Markets Compliance Officer Resume Sample

4.7
14 votes

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Yolanda Rogahn
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Work Experience


Regional Markets Compliance Officer, AVP
03/2017 - PRESENT
Phoenix, AZ
  • Technology in order to continually evaluate and enhance systems to address specific regulatory requirements and surveillance reports to achieve optimal efficiency and ensure accurate criteria
  • Line of business staff to inquire about issues of potential regulatory concern and to advise on Compliance related matters
  • Infrastructure support groups (e.g., Finance and Operations) to collaborate on control issues
  • U.S. Legal to seek interpretive guidance on technical regulatory requirements; and
  • U.S. regulators and CIBC Internal Audit staff during regulatory exams and audits
  • Assist the Compliance Team in monitoring the activities (Hibor submission, FX dealing, products suitability, etc) of Product Office (PO) from the compliance point of view
  • Assist the Coomliance Team in monitoring the derivative dual checking as required by the Head Office
South Africa Markets Compliance Officer
10/2011 - 09/2016
Phoenix, AZ
  • Experience in internal auditing, compliance, preferably with exposure in risk management, treasury operation FX dealing and derivative products
  • Proficient in PC skills: E.g. MS Words and Excel
  • Good analytical, quantitative, communication and strong interpersonal skills
  • Good knowledge in FX and Treasury products
  • Provide timely advice on legislative and regulatory obligations and also, on Citi internal policies in relation to the activities conducted within the business
  • Aid in the production and review of compliance policies and procedures
  • Familiarity and knowledge of SEC and FINRA regulations
  • Multitask efficiently and effectively and meet tight deadlines
  • Participating in key Compliance projects (local, regional or global) and the continued build-out of Deutsche Bank’s compliance programme
Markets Compliance Officer
03/2005 - 07/2011
Dallas, TX
  • Integrity and alignment to Deutsche Bank’s Values and Beliefs
  • Acts with integrity and alignment to Deutsche Bank’s Values and Beliefs
  • This role helps develop the employee to manage the relationships with Compliance officers throughout Asia Pacific to achieve consistent outcomes and project goals
  • Provide timely advice to Markets staff with Compliance Management oversight legislative and regulatory obligations of the activities conducted within the business
  • Assist in internal investigations and/or responses to regulatory enquiries and audits/auditor enquiries
  • Primary point of contact and interface between Citi and relevant regulators (primarily JSE and Strate) with respect to Markets Compliance and regulatory matters. This includes the coordination of exams and reviews, responses to information requests, provision of regular Markets metrics and notifications of significant events
  • Assist the management board in ensuring compliance with relevant legislation, regulatory rules and directives

Education


Saint Mary's University of Minnesota - Winona Campus
1999 - 2004
Bachelor's Degree in Business

Professional Skills


  • Product knowledge in the Markets space
  • Work independently, initiate actions and complete tasks with senior members in the team’s direction
  • Providing ongoing Compliance advisory services on regulatory matters to personnel within U.S. Global Markets, including Equity and Commodity Derivatives, Interest Rate Derivatives, and FX Sales
  • Analyzing proposed/new derivatives rules as well as market and internal business developments to assess the overall impact on CIBC’s U.S. Global Markets businesses
  • Monitoring the daily sales and trading activities of CIBC’s derivatives businesses to assess overall compliance with CFTC and SEC rules pertaining to swaps rules implemented under the Dodd-Frank Act (e.g. real-time/SDR reporting, large trader reporting, external business conduct rules, etc.)
  • Drafting and maintaining key policies and procedures relating to new CFTC and SEC swaps rules implemented under Dodd-Frank which affect CIBC’s global swaps activities
  • Collaborating with Technology and front office personnel on the development and implementation of solutions to address existing and new regulatory requirements

How to write Markets Compliance Officer Resume

Markets Compliance Officer role is responsible for trading, finance, events, excel, risk, compliance, planning, treasury, supervision, legal.
To write great resume for markets compliance officer job, your resume must include:

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

Contact Information For Markets Compliance Officer Resume

The section contact information is important in your markets compliance 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 Markets Compliance Officer Resume

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

  • Provide recommendations to improve the effectiveness and efficiency of the Compliance control environment
  • Contribute to a “no surprise” culture by educating and communicating Compliance awareness throughout the markets organization
  • Ensure that all Strate Regulatory Compliance reviews are being performed timely and adequately
  • Keep abreast of developments within the regulatory environment and benchmarking compliance with the related industry
  • Conduct and/or facilitate training, workshops and presentations on legislation and compliance
  • Liaison with other members of the Compliance team, ICG Businesses, and Ops and Technology on other ad-hoc issues that arise

Education on a Markets Compliance Officer Resume

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

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

  • Assisting senior Compliance officers in coordinating U.S. regulatory exams by regulators such as FINRA, NFA and the NY Federal Reserve and audits of Compliance by Internal Audit
  • Demonstrated ability to work closely and co operatively with Compliance Manager and businesses
  • Experience in a compliance/regulatory or audit role
  • Strong knowledge of financial markets regulatory environment
  • Performing risk assessments of U.S. regulatory requirement group topics to determine risk ratings under CIBC’s Regulatory Compliance Management framework
  • Performing electronic communications surveillance for certain lines of business to identify issues of potential regulatory concern

List of Typical Skills For a Markets Compliance Officer Resume

1

Skills For South Africa Markets Compliance Officer Resume

  • FAIS RE1 exam and 2 years of FAIS compliance experience under supervision
  • Assisting in the preparation of written responses to regulatory exams and inquiries
  • Providing back-up support to other members of the the U.S. Capital Markets Compliance team in his or her absence to perform reviews of U.S. broker-dealer trade reporting (LOPR, EBS, OATS and TRACE) and daily sales and trading activities;
  • Work independently, initiate actions and complete tasks with limited direction
  • Knowledge of financial markets and transactions
2

Skills For Global Markets Compliance Officer Resume

  • Knowledge of financial markets and transactions, particularly in the Markets space
  • A functional knowledge of: the US fixed income and derivative trading regulatory framework; the ’33 Act and the ’34 Act; FINRA, SEC, and broker dealer regulations; and US bank regulations. Experience providing real time guidance to sales and trading personnel
  • Completed JSE Compliance Officer and related Exams required for Compliance Officer registration in the Equity, Equity Derivative and Fixed Income Markets
  • Understanding of legislative and regulatory landscape, and requirements imposed by relevant regulators, including the Financial Services Board, JSE Securities Exchange of South Africa
  • To act as the principal interface between the Markets Businesses and Regional Compliance, Global Compliance
  • Ensure Citi's Markets Compliance risks are adequately identified, assessed, controlled, monitored, tested and reported
3

Skills For Regional Markets Compliance Officer, AVP Resume

  • Ensure Markets compliance policies, information and requirements are communicated to employees
  • Provide consultation and guidance to SA Markets Business management, country compliance staff and other employees on markets compliance related matters
  • Keep senior management informed of the status of the Compliance environment especially related to the JSE and Strate
  • Ensure that requirements in terms of the Strate Rules, directives and notices are met
  • Ensure that the compliance requirements in terms of the JSE rules, directives and notices are met
  • Deal with the various Regulators on matters escalated and act as liaison between the Regulators and the business
4

Skills For Gf-regional Markets Compliance Officer Resume

  • Regular interface with independent functions such as Audit
  • Primary point of contact and interface between Citi and relevant regulators (primarily the JSE, Strate and the FSB) with respect to Markets Compliance and regulatory matters. This includes the coordination of exams and reviews, responses to information requests, provision of regular Markets metrics and notifications of significant events
  • Keep senior management informed of the status of the Compliance environment especially related to the JSE, Strate and the FSB
  • Ensure that requirements in terms of the JSE and Strate Rules, directives and notices are met
  • Primary point of contact and interface between Citi and relevant regulators (primarily JSE and FSB) with respect to Markets Compliance and regulatory matters. This includes the coordination of exams and reviews, responses to information requests, provision of regular Markets metrics and notifications of significant events
  • Keep senior management informed of the status of the Compliance environment especially related to the JSE and FAIS
  • Ensure that the compliance requirements in terms of the FAIS Act, codes of conduct and Board Notices are met where applicable

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