aml compliance analyst resume example with 10+ years of experience
JessicaClaire
, , 609 Johnson Ave., 49204, Tulsa, OK100 Montgomery St. 10th Floor
H: (555) 432-1000
C:
resumesample@example.com
Date of Birth:
India:
:
single:
:
Professional Summary
Experienced Senior Compliance Analyst with demonstrated understanding of ITGC controls , Risk mitigation, Suspicion activity Reporting, BSA/AML/OFAC regulations and guidelines. Strong emphasis on investigating, research, account analysis and evaluating varying degrees of complex cases of suspicious financial activity for possible anti-money laundering violations involving all bank lines of business. Proven ability to analyze complex business processes, identify areas for improvement and implement solutions.
Skills
Financial Software/AML: LexisNexis, Capital IQ, Ad Hoc Reporting, Oracle, IBweb,CAST, CommTool’s, CIM, COBIT, NIST, AuditBoard, PowerBI
Excellent knowledge and usage of reporting tools such as Tableau, Power BI, SAS and Micro Strategy, SQL.
Audit: (Sarbanes–Oxley Act) - Experience with audit reporting plus demonstrated accuracy in internal and external auditing
Exceptional organizational and time management skills and ability to work independently.
Excellent team player with demonstrated experience of working collaboratively with all levels of staff to ensure successful implementation of assignments.
Strong computer and office administration skills with vast knowledge of Windows and Microsoft Office Suite (Word, Excel, PowerPoint, Access, and Visio), QuickBooks and AS/400.
Documentation, OLAP, Statistical analysis
Erwin, Operating Systems, Tables
Self-motivated individual with strong communication skills, great attention to details and the ability to work under pressure.
Critical Thinking: Strong organizational, problem-solving, multi-tasking, and time-management skills
Work History
AML Compliance Analyst, 04/2018 - Current Guardian Life – Houston, TX,
Review corporate documentation, legal documents, tax forms and other paperwork / information for completeness and accuracy.
Completing initial customer risk rating process consistent with Bank’s established processes.
Analyze in order to Mitigate risk for AML Scenarios such as (Patterns of Funds, Structuring, High Risk Geography, Change in Behaviors, Remote Deposit Captures) for Commercial, Consumer, Retail Banking clients.
Conduct searches, gathering data and recording evidence from Horizon Bank internal systems, Internet, commercial databases and inquire with business or Compliance contacts within Horizon Bank.
Analyze alerts and investigating transactional activities to detect any suspicions of money laundering or terrorist financing activity.
Confirm that initial risk rating is consistent with actual risk of specific Bank customers.
Prepare escalations for potential filing of suspicious activity reports on anomalous activity.
Report unusual client activities which might relate to money laundering or terrorist financing.
Responsible for all SOX ITGCs audits, FISCAM and SDLC review of significant projects.
Conduct annual IT Risk Assessment and analyze results to prepare IT Audit Plan for upcoming year.
Worked with high profile IT Vice Presidents and CIO to focus on risk ranking IT areas deemed critical to Company's existing business environment.
Performed walkthrough to monitor compliance with established policies, procedures and sound business practices.
Determined effective data analytic techniques to aid in audit testing as well as creating audit plan development and programs.
Developed and execute audit programs for forensic analysis of PeopleSoft Payroll, Billing, Procurement, Payables and Receivables to ensure FCPA and Sarbanes Oxley compliance.
Engaged in continuous knowledge development regarding sector’s rules, regulations, best practices, tools, techniques and performance standards.
Identified control weaknesses and provide sound and cost effective audit recommendations for various operational reviews such as e-Commerce process, HR Benefits process, Disaster Recovery Plan (DRP) & Business Continuity Plan (BCP) review, SDLC reviews, Payment Card Industry (PCI) compliance review.
IT SOX Auditor, 05/2014 - 07/2016 Grayco Communications – City, STATE,
Assisted in the development of risk analyses, business impact analyses, business continuity plans, and disaster recovery plans for financial institutions
Tested, reviewed, and documented internal controls related to the IT environment to ensure compliance with Sarbanes-Oxley
Led teams responsible for the General Computer Control (security, operations, change management, and IT-entity level) framework design, analysis, testing, and remediation for numerous Fortune 500 clients to achieve Sarbanes Oxley compliance
Assisted with the administration of project setups, billing, reconciling job summaries, and recruiting
Identified segregation of duties issues and internal control weaknesses for numerous clients in various industries including but not limited to: manufacturing, financial institutions, on-line brokerage, and retail
Worked closely with clients to develop, maintain, and document a control framework utilizing COSO, COBIT, and ITIL frameworks and methodologies.
Collection and quality assurance of evidence, penetration testing and observations associated with the annual PCI assessment for reporting.
Partially worked with the PCI teams that evaluated systems and environments to assess security exposures.
System Administrator, 01/2011 - 04/2014 CVS Pharmacy – City, STATE,
Established network specifications and analyzed workflow, access, information and security requirements.
Created patches and solutions to fix bugs in existing applications.
Worked with users to determine areas of technology in need of improved usability.
Oversaw file system, storage and other digital asset upgrades while safeguarding data integrity and redundancy.
Provisioned new software and hardware for use according to internal business and security policies.
Managed onboarding and offboarding of employees.
Completed reports detailing network and systems performance, costs and downtime issues.
Education
Bachelor of Science Degree: Mechanical Engineering, Expected in 08/2017 - Texas Tech University - Lubbock, TX GPA: Status -
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