Team Lead, Compliance Team Resume Sample

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Sarah Murazik
47500 Salvador Points,  Chicago,  IL
+1 (555) 876 6818

Work Experience

Compliance Team Lead
05/2016 - PRESENT
Phoenix, AZ
  • Communicate with lines of defense regarding information related to internal audits, KRIs and control tests
  • Participate in the resolution of identified risks
  • Research regulations to advise on application by the business unit
  • Draft and revise policies and procedures to appropriately detail business policy and implementation of such policy
  • Monitor inbound and outbound funds movement for suspicious activity reporting (SAR) to BSA/AML team
  • Prepare and/or perform regulatory filings (13F, 13G and 13H)
  • Oversee certain team functions
  • Experience in financial services, compliance and/or a trust department
  • Proven organizational skills and ability to work successfully, independently, and proactively in a team environment
Cyber Security Service Provider Compliance Team Lead
11/2009 - 03/2016
Los Angeles, CA
  • Assess the information reviewed on potential customers against statutory requirements and Citi’s policy, and risk appetite
  • Perform regular reviews of ‘know your customer’ information on existing high-risk customers
  • Review and interpret research conducted by Analyst to ensure background searches for JP Morgan’s prospective and existing clients
  • Adverse media and derogatory information is interpreted correctly and highlighted appropriately for the business’ consideration
  • Determine what derogatory information requires escalation to the AML Investigations Unit (based on interpretation of the firm’s KYC guidelines) when suspicious activity is involved
  • Assisting with ad hoc requests received in relation to Citi’s Global Sanctions Screening Policy and applicable sanctions programmes
  • Run and distribute various reports to the field which include expiring I-9’s and non-compliant I-9 employees
Compliance Process & Projects Manager Team Lead
06/2005 - 10/2009
Los Angeles, CA
  • Identify opportunities to streamline business processes and recommend procedural changes
  • Ensure all email queries received in the Team’s inbox (SG_WM_Compliance_Reviews) are picked up and responded to, in a timely manner by the Team
  • In-depth knowledge of banking, securities and other financial services related laws or regulations
  • Business focus, innovative and with the ability to balance risk and control
  • Logical thinking, excellent analytical and problem-solving skills
  • A key team player with effective interpersonal, communication and presentation skill
  • Assists with the development, implementation and management of certification and compliance of the ICT Division’s compliance with IT General Controls (ITGCs), and other laws and regulations governing the Company
  • Identifies and generates ideas for improvement in the department’s procedures and work processes, including new and more efficient applications of technology in completing work


Pacific States University
2001 - 2005
Bachelor's Degree in Information Systems

Professional Skills

  • Excellent IT skills including Word and Excel
  • Strong verbal and written communication skills and ability to execute via web conferencing tools
  • Experience of process mapping and developing plans and delivering against challenging commitments
  • Experience in process/contract/business reviews, process improvements or audit reporting across a wide spectrum of business processes and transactions
  • Experience leading others in a fast paced work environment
  • Provide Compliance management information and appropriate metrics that demonstrates effectiveness of delivery to the business
  • Prioritise projects and workload

How to write Team Lead, Compliance Team Resume

Team Lead, Compliance Team role is responsible for finance, government, securities, training, auditing, security, trading, design, travel, compliance.
To write great resume for team lead, compliance team job, your resume must include:

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

Contact Information For Team Lead, Compliance Team Resume

The section contact information is important in your team lead, compliance team 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 Team Lead, Compliance Team Resume

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

Representative Team Lead, Compliance Team resume experience can include:

  • Experience in Tax accounting, Tax Advisory, Tax Auditing
  • Good use of SAP, and Microsoft Office and have the ability to use data to generate metrics and focus areas
  • Able to demonstrate values consistent with J&J Credo
  • Experience in a related field required
  • Assist with regulatory filing relating to the Firm’s investment advisory business
  • Ensure we are meeting our objectives and key results for the department and help the department achieve its key performance indicators (KPI’s)

Education on a Team Lead, Compliance Team Resume

Make sure to make education a priority on your team lead, compliance team resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your team lead, compliance team 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 Team Lead, Compliance Team Resume

When listing skills on your team lead, compliance team 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 team lead, compliance team skills:

  • Experience in a compliance department or other internal control function at a financial services company demonstrating operational skills
  • Perform the monitoring and testing identified in the Wealth Management Compliance Program to ensure effective controls are in place to mitigate risks
  • Experience in managing teams of two or more
  • Mentoring direct (and indirect) reports with technical and other knowledge
  • Assist in monitoring rule changes or regulatory developments relating to investment advisers
  • Develop, design and implement tests and on-going reviews to monitor functions within the business group

List of Typical Experience For a Team Lead, Compliance Team Resume


Experience For Compliance Team Lead Resume

  • Exemplary Ethical Standards
  • Full ANFI designation
  • Series 65 required

List of Typical Skills For a Team Lead, Compliance Team Resume


Skills For Compliance Team Lead Resume

  • An understanding of business management systems and processes and the importance of controls and compliance checks
  • Solve difficult situations using own judgment
  • Proficient in Microsoft Office Suite including but not limited to Word, Excel and PowerPoint
  • Liaise with Compliance and Business Development teams globally to ensure marketing and cross border mandates comply with all applicable regulation
  • Responsible for providing compliance advice and approval of any new products or product changes
  • Provide training as required to Aviva Investors staff on relevant UK regulatory obligations and developments
  • Acts as a liaison between Compliance and business areas on matters relating to the Firm’s investment advisory business
  • Development of Internal Product and System training materials

Skills For Cyber Security Service Provider Compliance Team Lead Resume

  • Oversight of 2330 Violations and Missing Customer issues
  • Consistently meet and/or exceed Service Level Agreements (SLA needs to be established and is “pending”)
  • Lead a team of Compliance Analysts responsible for conducting surveillance of IB’s global customer base
  • Learn additional systems as needed
  • Maintain a proficient knowledge of Investment Advisory rules and regulations and their impact on products and services as offered by Regions Asset Management
  • Establish partnerships and serve as a subject matter expert to the business group

Skills For Payments Compliance Team Lead CL Resume

  • Conduct research of laws and regulations impacting Asset Management compliance - monitor for new laws and regulations and provide communication to appropriate business group(s)
  • Participate in project teams and new corporate initiatives to advise the business group on potential compliance risks
  • Provide leadership and independent challenge on management’s compliance risk management activities and compliance risk assessments for Corporate Areas
  • Develop and maintain an appropriate monitoring program that provides reasonable assurance from a second line of defence that Corporate Areas are in compliance with the Bank’s RCM Framework and related compliance policies and procedures
  • Support Compliance Group processes and resulting input into the Bank’s control function incentive compensation framework
  • Monitor for significant regulatory developments (and changes) impacting Corporate Areas and assess and report on management’s response and compliance readiness

Skills For Compliance Process & Projects Manager Team Lead Resume

  • Development and delivery the Internal Assessment / SSCR compliance assessment programme, reporting findings and making clear recommendations to the Head of SSCR Compliance with regard to potential exposure, process improvements and any communications and training requirements identified as a result of the assessments / compliance testing
  • Making recommendations to strengthen existing and / or identify new process requirements and act as a lead to resolve any issues arising on allowable cost
  • Support the Head of SSCR Compliance by providing timely and accurate assessments in assessing levels of exposure to risk of dis-allowed costs through lack of evidence or poor process control
  • Issue timely reports with clear findings and recommendations to mitigate the level of any exposure to disallowed cost
  • Support and lead in the resolution of emergent issues/activities that are a result of gaps in process or non-compliance and lead in investigations as a result of MoD queries

Skills For WM Compliance, KYC Review Team Lead Resume

  • Strong business acumen & customer focus
  • Be seen as a go to for SSCR related queries and best practice
  • An ability to understand the Single Source Contract Regulations and the legal implications of the Defence Reform Act (2014 Section 2) and the impact across the business
  • Can perform under pressure and work to and achieve deadlines
  • Project management & Coordination capabilities
  • Able to manage complex and ambiguous situations
  • Knowledgeable of Aviva Investors’ global businesses or similar business
  • Some travel by car and/or air in conjunction with local, regional and/or national travel, up to 30%
  • Work in a small-team environment, to work independently and to multi-task with minimal supervision

Skills For Compliance Supervision Team Lead Resume

  • Series 7 license and a Series 3, 4 and/or 24 license
  • Figures as of September 30, 2017. For more information about Interactive Brokers visit
  • Shall possess at the time of award, and retain, Top Secret clearance and DIA adjudicated SCI eligible
  • Commitment to the principles of the UK AML regime
  • Shall possess at the time of award, and retain, equivalent level IAM II

Skills For ICT Compliance Team Lead Resume

  • Series 7, 24, 65/66 and 63 license is required
  • Communicate relevant business standards and regulatory obligations through the development of policies and procedures
  • Liaise with EMEA Head & Global Compliance colleagues to support global business initiatives and processes
  • Participate in various business and governance committees
  • Assists with daily activities to ensure requirements of department are fulfilled, as required by Firm policies or regulatory rules

Skills For Operations Team Lead Payments Compliance Resume

  • Provides input to guidelines for procedures and policies that comply with new and revised regulations, and directs their implementation. Generally assist in the development of Firm policies and procedures to address enhancements or other needs. Implements, explains, and enforces compliance and/or regulatory procedures and policies
  • Administration of Letters of Caution & Letters of Education
  • Subject Matter Expert for the maintenance of VFA Sales Practice Procedures
  • LiveOffice/AdvisorMail System Administration
  • Oversight of Branch Office Examinations
  • Maintenance of the Supervision Desk Manual

Skills For Team Lead VAT Compliance Resume

  • Development and creation of exception reports
  • Generate routine and ad-hoc reports for management as needed
  • Keep up with industry changes, business processes, and firm policies
  • Work day to day with your team of Compliance Analysts to conduct thorough surveillance report reviews and ad hoc investigations into potential fraud, money laundering, manipulative trading and other potential violations of laws and regulations
  • Assist with drafting specifications to create and improve surveillance reports and compliance tools
  • Analyze the results of complex investigations and provide concise written conclusions of your findings to IB’s Compliance Management and Legal Department
  • Conduct supervisory reviews and provide constructive feedback to Analysts

Skills For UK Advisory Compliance Manager, Team Lead Resume

  • Train, lead and guide your team members on compliance and surveillance related matters
  • Communicate directly with U.S. and foreign clients as part of compliance related reviews
  • Keep up to date on relevant industry regulations
  • Work with programmers to improve systems and address compliance needs
  • Review and draft Suspicious Activity Reports

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