  • Oversee technology issues for the GFC Screening program and coordinate with Technology teams for any GFC Screening tool enhancements
  • Management of Administrative Staff / Weekly time sheet review / ensure appropriate staffing during holidays / handle escalations from managers
  • Assist with reviewing and filing of regulatory reports
  • Maintain the framework and workflow for ongoing suppression rule implementation and testing
  • Maintain suppression rule writing procedures in conjunction with Screening team
10

Skills For Global Financial Crimes Anti-money Laundering Resume

  • Develop an understanding of anti-money laundering regulations, policies, and procedures
  • Assist in regular meetings relating to institutional clients (e.g. Foreign Bank Certification tracking meetings; Periodic Review Escalation meetings)
  • Assist with the drafting and tracking of targeted AML trainings to relevant Business Units and support areas
  • Assist in the investigation, drafting and filing of Suspicious Activity Reports
  • Coordinate with vendors that are performing project management and / or consulting services for AML Investigations
  • Assist in responding to requests during Internal Audit and external regulatory examinations
  • Support budget monitoring with continuous tracking efforts

List of Typical Responsibilities For a Global Financial Crimes Resume

1

Responsibilities For Global Financial Crimes Program Manager Resume

  • Liaise with Compliance and other subject matter experts on standards and regulatory interpretation and business capabilities, to support development of a comprehensive AML Program
  • Have the ability to handle a fast paced environment effectively and meet established deadline requirements
  • Have a solid understanding of project management life cycle
  • Knowledge and experience with any of the following: AML, Economic Sanctions and Anti-Corruption regulatory requirements
  • Experience in compliance, preferably at large/complex financial institutions
  • Employment experience in AML/CTF compliance
  • Professional experience in a Financial Crimes, Compliance, Audit, or Risk Management capacity within the financial services industry
2

Responsibilities For Global Financial Crimes Operations Manager Resume

  • Experience in a financial crimes prevention group at a large financial institution and/or regulatory authority
  • Legal & Compliance experience or government/regulatory background
  • Proven ability to handle highly confidential information professionally and with appropriate discretion
  • Experiences in PWM business and policy review are beneficial
  • Relevant experience in AML Compliance, Client Due Diligence or regulatory compliance work, preferably in a securities environment
  • Professional experience in a Financial Crimes, Compliance, Audit, or Risk Management capacity within the financial services industry
  • Experience in compliance, preferably at large/complex financial institutions
  • Training the KYCCU team on overall CAR and process for each product type (e.g., conducting walkthroughs, providing documents, etc.)
3

Responsibilities For Global Financial Crimes Division Resume

  • Analysing and defining the CAR population for the KYCCU to conduct
  • Monitoring the Firm’s expense reimbursement system and pre-clearances required for certain expenses
  • Facilitating communication of global QA standards on alerts clearing between QA Team and APAC coverage teams
  • Perform QA for “below the line” testing of Transaction Monitoring System scenarios, alert scoring engine and any other AML models
  • Have working knowledge of AML laws and regulations relative to money laundering and terrorism financing
  • Identified during the QA process with the AML Global QA Manager and the Global Policies, Procedures and Training Head
  • Provide training sessions as needed on training gaps, new technology/process
  • Review escalations concerning certain client-related expenditures, including gifts and entertainment and charitable contributions
4

Responsibilities For Global Financial Crimes Policies Resume

  • Assist with implementation of the Firm’s anti-corruption controls concerning hiring practices and offers of employment
  • Design and supervise monitoring and testing
  • Create and deliver targeted anti-corruption training and track progress of regional training plan
  • Management of day-to-day account opening issues, including approvals of high risk clients, waivers etc where required
  • Be responsible for maintaining the charter of the GFC Governance Committee and maintaining minutes of attendance, topics discussed and decisions made
  • Provide assistance on Policies & Procedures projects impacting APAC, including the Compliance Notice process
5

Responsibilities For Head of Global Financial Crimes Program Execution Resume

  • Develop new training content and provide training sessions on substantive Financial Crimes issues
  • Maintain post STR filing, enhanced monitoring controls and client exit processes
  • Manage metrics and reporting process including
  • Present key metrics and trends identified through reporting to senior management
  • Identify and coordinate training needs, policy/procedure revisions, standardize alert review process and other needs
6

Responsibilities For PWM Coverage, Global Financial Crimes Resume

  • Review and investigate potential issues as a result of Inputs and Outputs Monitoring Plans
  • Review of negative news alerts relating to third-party agents
  • Prepare ACG and GPAC quarterly metrics for management reporting purposes
  • Conduct review, pre-clearance, and monitoring of third party intermediaries
  • Stakeholder management and reporting of MI and KRIs
7

Responsibilities For Global Financial Crimes Division Effectiveness Review Resume

  • Work with APAC Financial Crimes coverage teams to develop training content
  • Assist in the development of the AML Group’s annual targeted training plan for APAC
  • Participate in special projects impacting various areas within GFC / LCD
  • Coordinate periodic review program implementation and reporting with AML Coverage Mangers, Operations and business stakeholders
  • Assist the Head of AML Investigations on overseeing AML investigations for all of Morgan Stanley’s business lines
  • Interface with technology and strategy groups that support of the global anti-money laundering program
  • Coordinate with multiple GFC stakeholders to create and maintain GFC's annual training plan
  • Monitor and track the completion status / progress against the annual training plan
8

Responsibilities For Global Financial Crimes Effectiveness Review Resume

  • Set / coordinate agenda for monthly BU and vendor level working groups and governance forums
  • Support and continue building a Firm-wide GFC controls inventory and performance measurement dashboard
  • Participate in team meetings lead by the Head of WM AML Advisory & Onboarding or designee
  • Document Enhanced Due Diligence review findings including all pertinent facts and information to support result
  • Practical working knowledge of the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act (UKBA)
  • Drive streamlining efficiencies in the execution of Global KYC Standards for APAC ISG – leverage ‘rules-of-the-road’ that have been previously developed
  • Support enhancements in APAC aligned to global program standards in ensuring processes are appropriately documented
9

Responsibilities For Global Financial Crimes Issues Management, VP Resume

  • Research and resolve issues independently, autonomously while working across teams to acquire information
  • Possess an understanding of the application of Fed SR 11-7/ OCC Bulletin 2011-12 on Model Risk Management
  • Interest in working with and willingness to learn online technology platforms, such as SharePoint
  • ACAMS Anti-Money Laundering Specialist certification or equivalent certification or license
  • Have familiarity with data warehousing designs, data architecture and database technologies
10

Responsibilities For Global Financial Crimes Anti-money Laundering Resume

  • Oversee reporting support
  • Serve as the point of contact for Regional AML teams to help coordinate regional initiatives
  • Make recommendations to improve AML, Sanctions, and other Financial Crimes surveillance through the development of new risk models, model validation, statistical analysis of model thresholds, back testing, and other sensitivity and productivity analyses (20%)
  • Support the Group’s periodic risk assessments through the analysis of data elements related to potential indicators of customer, product, or geographic risk, evaluating and enhancing the Group’s risk rating methodologies, and identifying new quantitative factors that can be incorporated into the risk assessment process (20%)
  • Assist in the preparation of periodic and ad hoc Legal and Compliance metrics reports for regulators, senior compliance management, the Global Compliance Committee and the Board Audit Committee, including through the evaluation and enhancement of existing metrics and supporting processes (15%)
  • Assist the Global AML & Economic Sanctions Risk Assessment Coordinator in supporting all phases of the AML & Economic Sanctions risk assessment process, including planning, data gathering, analysis, and reporting
  • Aid in the enhancement of the existing risk assessment framework and reporting process, including through updates to the assessment methodology and by identifying additional quantitative and qualitative risk data points for use in evaluating the Firm’s inherent risks and quality of controls
  • Support the process for updating the Firm’s assessment of country risk
  • Participate in targeted training conducted for Business Units

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