aml compliance officer global financial crimes resume example with 20+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:

Confident professional with experience in AML compliance, fraud investigations, and foreign correspondent banking related issues. Extensive knowledge of banking across multiple lines of business including legal, and risk departments. Certified Anti Money Laundering Specialist (Claire). Candidate for Certified Fraud Examiners (ACFE). Knowledge of regulatory concepts such as Bank Secrecy Act, Office of Foreign Assets Control sanctions, and the USA PATRIOT Act.


FINRA Series 6, 7, 63, & 65.

Certification in Anti Money Laundering (Claire).

Candidate for Certified Fraud Examiners (ACFE).

AML Compliance Officer - Global Financial Crimes, 2012 - Current
North American Bancard Kansas City, KS,
  • Perform AML analysis on system-generated alerts
  • Review and analyze underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear
  • Perform effective systems UAT on Alert Generation and Case Management systems
  • Disposition and fully document all alerts, including supporting data, analysis and rationale within the case management system in a timely manner
  • Collect and document data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data, plus any other required information to assist the investigation
  • Review and analyze underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear
  • Identify key elements of the alert review and effectively communicate summary results to management and Analytics & Design teams
  • Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge
  • Build relationships with AML Investigations units, and effectively communicate and transfer information for case investigations
  • Participate in the development of goals and execution of strategies within the function or department
AML Compliance Officer - Global Investment Management-, 01/2013 - 07/2013
Kilpatrick Stockton Llp Menlo Park, CA,
  • Administration of AML/Sanctions training (maintenance of employees and consultant risk ranking; new joiners, assign/deliver/organize ad hoc training/workshops);
  • Membership of JPMC Anti-Money Laundering Oversight Committee (AMLOC) sub-committees, working Groups; and Global Financial Crime Compliance (GFCC) initiatives;
  • The development of common standards on AML/KYC, screening and monitoring
  • Roll out of JPMC AML/Financial Crime initiatives
  • The development of corporate and line of business specific policies and guidelines for AML; including cross regional team collaboration
  • Providing advice and dissemination of AML regulatory information;
  • Training on AML to the control functions, senior management and the business generally;
  • Production of score cards, relevant metrics and other Compliance reporting on financial crime matters;
  • Assist the AML Compliance testing program (local and Corporate);
  • Preparation of committee meeting and board meeting reports;
Global Liquidity, 09/2008 - 01/2013
Charles Schwab Corporation Providence, RI,
  • Responding to Institutional client inquiries regarding Institutional Liquidity products. This may include questions on various tax reporting issues, confirmation of balances, fund rates, dividends,
  • Processing new and existing client transaction (purchases, redemption's exchanges), wire orders.
  • Researching, evaluating and responding to client requests and assisting with providing information regarding procedural issues.
  • Having an in-depth understanding of JPMorgan investment process and process of the individual mutual fund portfolios to be able to provide detailed information on investment concepts, strategies and performance issues.
  • Market the JPMorgan mutual funds to existing clients, with whom cross-selling is an option, as well as to prospective new clients via leads from various business sources.
  • Function as a key contributor knowing AML/KYC issues
Senior Client Relationship Specialist, 2007 - 2008
Rr Donnelley & Sons Smyrna, GA,
  • Proactively contacts existing and prospective clients as part of the Wealth Management client relationship management strategy and responds to client service needs via multiple methods of contact
  • Follow-up communication with processing areas and clients with regard to service and/or problem resolution; as well as communication of the Wealth Management value proposition and the Consultative Sales Process.
Lead Investment Customer Representative, 2003 - 2007
Gardaworld San Diego, CA,
  • Fund accounting and net asset value calculations, investor relations services, anti-money laundering compliance, corporate and legal services, and various other ad-hoc services such as tax reporting and financial statement preparation.
  • Complete front-to-back offering for single manager funds, combining portfolio capture and real-time position monitoring technology with middle and back office operations support.
Senior Group leader (Trade Desk), 2000 - 2003
PFPC Global Funds City, STATE,
  • Analyzed financial information obtained from clients to determine strategies for meeting clients' financial.
  • objectives.Implemented financial planning recommendations.
Dividend Specialist, 01/1997 - 01/1999
CoreStates Bank City, STATE,
  • Interpreted data on price, yield, stability, future investment-risk trends, economic influences and other factors.
  • affecting investment programs.
Transfer Specialist, 1996 - 1997
CoreStates Bank N.A. City, STATE,
  • Implemented financial planning recommendations.
Mutual Fund Specialist, 1994 - 1996
CoreStates Bank N.A. City, STATE,
  • Reviewed clients' accounts and results regularly to determine whether life changes, economic developments or.
  • financial performance indicated a need for plan revision.
Free Receive Specialist, 1993 - 1994
CoreStates Bank N.A. City, STATE,
  • Investigated red flags for fraud, embezzlement, money laundering, tax evasion, false accounting statements,.
  • organized crime, terrorist financing and insider trading.
Legal Document Specialist, 1991 - 1993
CoreStates Bank N.A. City, STATE,
  • Maintained confidentiality of bank records and client information.
Vault Custodian, 1989 - 1991
CoreStates Bank N.A. City, STATE,
  • Compiles security transaction records and receives and delivers securities to and from trust vault: Opens.
  • Examines securities deposited for safekeeping, verifies descriptions and signatures, and files securities according to customer names and account number.
Bachelors of Science: Legal Studies, Expected in
Wilmington University - ,
Status -
: Candidate for Masters of Jurisprudence (MJ) , Expected in
Widener University School of Law - ,
Status -

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Resume Overview

School Attended

  • Wilmington University
  • Widener University School of Law

Job Titles Held:

  • AML Compliance Officer - Global Financial Crimes
  • AML Compliance Officer - Global Investment Management-
  • Global Liquidity
  • Senior Client Relationship Specialist
  • Lead Investment Customer Representative
  • Senior Group leader (Trade Desk)
  • Dividend Specialist
  • Transfer Specialist
  • Mutual Fund Specialist
  • Free Receive Specialist
  • Legal Document Specialist
  • Vault Custodian


  • Bachelors of Science

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