Sanctions Compliance Officer Resume Sample

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Gay Swaniawski
246 Hoppe Plaza,  Philadelphia, PA
+1 (555) 700 1212

Work Experience

Regional Sanctions Compliance Officer
02/2017 - PRESENT
Chicago, IL
  • Prior experience managing a team of diverse professionals
  • Expertise of Sanctions regulations, risks and typologies
  • Excellent written, verbal and analytical skills
  • Highly motivated, strong attention to detail, team oriented, organized
  • Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging
  • Work collaboratively with regional and global partners in other functional units; ability to navigate a complex organization; to influence and lead people across cultures at a senior level
  • Experience in managing regulatory exams and relationships with examiners, auditors, etc
  • Assisting with ad hoc requests received in relation to Citi’s Global Sanctions Screening Policy and applicable sanctions programmes
  • Assist, as necessary, in the review of transactions, deals, strategic initiatives, and other relationships to ensure conformity with sanctions laws and regulations and the Bank’s global policies
Sanctions Compliance Officer
10/2012 - 08/2016
San Francisco, CA
  • Development and enhancement of the Bank’s global policies and procedures regarding compliance with anti-boycott laws and regulations
  • Researching and investigating payments that have been referred to Sanctions Compliance for detailed review
  • Working experience on sanctions and anti-corruption advisory compliance
  • Management experience in getting the best of small and growing team
  • Excellent communication skills, confident corresponding with Front Office stakeholders and efficient solutions provider
  • Familiarity with Investment Banking, Corporate Finance and Private Banking products and services
  • Excellent attention to detail and controls, and can grasp new ideas and concepts quickly
AML / Sanctions Compliance Officer
10/2009 - 07/2012
New York, NY
  • Strong working knowledge of sanction and anti-bribery principles and applicable laws and regulations
  • Prior sanctions program experience with US OFAC and other governmental agencies would be advantageous
  • Strong sense of accountability
  • Coordinate day to day sanctions related activities, including search requests
  • Act as Subject Matter Expert on Canadian Economic Sanctions and Anti-Terrorist Financing lists and requirements
  • Maintain Canadian sanctions lists needed for different screening activities and oversee maintenance as appropriate
  • Conduct monitoring and oversight of Sanctions processes, including accuracy of Canadian sanctions lists
  • Key point of contact for escalations of Sanctions related matches for Canadian businesses or relating to Canadian sanctions lists


Ave Maria University
2004 - 2008
Bachelor's Degree in Accounting

Professional Skills

  • Excellent interpersonal skills – comfortable working directly with business partners at all levels
  • Excellent interpersonal skills – comfortable working directly with business, compliance, operational and technology partners at all levels
  • Strong written/drafting, communication and interpersonal skills
  • Self-driven with high level of initiative and follow through skills
  • Experience working within an Insurance and/or Financial Services setting
  • OFAC, AML and Sanctions experience
  • Strong knowledge and expertise of Sanctions regulations, risks and typologies

How to write Sanctions Compliance Officer Resume

Sanctions Compliance Officer role is responsible for interpersonal, messaging, finance, training, integration, compensation, reporting, design, insurance, government.
To write great resume for sanctions compliance officer job, your resume must include:

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

Contact Information For Sanctions Compliance Officer Resume

The section contact information is important in your sanctions 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 Sanctions Compliance Officer Resume

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

  • Advanced Skills: MS Word, MS Excel and PowerPoint
  • Monitor and review for the effective implementation of resolutions for compliance concerns raised by regulators and/or auditors
  • Past experience in AML or sanctions compliance and operations in global financial institution highly desirable
  • Develop Sanctions training programs and to conduct training to management and staff
  • Act as an Economic Sanctions Subject Matter Expert responsible for overseeing the bank’s risk-taking activities
  • Provide Subject Matter Expertise on Canadian Economic Sanctions and Anti-Terrorist Financing requirements

Education on a Sanctions Compliance Officer Resume

Make sure to make education a priority on your sanctions 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 sanctions 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 Sanctions Compliance Officer Resume

When listing skills on your sanctions 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 sanctions compliance officer skills:

  • Responsible for reviewing and investigating escalated payments and/or transactions which have been identified as containing potential matches against Government Sanction lists: OFAC, United Nations, European Union, and others
  • Strong communication (including written) and interpersonal skills
  • Strong analytical skills and clear thought process
  • Oversee effectiveness of Global Sanctions Screening Policy across all businesses, ensuring appropriate controls are in place
  • Ensure development activities are a core priority and ensure reasonable time is taken for learning and developmental activities
  • Ensure effectiveness of Sanctions Screening Policy across all businesses and controls in place

List of Typical Experience For a Sanctions Compliance Officer Resume


Experience For Global Sanctions Compliance Officer Resume

  • Interacts with Management to raise awareness of Sanctions trends, emerging issues, remedial actions or enhancements to the program. Assesses the impact of issues/violations (legal/regulatory, policy, reputational, etc.) and dimensions control process gaps to help management define disciplinary and corrective actions, as appropriate
  • Evaluate local regulations and requirements vs. Sanctions program to monitor adherence and identify possible conflicting situations, dimension potential gaps and proposes solutions that satisfy both local and policy requirements
  • Management and supervision of all aspects of Sanctions Compliance risks in Colombia, including guidance and advice needed in the application and implementation of programs and policy; penalties for timely decisions regarding the feasibility of specific transactions and impact analysis on changes in regional sanctions programs
  • Provide expert Sanctions advice to business managers, compliance officers, and AML Compliance Officers in Colombia, in relation to the risks associated with new products and new businesses to design the necessary mitigating controls that reduce the risk exposure Sanctions
  • Define and provide strategic coordination and effective implementation of a framework of Sanctions controls in the country and overseeing the cluster, developing management metrics and trend analysis
  • Act as primary contact with Internal Audit for handling issues of Sanctions; direct and monitor the corrective actions required to ensure their effective implementation
  • Establish oversight and gain assurance of the end to end sanctions compliance landscape and infrastructure in Colombia

Experience For AML / Sanctions Compliance Officer Resume

  • Coordinate with Sanctions Legal and ICRM Sanctions in relation to reporting requirements and reports in order to respond to explicit requests from the US regulator; identify need for preparation and application specific OFAC licenses
  • Approve the continuation of a relationship / operation / implementation of new product after analyzing the potential risks associated to Sanctions
  • Define guidelines / frameworks and implement direct controls and processes for implementation of regional procedures to improve / strengthen Sanctions processes
  • Assist in developing, implementing and monitoring Sanctions risk indicators and metrics
  • Support the KYC review process by providing SME support on new files and file reviews which have been referred by on-boarding for sanctions concerns
  • Definition and approval of changes / improvements in regional processes and / or local implemented for screening processes

Experience For AML & Sanctions Advisory Compliance Officer Resume

  • Support the episodic deal review process by providing SME support on deals which have been referred by the AML team for sanctions concerns
  • Monitor IA reviews, issues and CAP’s
  • Provide advice to the businesses on an ongoing basis on new Business initiatives, new products, business acquisitions, and client-related matters with respect to applicability of policies, resolution of potential red flags or other client/transaction-related compliance escalations
  • Participate in and manage, as appropriate, various internal assurance processes, e.g. Regional Enterprise wide and Horizontal risk assessments, self-assessment, internal audit or compliance assurance Reviews, prepares information and participates in the local Governance Committees (GBRC, BRCC, CCC, etc) and reviews and approves for the cluster countries’, participating as required
  • A position as a member of the Sanctions Advisory Team of Credit Suisse in Switzerland which is a group of specialists ensuring that the Bank's Swiss operations comply with applicable governmental and internal sanctions and embargo requirements and that its payment operations are in line with applicable anti-money laundering (AML) and sanctions provisions

List of Typical Skills For a Sanctions Compliance Officer Resume


Skills For Global Sanctions Compliance Officer Resume

  • Solid understanding of statutory and regulatory obligations governing financial organizations in Canada
  • Broad knowledge of business, operations and the AML/CFT regulatory framework in which bank groups operate
  • Providing staff training on related Sanctions and Compliance issues as required
  • This includes researching information, performing risk assessments, drafting analysis report and reporting back to management
  • Based on leading industry practices and regulatory expectations, manage on–going enhancements to the Bank’s US Operations OFAC and Sanctions Program

Skills For AML / Sanctions Compliance Officer Resume

  • Assists with maintenance of, and projects relating to, sanctions lists updates and enhancements
  • Identifies OFAC sanctions risks and provides guidance to HSBC Bank USA, N.A. (HBUS) business lines & HSBC Group Affiliates on outstanding matters/transactions
  • Well organized and comfortable functioning in a complex environment with minimal supervision
  • Co-ordinating sanctions projects in the region
  • Develop positive and professional working relationships with all team members and colleagues at a regional and country level
  • Foster positive and professional working relationships within FCC and other Sanctions Teams at a Regional Level
  • Assists in assessment of potential breaches or violations of U.S. economic sanctions and trade restrictions
  • Assists in the development, administration, and implementation of the HBUS OFAC compliance program

Skills For AML & Sanctions Advisory Compliance Officer Resume

  • Maintains awareness of regulatory changes relating to AML/OFAC affecting assigned business(es); ensure appropriate communication and development of appropriate policy/procedure changes to remain compliant
  • Reviews and analyzes compliance monitoring reports and other related source documents for suspicious/unusual patterns of activity, providing appropriate response and follow up on areas requiring attention. When applicable, follow-up with responsible area for explanations and discussions for appropriate action
  • Identifies and reports all significant regulatory compliance breaches or gaps to senior management. Collaborate with senior management and relevant internal parties to ensure development and implementation of solutions to prevent future occurrence
  • Provides subject-matter expertise on cases escalated by all lines of business to the U.S. Economic Sanctions Advisory team
  • As necessary, ensures that matters are escalated to the U.S. Head of Sanctions Analysis and Advisory Services in a timely and complete manner
  • Is cognizant of all banking products and sanctions risk associated with those products and services, regulatory and internal bank policy changes, and demonstrates expert-level knowledge of regulatory requirements
  • Develop and maintain an OFAC and Sanctions program that is aligned with the Bank’s businesses and resulting risk parameters, is consistent with industry standards and meets regulatory expectations

Skills For Regional Sanctions Compliance Officer Resume

  • Support the Director, Compliance, US BSA/AML & OFAC Officer in the implementation of an appropriate and sound BSA/AML & OFAC program for the Bank’s U.S. operations to help ensure that the Bank is adhering to relevant federal and state laws and regulations
  • Providing guidance to business on sanctions related matters
  • Assist Director, Compliance, U.S. BSA/AML & OFAC Officer in compliance with OFAC Sanctions and Regulations and Bank’s NYA’s policy and procedures
  • Assessments of customer relations with nexus to sanctioned countries or persons
  • Participation in the team's further activities, including reputational risk reviews, drafting and negotiation of sanctions related legal clauses, desk reviews, analysis and commenting on new regulatory and internal requirements
  • Participation in projects and working groups
  • Frequent interactions with front areas, counterparts at corporate level and in other regions
  • The role holder contributes to regional compliance with Policy, external sanctions regulations applied regionally and oversight of compliance with local Sanctions regulation at country level
  • Previous experience or willingness to build up expertise in the design and implementation of Sanctions programs; exposure to Compliance/Legal / internal control functions within EMEA

Skills For Senior Sanctions Compliance Officer Resume

  • Self-starter, proactive attitude, communicative, willingness to explore and structure the previously unknown, drive results, teamwork and partner with Legal / Compliance officers across EMEA
  • Effective time management skills and exceptional attention to detail
  • Work experience in a financial institution, preferably in a compliance, risk management, legal or audit role
  • Proficient in Microsoft Office applications, particularly Excel and PowerPoint and able to learn and apply new technology quickly
  • Certified as an AML specialist with a recognised institution/association
  • Strong understanding of the trade finance business and products, cash management services, transaction filtering and the ML/TF/Sanctions risks relating to bank business and operations
  • Relevant AML/Sanctions experience in a regional / head office role
  • Familiar with SWIFT methodologies with focus on Trade & Payments Message Types
  • Broad knowledge of the trade finance business and products, cash management services, transaction filtering and the ML/TF/Sanctions risks relating to bank business and operations

Skills For AML & Sanctions Compliance Officer Resume

  • Familiar with international sanctions regulations from the United Nations, MAS, US, European Union
  • 7+Years of work experience in an international financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; at least 3 years’ experience working in control function (compliance, audit, risk) or higher OFAC risk product (treasury/cash management, trade, correspondent banking) roles
  • Demonstrates knowledge of OFAC interdiction filter software technologies
  • Working knowledge of banking and securities laws, regulations, directives and regulatory expectations, particularly those related to economic sanctions
  • Works under the direction of the U.S. Head of Sanctions Analysis and Advisory Services regarding HSBC’s Risk Profile and LOB procedures to provide advice and guidance to all business lines on U.S. sanctions regulations and internal bank policies and procedures
  • Ensure compliance with operational risk controls in accordance with HSBC and/or regulatory standards and policies

Skills For Compliance Officer Global Sanctions Screening Solutions Resume

  • Liaises with OFAC on escalated transactions, as needed
  • Routinely interacts with management for assigned businesses, division and country managers, other Group managers, regional and local compliance functions, and peers throughout the organization and examination officials conducting regulatory examinations. Position also interacts with OFAC
  • Act as a central point of contact in the Sanctions team, working closely with the business, Operations and the client onboarding team to assess and handle escalations of potential sanctions issues
  • Act as a point of contact for Investment Bank FIU team, working closely with compliance officers in the APAC region (with focus on China) to ensure AML programs and ad hoc AML initiatives are properly implemented and carried out
  • Act as part of the Investment Bank FIU team, performing investigations and filing of Suspicious Activities Reports (SAR) as required, review and approval of third party payments, analysis of new business initiatives etc
  • Support the Delivery of the global strategy for the FCC Sanctions function into the region
  • Monitor Canadian sanctions lists for changes, ensuring accuracy and completeness of lists needed for screening activities across a variety of businesses, screening programs and technologies
  • Conduct monitoring and oversight of Sanctions processes, including accuracy of Canadian sanctions lists included in various sanctions screening systems and processes
  • Diligently investigate payment messages escalated from Regulatory Filtering Operations to US Sanctions Compliance for potential sanctions, AML, or policy violations

Skills For Senior Manager Compliance Officer Foreign Assets Control & Sanctions Resume

  • Interface with client service officers on transaction-related requests and decide on these in full compliance with all applicable sanctions regulations as well as the DB’s policies and procedures
  • Identify and escalate issues which are not addressed by current policies or standards, suggest possible solutions, and assist in implementing such solutions
  • Assist in the maintenance and management of internal watch lists, and coordinate with Regulatory Filtering Operations in the timely and accurate implementation of all watch lists
  • Ensure diligent review of transaction-related requests and decide on these in full compliance with all applicable Sanctions regulations as well as the Bank’s policies and procedures. Escalate to the Global Head of Sanctions as required
  • Proven experience overseeing other Project Managers
  • Supervise, oversee and coordinate the process for data extraction, analysis and preparation of the contents update for Citi Screening watch-lists
  • Team Head, Group Sanction Team, Group Anti-Money Laundering Compliance

Skills For Ofac Sanctions Compliance Officer Resume

  • Support the Bank Compliance Managing Director for OFAC regulatory examinations
  • Assist with addressing client service officers on transaction-related requests using due diligence searches in various third-party databases as well as the DB’s policies and procedures
  • Review and analyse transactions alerts escalated by various Business & Operations Units, with focus on trade finance products/services & cash management
  • Provide functional guidance as the deputy to the Team Head, Group Sanctions for the establishment of a strong sanctions compliance framework and culture within the Group
  • Keep abreast of and analyse risk impact of various jurisdictional sanctions laws and regulations developments that are material to the Group’s operations, and disseminate relevant updates on such developments
  • Formulate the relevant jurisdictional sanctions laws and regulations especially the US Treasury Sanctions regulations to OCBC’s Sanctions Policy requirements

Skills For Compliance Officer Global Sanctions Compliance Anti-bribery & Corruption Resume

  • Advise relevant businesses on the impact of the incremental requirements and assist to identify and map the Group’s exposure arising from existing customers deals
  • Identify, recommend mitigating measures and work closely with Business impacted by the incremental sanctions risk; seeking management’s approval on risk acceptance, where relevant
  • Provide guidance on complex sanctions compliance advisory to Business & Operations Units, in-line with applicable sanctions policies and procedures, on sanctions risk issues at account/relationship and transactional levels to ensure prompt and clear advice is provided to relevant stakeholders on sanctions matters
  • Team Head, Group Sanctions, Group Anti-Money Laundering Compliance
  • Review submissions to senior management committees on sanctions risk case escalations

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