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compliance specialist resume example with 11 years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
  • :
Summary

To obtain a Compliance Appeals Specialist position with Cash App.

Skills
  • Strong investigative skills, including familiarity with public record research and database tools
  • Demonstrated transaction analysis skills that apply across numerous financial products in complex scenarios
  • Ability to present and communicate findings to team members and team leads
  • An ability to work in a fast-paced environment and adjust quickly as things change
Experience
Compliance Specialist, 01/2021 to Current
Fiserv, Inc.Morristown, NJ,
  • Responsible for establishing the written policies and procedures regarding the AML/CFT, customer acceptance policies, the measures to control money laundering risk including guideline on the customer due diligence in accordance with the Anti-Money Laundering Act and the regular reviewing.
  • Provide advice to all relevant departments/ divisions to perform their duties as AML Officers in accordance with the AML/CFT regulations e.g. account opening, PEP status, and irregularity transactions including reporting the transactions as prescribed in regulations.
  • Conduct ongoing training courses including maintain the e-learning training presentation to be update to promote the awareness of the AML/CFT laws and regulations requirements of the bank and training on how to conduct the customer due diligence in accordance with the bank’s guideline and policy.
  • Setting up written guidelines for the AML program that are based on Bank's actual method of doing business that is easily understood and is based on company's vulnerabilities to money laundering and terrorist financing. Identify high-risk operations (products, services, customers, and geographic locations); provide for periodic updates to the institution’s risk profile; and provide for an AML compliance program tailored to manage risks.
  • Conduct self-assessment and work with different departments to follow up closure of gaps identified. Communicate key development and changes to the AML-FCC team. Ensure all management personnel and staffs are fully knowledgeable of the risks involved and about their responsibilities with regards to AML-CFT.
  • Meet all regulatory requirements and recommendations for anti-money laundering compliance. Co-operate with any lawful requests for information made by government agencies during their investigations. Provide for periodic review as well as timely updates to implement changes in regulations.
  • Lead teams to monitor, investigate and advice concerned parties by establishing clear accountabilities, roles and responsibilities to manage money laundering risk; establish a risk based approach to Customer Due Diligence (CDD) at onboarding and ongoing monitoring of customer activities; establish internal procedures to ensure that suspicious activity is reported in accordance with requirements prescribed by local laws and regulations; establish a robust training program on the requirements of the policy and guideline; retain appropriate records of CDD, transactions, suspicious activity and AML training.
Compliance Specialist, 04/2016 to 01/2021
Fiserv, Inc.Delaware, OH,
  • Responsible for administering, maintaining, coordinating and monitoring the Bank’s day-to-day compliance with BSA/AML/OFAC/CDD/EDD/KYC/FinCEN/USA Patriot Act, and related laws, regulations, policies, programs, initiatives, rules and reporting requirements.
  • Responsible for managing, administering, and enhancing all aspects of the BSA/AML/OFAC monitoring systems, including making sure that appropriate parameters are in place to identify suspicious activity. Monitoring systems include both system reporting and automated account monitoring software. Knowledge of Verafin a plus.
  • Ensure that all required regulatory reporting is conducted in a timely, accurate, complete and compliant manner, including but not limited to the timely and properly completed submissions of Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) to FinCEN as well as FinCEN 314(a) and 314(b) procedures and reporting.
  • Maintain an effective CDD/EDD risk rating and monitoring program to include initial and ongoing assessments, and review and analysis of unusual/suspicious account activity.
  • Act as a liason for State and Federal examinations and internal and external independent audits of the Bank’s BSA/AML/OFAC compliance programs; responsible for responding to exam and audit findings, and overseeing the corrective action of any related compliance deficiencies or violations.
  • Responsible for maintaining and updating the BSA/AML/OFAC policies and procedures and seeking approval by the Bank’s Board of Directors.
  • Conduct BSA/AML/OFAC risk assessments annually or as needed with consideration to products, services, customers, and geographies that may present BSA/AML/OFAC related risk; and collect and report annually.
  • Performs various other duties as assigned
Customer Service Representative, 04/2012 to 01/2017
Ibex Holdings LimitedHampton, VA,
  • Customer Care Management: Regularly monitor performance of different corporate services strands against set KPIs and cross-government MoUs and produce regular reports to Head of Corporate Services. Design customer-centric, standardised processes with services leads and monitor implementation. Act as second level of dispute resolution (first level being individual service leads), escalating to Head of Corporate Services as required (30% of time);
  • Compliance Management: Understand legal and non-legal compliance requirements and communicate with staff to ensure they are aware of role/s in compliance. Carry out detailed research and attend training programmes as required. Oversee implementation and conduct internal inspections. Carry out review of processes and adapt plan based on feedback. Maintain records and produce training materials, sharing best practice. Provide Head of Corporate Services and Senior Management with a sufficient level of compliance assurance (30% of time);
  • Improvement Plan Implementation: Work with stakeholders and services leads in designing and implementing, in consultation with the Head of Corporate Services, a service delivery improvement plan. Communicate plan with stakeholders, monitor performance and adjust as required (20% of time);
  • Travel Management: Oversight of travel services, including the in-house provision of transport services. Review Geographical Expenditure Guides regularly and manage hospitality contracts across the network;
  • Procurement: Manage procurement of goods and services relative to the role, in compliance with FCDO Procurement Policy and Processes.
Education and Training
License Realetor : Real Estate, Expected in 05/2022 to Coookie Real Estate - Milwaukee, WI,
GPA:
Associate of Applied Science: Medical Assisting, Expected in 06/2012 to Everest College - Milwaukee, WI,
GPA:
  • National Honor Student Award 2012
  • Scholarship for GPA of 4.0 2012
GED: , Expected in 05/2005 to Milwaukee Area Technical College - Milwaukee, WI
GPA:

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Resume Overview

School Attended

  • Coookie Real Estate
  • Everest College
  • Milwaukee Area Technical College

Job Titles Held:

  • Compliance Specialist
  • Compliance Specialist
  • Customer Service Representative

Degrees

  • License Realetor
  • Associate of Applied Science
  • GED

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