Monitoring & Testing Resume Sample

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Fay Cole
8464 Jimmie Station,  Los Angeles,  CA
+1 (555) 552 0272

Work Experience

Head of RC Monitoring & Testing
03/2017 - PRESENT
Dallas, TX
  • Conducting QA reviews of draft reports and review documentation, providing feedback as needed to ensure adherence to IB Compliance M&T review methodology and work paper standards, prior to reports being submitted for final sign-off
  • Managing information on progress to the annual plan and maintaining a good audit trail for any changes to the plan made necessary by changing priorities (whether changes to timing or adding/removing reviews from the plan)
  • Continuous development/improving tracking of activity and associated MI, and contributing to the wider cross cluster frameworks and initiatives
  • Contributing to the initial and ongoing development of CTS including template and report design, the building of test and other relevant libraries, and the annual refresh process
  • Playing an active role in the development of a new quality assurance capability and associated written procedures, including responsibility for testing adherence to established IB Compliance M&T standards, to be achieved by assessing whether the nature and rating of individual action points is consistent across the entire team
  • Responsibility for maintaining up-to-date procedures for own role as well as the library of procedures used by the wider teams
  • Building relationships with contributors in the regional IB Compliance M&T teams to facilitate the timely delivery of information and MI, and with other key players such as the IB Compliance D&E team
  • Providing operational and project management support to the IB Compliance M&T Leadership Teams, including maintaining up to date organizational charts and assistance with annual budgets
  • Liaising with the other Barclays Compliance M&T teams (PCB, Barclaycard and Africa) to ensure that the QA/tracking/MI and templates used remain as uniform as possible
IB Compliance Monitoring & Testing Branch Reviews
11/2013 - 01/2017
Chicago, IL
  • To provide trending analysis and insight to business and RC Management
  • To manage the Compliance Risk Assessment process across different business lines on an ongoing basis and obtain business sign-off
  • To manage the production, delivery and completion of compliance monitoring plans to include continuous, periodic and themed reviews
  • Evaluating and addressing the allocation of monitoring resource on an ongoing basis to ensure completion of the RC compliance monitoring plan
  • To oversee production and issue Monitoring Reports and MI to both Business and Senior Management
  • Experience with 3-5 years in compliance or audit experience
  • To manage a team of RC Compliance Monitoring specialists. across the following business lines in the Region – GBM, CMB, RBWM
Intern, Risk-fcc & RC Monitoring & Testing
10/2006 - 10/2013
Philadelphia, PA
  • Identify and report all significant regulatory compliance breaches or gaps; work with legal and business management to design and implement changes to business policies and procedures as appropriate
  • Manage assigned general compliance functions for major financial services business groups of the largest and most complex nature. Ensure adherence to the Compliance Officer and Money Laundering Control Officer handbooks
  • Assist senior members of the CASS MT team in performing risk assessment and updating the risk register for the CASS relevant businesses every quarter based on results of the quarterly monitoring reviews, annually as part of the annual risk assessment and/or on an ad-hoc basis as and when required upon identification of significant changes in CASS risks for the businesses
  • Assist the senior members of the CASS MT team in improving on the risk assessment process and risk register including (1) the CASS profiling framework developed earlier this year to allow reviewers to understand better the drivers for risk rating the businesses and the drivers for differences in these ratings; and (2) summarization process of risk assessments at an entity level, etc
  • To manage a team of RC Compliance Monitoring specialists across the following business lines in the Region – GBM, CMB, RBWM
  • To test the adequacy of controls in place within the business and to identify potential and actual breaches
  • To escalate regulatory breaches to business and RC compliance Senior Management in order that appropriate action can be undertaken to rectify


Wittenberg University
2001 - 2005
Bachelor's Degree in Business

Professional Skills

  • Strong organizational and analytical skills to ensure execution of monitoring and testing activities
  • Strong analytical skills and a diligent approach to understanding and confirming facts
  • Strong interpersonal skills enabling effective communications, written and oral, at all levels
  • Excellent communication, relationship management and documentation skills
  • Strong interpersonal skills, able to initiate, build and maintain good relationships
  • Previous experience within the banking industry, specifically Canadian Retail banking, considered an asset
  • Experience of control testing gained within a financial services organization or audit/consulting practice

How to write Monitoring & Testing Resume

Monitoring & Testing role is responsible for auditing, retail, training, finance, japanese, english, analytical, documentation, testing, education.
To write great resume for monitoring & testing job, your resume must include:

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

Contact Information For Monitoring & Testing Resume

The section contact information is important in your monitoring & testing 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 Monitoring & Testing Resume

The section work experience is an essential part of your monitoring & testing 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 monitoring & testing responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular monitoring & testing position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions.

Representative Monitoring & Testing resume experience can include:

  • Proven ability in team leadership and strong people management
  • Plan for and execute compliance reviews according to the established review schedule and ad hoc regulatory / business commitments
  • Completes periodic internal assessments of the testing function as a whole to ensure compliance with industry, regulatory, and internal standards
  • 5 hours / week, M-F
  • Perform on-site compliance reviews to
  • Communicate findings and recommendations to management, determine root causes, obtain management’s action plan for remediation in a timely manner and track findings through resolution

Education on a Monitoring & Testing Resume

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

When listing skills on your monitoring & testing 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 monitoring & testing skills:

  • Experience in a testing or branch examination position
  • Experience in a control testing or a regulatory compliance environment
  • Experience in Investment Advisory Act of 1940, and Compliance
  • Have a broad knowledge of the Firms business and regulatory framework in which it operates
  • Influence others to achieve good outcomes
  • Coordinating the application of the risk assessment process in Asia-Pacific and collating and presenting risk assessment results

List of Typical Skills For a Monitoring & Testing Resume


Skills For Head of RC Monitoring & Testing Resume

  • Determining appropriate actions to match the results and ensuring these are carried out
  • Participating in annual planning of in-depth reviews
  • Accounting designation (i.e. CPA, CA) considered an asset
  • Possess the ability to identify key compliance controls against Canadian regulatory requirements pertaining to the financial industry
  • Possess knowledge of Retail banking businesses and control processes
  • Strategically adhere to and satisfy standards for delivering high quality value-added compliance reviews

Skills For VP IB Compliance Monitoring & Testing Resume

  • Broad base of Compliance knowledge or the willingness to learn the regulatory requirements for a number of business areas
  • Anticipate and provide solutions to complex issues
  • Works closely with counterparts in Compliance to ensure consistency and alignment on the M&T program and best practices across the organization.
  • Background in Compliance, Internal Audit or Operational Risk functions considered an asset
  • Be a team player, able to work with other team members across the EMEA Compliance Regulatory and Governance team
  • Proactive and motivated to achieve excellence; resourceful
  • Constructive and positive approach to challenges, able to consider a wide range of perspectives and find mutually acceptable solutions
  • Is aware of the Business Regulatory Risk associated with the business. Monitors in accordance with the Principal Accountabilities set out above

Skills For VP Monitoring & Testing Governance Resume

  • Work with Branch management and business Compliance Officers to agree on appropriate action plans
  • Provide guidance on supervisory, administrative and operational findings related to review areas
  • Responsible for managing relationships with key stakeholders in Product Compliance, Front Office Risk and Control, other testing functions, and the business as it relates to the IB Compliance M&T Branch Program in the Americas region
  • Maintain a broad knowledge of the Firm’s business and regulatory framework in which it operates and determine relevance and applicability to the IB Compliance M&T Front Office/Desk as well as Branch review programs
  • Act as the subject-matter expert for required interactions with regulators, external or internal auditors, and external legal stakeholders with respect to the IB Compliance M&T Branch Program
  • Contribute to your team’s delivery of outstanding performance (client service, behavioural expectations, and adherence to Compliance Monitoring Plans)

Skills For Director of Monitoring &testing Resume

  • Contribute to the Compliance Risk Assessment process on an ongoing basis
  • Actively participate as IB Branch Lead in internal and external forums to raise the profile of the IB Compliance M&T team
  • Be immersed in HSBC’s culture and the Financial Crime and Regulatory Compliance function
  • Ensure Regulatory Compliance controls as well as operational risk controls are operating effectively in accordance with HSBC standards and regulatory requirements
  • Work collaboratively within the immediate team and more widely within the CMAT team
  • Monitor activities of assigned area(s) to ensure compliance with applicable internal policies and procedures and external regulations
  • Co-ordination with global Compliance teams in order to ensure that APAC GWM test program is aligned with global objectives and meets the firm’s standards

Skills For IB Compliance Monitoring & Testing Resume

  • Function effectively within a matrix organizational structure, collaborating with Global and Regional Regulatory Compliance teams supporting regions and diverse products globally to facilitate appropriate levels of information sharing and coordination related to Regulatory Compliance Testing
  • Assists in providing training across the team, including training on new enhancements and introductory training for new staff
  • Report on and track issues to resolution and verify that action plans have been completed and resolve the issues as appropriate
  • Provides expertise in the areas of compliance risk and control testing to assist in the creation of the annual testing plan and ongoing prioritization of scheduled reviews
  • Provides reasonable assurance and challenge of the effectiveness of the testing process through implementation of the Quality Assessment and Improvement program
  • Coordinates individually or provides team leadership as required in projects to support technical and business strategies
  • Manages the development of process improvement recommendations for presentation to, and approval by, senior management. Implements initiatives, as appropriate

Skills For IB Compliance Monitoring & Testing Branch Reviews Resume

  • Function effectively within a matrix organisational structure, collaborating with Compliance teams supporting global regions and diverse products to facilitate appropriate levels of information sharing and coordination related to Compliance Testing
  • Participate in the oversight and enhancement of the Compliance Testing infrastructure in support of reporting, capacity planning, plan development, administration and analysis of testing outcomes across testing areas
  • Assist with designing and implementing a comprehensive Compliance Monitoring and Testing Program, including conducting compliance reviews, coordinating with business units and support functions, assessing existing policies and procedures and testing business processes as they relate to LexisNexis Risk Solutions’ compliance and regulatory obligations

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