Unit Compliance Officer Resume Sample

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Elias Lesch
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Work Experience


VP, Business Unit Compliance Officer
06/2015 - PRESENT
Phoenix, AZ
  • Operations Compliance and Independent Controls senior managers and executives to ensure delivery of key accountabilities of the role
  • Internal business partners and stakeholders, e.g., Product Operations (PO), Corporate Support Areas (CSA), PO Designated Compliance Team Lead (CTL) accountabilities
  • Strong independent thinking ability
  • Knowledge and experience developing compliance and risk management systems
  • Collaborate with the LOB and independent controls functions
  • Work with other areas of the bank to plan and coordinate compliance related activities. Other areas include but are not limited to BMO GAM Canada Business leads, Compliance, Legal, Technology & Operations, and Operational Risk
  • Participate in committees as required (e.g. Product Oversight Committee, Trading Oversight Meeting, Derivatives Review Meeting)
Business Unit Compliance Officer
08/2008 - 04/2015
Philadelphia, PA
  • Identify and ensure the fulfillment of any compliance-related training need as appropriate; including the GAM Canada Business Unit Compliance team
  • Work with 1st line GAM Canada leadership to determine annual Compliance training requirements
  • Ensure the scope of their OGCP incorporates current AUs
  • In consultation with second line compliance, ensuring that compliance program policies, processes and procedures that comply with the BMO’s compliance policies and the compliance manuals are established, executed and reviewed periodically
  • In consultation with second line compliance, ensures that compliance program policies, processes and procedures that comply with the BMO’s compliance policies and the compliance manuals are established, executed and reviewed periodically
  • Ensure the scope of their compliance program incorporates all areas within the business
  • Ensure compliance controls are designed implemented and, in consultation with the second line compliance, aligned to regulatory requirements, the Compliance Risk Appetite Statement and compliance culture
Global Sanctions Compliance Blocked Assets & Licensing Unit-compliance Officer
02/2006 - 02/2008
Los Angeles, CA
  • Conduct and assess compliance risk assessments
  • Ensure that applicable Operational Risk Management Framework Risk and Control Assessments maintained by the line of business accurately reflect the level of regulatory and related risks
  • Identify, assess the severity of, report and oversee remediation of compliance issues currently impacting, or with the potential to impact, the effectiveness of the compliance program
  • Monitor and report on the resolution and closure of action plans
  • Identify, ensure and/or participate along with the compliance in the delivery of and the fulfillment of any compliance-related compliance program training needs, as appropriate
  • Completion of processes around regulatory driven sanction list or internally developed watch list searches of transactions and account holders looking for designated high risk clients and sanctioned transactions
  • Determine if there is a true match to a suspect name, review, analysis and decisioning on wire transactions and specific issues escalated to/from internal business units
  • Validation on positive search results and providing detailed research information to support the resolution of a match

Education


Strayer University - Manassas Campus
2000 - 2005
Bachelor's Degree in Business

Professional Skills


  • Possesses excellent partnering, communication, and negotiation skills
  • Demonstrates understanding of business processes and capabilities being supported by assigned system(s) across multiple business customers
  • Experience with US Capital Markets and expert knowledge and understanding of the business unit’s product line
  • Experience in operational risk with either an operations and/or compliance background within the financial services industry
  • Experience in risk with either an operations and/or compliance background within the financial services industry
  • Proven ability to persuade, convince, and negotiate with influence in order to support one’s objective
  • Experience in risk with either an operations and/or compliance background within the financial services industry

How to write Unit Compliance Officer Resume

Unit Compliance Officer role is responsible for database, research, design, reporting, trading, security, integration, training, software, negotiation.
To write great resume for unit compliance officer job, your resume must include:

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

Contact Information For Unit Compliance Officer Resume

The section contact information is important in your unit 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 Unit Compliance Officer Resume

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

  • Providing written and verbal communication on issues with management, the lines of business and Compliance units, performing and reviewing highly sensitive client and transaction search information, reporting, escalating and documenting results
  • Understanding of the regulatory and compliance requirements applicable to the assigned AU(s)
  • Understanding of regulatory compliance and its role within a broader risk management framework
  • Work with the legal team to understand applicable regulations and regulatory risks associated with launching or changing products, as necessary
  • Work with legal teams to understand applicable regulations and regulatory risks associated with launching or changing products
  • Participate in defining the strategies, annual goals and objectives for areas of accountability over a period of time

Education on an Unit Compliance Officer Resume

Make sure to make education a priority on your unit 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 unit 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 Unit Compliance Officer Resume

When listing skills on your unit 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 unit compliance officer skills:

  • Strong computer skills using Microsoft Word, Excel, Power Point and other standard database tools
  • Solid knowledge and understanding of the business unit’s key products and services, processes, controls and organization
  • Provide Business Unit Compliance approvals on product launches and changes by validating fulfillment of business requirements
  • Provide Business Unit Compliance approvals on product launches and changes by validating fulfillment of requirements
  • Participate in forums to prioritize efforts/solutions to be added to the Compliance product roadmap driving program efficiencies
  • Understanding of techniques associated with data modeling, process modeling, and user-centered design within the context of the organizational standards

List of Typical Experience For an Unit Compliance Officer Resume

1

Experience For Business Unit Compliance Officer Resume

  • Participate in forums to prioritize efforts and solutions to be added to the Compliance technology and feature road-map to drive program efficiencies
  • Build and maintain with our Business Partners and stay abreast of new developments impacting the business, and new business initiatives
  • Act as single-threaded owner for all business requests for new products and services
  • Coordinate and collaborate across the Compliance Team with program and owners on necessary changes and any impact to our risk profile
  • Coordinate and collaborate with Compliance Operations, Risk and Compliance Product team to identify and outline plans for implementation to support new business and product initiatives
2

Experience For Global Sanctions Compliance Blocked Assets & Licensing Unit-compliance Officer Resume

  • Work with Product and Technology teams to drive requirements through implementation
  • Draw upon regulatory knowledge to quickly assess and offer risk-based solutions to difficult business issues
  • Work closely with business unit to develop a culture of Compliance within the organization
  • Collaborate with internal Compliance teams (AML, Risk, Product) to identify clear steps necessary to mitigate regulatory risks and provide those recommendations in the form of clear requirements
  • Perform competitive benchmarking to ensure Amazon compliance programs exceed industry standards
3

Experience For Business Unit Compliance Officer Gitrm Resume

  • Participate with the Operational Compliance Management teams in developing and implementing business strategies and focusing on core capabilities – business processes that provide competitive advantage from a regulatory compliance perspective; identifying, evaluating and taking advantage of opportunities to realize new efficiencies and be proactive in identifying change requirements
  • 1) Integration of business complexities within Compliance – Have expert knowledge and understanding of the Business Unit’s product line that require a substantially higher level of compliance controls experience. Identify inherent risks in processes and ensure that new products and initiatives have the right controls in place. Evaluate processes, test control capabilities and identify gaps
  • 1) Integration of business complexities within Compliance – Have expert knowledge and understanding of the Business Unit’s product line that require a substantially higher level of compliance controls. Identify inherent risks in processes and ensure that new products and initiatives have the right controls in place. Identify and communicate new and/or revised regulatory guidance
  • Participate with Operational Compliance Management team in developing and implementing business strategies and focusing on core capabilities – business processes that provide competitive advantage - from a regulatory compliance perspective; identifying, evaluating and taking advantage of opportunities to realize new synergies and economies of scale
  • Facilitates RCA (Risk Control Self-Assessments) programs ensuring the unit risk management processes are in accordance with the Bank’s enterprise wide RCA program and quality standards
  • At least five years relevant compliance, risk management, project management, audit or advisory experience in the Canadian Insurance Industry
4

Experience For VP, Business Unit Compliance Officer Resume

  • Participate in BMOFG committees, working groups and forums where GI&TRM’s regulatory programs require representation
  • Keeps abreast of industry best practices, trends, regulatory environment to improve bank’s competitive edge
  • Liaises with governments, other Financial Institutions and Associations with respect to GI&TRM’s regulatory programs
  • Knowledge of all complex aspects of Corporate and Commercial and/or Small Business Lending and appraisal management / review. In-depth knowledge of applicable regulations that support the role including but not limited to Regulation E, Regulation CC, FCRA, UDAAP, Regulation W, Vendor Management, GLBA (PART 30) and Interagency Guidance on Deposit Reconciliation
  • Provide counsel, training, and interpretation of regulatory issues to Company personnel and assist in interactions between the Company and regulatory authorities. This includes ensuring dissemination of regulatory updates on compliance and potential risks to the BU in order to proactively mitigate issues and assessing the impact of new or changed regulations on MPTS

List of Typical Skills For an Unit Compliance Officer Resume

1

Skills For Business Unit Compliance Officer Resume

  • Highly attentive to detail with strong problem solving abilities
  • Working Knowledge of deposit operations, including item processing, ACH/EDI, exceptions handling, account maintenance, EFT dispute resolution, escheatment etc
  • Understanding and knowledge of the use of Microsoft technology and applications in business
  • Understanding of industry standards and standard business capabilities
  • Understanding of object-oriented analysis and visualizing techniques
2

Skills For Global Sanctions Compliance Blocked Assets & Licensing Unit-compliance Officer Resume

  • Lead continuous improvement of business processes and procedures, and technology solutions by providing input and recommendation to the leadership team
  • Anticipate and/or interpret the impacts of business changes and/or regulatory changes on regulatory controls and effective regulatory risk management; recommend mitigating actions, as necessary
  • Lead and/or represent the business unit, as SME, on key risk projects, deep dives and game plans to drive continuous improvement in regulatory risk management. This involves analyzing problems and generating creative solutions by collaborating with the team, providing leadership, as well as managing projects, when assigned
  • Timely reporting and escalation
  • Leverage online and digital technologies for recommendations related to Agile, rapid prototyping and customer engagement
  • Develops and champions best practices within area of expertise, while comparing to other fluid parts of the business
  • Stays abreast of industry technical and business trends through benchmarking and/or participation in professional associations
3

Skills For Business Unit Compliance Officer Gitrm Resume

  • Knowledge of technical/business environment, including but not limited to
  • Expert knowledge and understanding of the business unit’s product line
  • Legal or accounting designation
  • Act as an owner for all Compliance requests across a product by maintaining close relationships with Senior Product Managers and Business Unit leads
  • Define key compliance performance indicators for a business unit and establish metrics and reporting to ensure transparency in communication with stakeholders
  • Create documentation outlining Compliance controls at a product level and defend to examiners
4

Skills For VP, Business Unit Compliance Officer Resume

  • Compliance, Corporate Audit and regulatory reviews
  • In this respective Operating Group and for assigned Assessable Unit(s) (“AUs”), the BUCO primary accountabilities/responsibilities are to serve as the Operating Group’s lead and oversee the design and execution of the OGCP including
  • The BUCO , in consultation with the US NACCC Head the Compliance Group, ensures OGCP policies, processes and procedures comply with the Legal Regulatory Compliance Risk Management (“LRCRM”) Policy, the Global Compliance Manual (“GCM”) and supporting operating guidelines are established, executed and reviewed periodically
  • Ensure Compliance Controls are designed, implemented and, in consultation with the US NACCC Heads the Compliance Team Leader (“CTL”), aligned to Regulatory Requirements and the Enterprise Compliance Risk Appetite and Compliance Culture
  • Provides management consulting services in support of LOB and Enterprise needs as well as expertise in technology and industry trends
  • Provides consulting services during multi-year planning and annual planning activities to help business identify initiatives that aligns to strategic direction of the bank
  • Liaises with stakeholders to understand problems and opportunities enabling the organization to meet its goals by understanding business vision, objectives and KPIs
5

Skills For Business Unit Compliance Officer & Manager Resume

  • As Primary Lead, liaise with Business and technology development and support groups driving out strategic priorities and assists in rank ordering its importance to start especially in identifying collisions/competing interests from other business / technology stakeholders
  • Cultivates relationships with business leaders, representatives, and other business partners, including vendors, to ensure that requirements are accepted and well-known
  • Leads the development of IT Strategy by understanding business processes, policies, information and information systems. Builds exceptional relationships with business partners and T&O colleagues. Ensures the requirements and solutions align to a real business need, are approved by all relevant stakeholders, and meets essential quality standards
  • Participates in strategy and planning sessions as Consultant to business partners (Multi-year planning, annual planning), reviews or inspections, in collaboration with the project team, to ensure the quality of work products
  • Provides thought leadership prior to evolved ideas, promotes new processes and methodologies, including emerging technologies and agile as required, with the flexibility to align to the unique requirements of the project teams and deliverables
  • Facilitate and follow a disciplined approach to plan, elicit, analyze, document, communicate and manage business requirements with stakeholders by applying a variety of elicitation techniques to probe, challenge and understand requirements according to the requirements management discipline
6

Skills For Manager, Busines Unit Compliance Officer Resume

  • Provides analytical support and insights to identified/assigned user areas in support of relative product, channel and business development, including but not limited to product, portfolio and profitability analytics, and customer analytics
  • Complete and/or provide leadership in the completion of root-cause analysis within a specific functional area or across multiple business areas, provide documentation, and implement large/multiple development projects
  • Assess impact to a project’s benefits and risks when scope changes
  • Understands and helps to remove barriers in the execution of a defined delivery plan specific to the project so that activities and milestones of the project team can be measured against the goals of the plan to determine project progress
  • Able to present and communicate at all levels within IT and across business units
  • Analyzes trends to proactively prevent problems
  • Continuously improves program/project processes in order to ensure the best possible deliverable outcome to improve overall efficiency and improve the bank
  • Manages complexity across business value, technology, and interaction models
  • Develops, recommends, and employs productivity aids in all aspects of assignments to accelerate delivery
7

Skills For Unit Compliance Officer Resume

  • Supports Communication and Change Management activities across multiple stakeholders
  • Identifies opportunities to strengthen the capability at BMO, such as: sharing expertise to promote technical development, mentoring employees, building communities of practice and networks across technology
  • Identify, research, understand and assess regulatory requirements for the GAM Canada
  • Ensure that relevant regulatory requirements are mapped to the GAM Canada Assessable Unit(AU)
  • Maintain inventory of regulatory requirements for the GAM Canada AU
  • Develop and implement a vision, strategies, processes and controls to ensure regulatory and compliance standards are upheld within MPTS
  • Establish appropriate governance, risk assessment, risk mitigation, and compliance processes that create business value by reducing costs, rationalizing controls, and enabling identification and management of risks across MPTS
  • Responsible for MPTS compliance with applicable regulatory requirements and standards. Oversees Regulatory Affairs, managing issues with federal agencies and state boards, licensing and accreditation, pedigree compliance, and U.S. Customs Border Patrol. Manages high level cases, investigations and regulatory complexities/changes
  • Ensure awareness and understanding of new and/or revised regulatory guidance. Communicate the same to line of business, including training if necessary
8

Skills For Business Unit Compliance Officer Resume

  • Oversee ethics governance and processes, analyzing trends and recommending actions to improve compliance with McKesson policies
  • Participate in continuous process improvements and high quality standards with a focus on responsiveness to the internal/external customer and regulatory controls
  • Participate with line of business to ensure product/customer solutions, technology improvements and operating efficiency recommendations also meet or exceed regulatory expectations
  • Subject Matter Expert in dealing with the complexity of operational regulatory compliance – dealing directly with business leads, other Product Operations pillars and other key stakeholders (Risk Management, Compliance, Tax, Legal, Audit, Finance, etc.)
  • Build partnerships with internal clients and other business stakeholders; build relationships with internal and external auditors and regulators; build relationships and networks with counterparts at competitive financial institutions
  • Perform Monitoring and Testing to confirm that controls and procedures ensure compliance with applicable regulations
  • Monitor and report on compliance issue management, escalating when commitment dates are in jeopardy
9

Skills For Global Sanctions Compliance Blocked Assets & Licensing Unit-compliance Officer Resume

  • In Compliance and/or the practice of law
  • Generally 7 to 10 years of work experience in IT or business environment and/or BS/BA or MBA/MS in computer science, engineering, information systems, math or business
  • Expert level of knowledge in domain
  • Business Analysis Accreditation is an asset
  • Knowledge of software development practice, concepts/methodologies (i.e. Waterfall, Agile, Iterative), and technology obtained through formal training and/or work experience
  • Strong verbal and written communication skills, and demonstrated ability to prepare concise, accurate reports for management
  • Multi-task, work independently, prioritize workload and meet deadlines
  • Knowledge of one or more requirements analysis and problem decomposition techniques
  • Knowledge of business analysis, project delivery practices and standards across the project lifecycle
10

Skills For Business Unit Compliance Officer Gitrm Resume

  • Is familiar with business strategy, assessments (i.e. feasibility studies, business cases and/or cost/benefit, project sizing and costing, and current state analysis/needs assessments)
  • Experience and/or knowledge with one or more regulatory agencies required: CFPB, OCC, FDIC and /or Federal Reserve or Institutional Compliance
  • Or more experience in the financial services environment performing compliance, risk management, consulting or audit-related functions specifically in the Asset Management and Wealth Management lines of businesses
  • Expert Asset Management, fiduciary, NI 81-102, NI 31-103 , broker-dealer industry knowledge
  • Knowledge of Charles River and/or other order management systems
  • Extensive experience in payments and/or e-commerce technologies in regulatory compliance, fraud risk management, operational risk management, information security or other related fields

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