Senior Associate resume example with 8+ years of experience
JessicaClaire
Montgomery Street, San Francisco, CA94105609 Johnson Ave., 49204, Tulsa, OK Home: (555) 432-1000 - Cell: - resumesample@example.com - -
Professional Summary
Hardworking Senior Associate enthusiastic about take on exciting new challenges within Financial Industry. Professional and flexible with proven analytical skills. Experience includes managing sensitive materials and providing afterhours support to clients.
Skills
Experience in Know Your Customer, Anti Money Laundering and Regulatory Compliance
Strong work ethics, attentive to details, self-starter and exemplary team player
Excellent time management skills and ability to meet tight deadline schedules
Ability to acquire new skills through study, experience and training required for a successful growth
High level computer skills including Excel, Word and PowerPoint
Able to negotiate and problem solve quickly, accurately, and efficiently
Strong verbal, listening and written skills and comfortable in interacting with all levels of the organization and public
Work History
09/2018 to Current
Senior AssociateSs&C Solutions, Inc. – Lawrence, KS,
Promptly addressed concerns, complaints and inquiries to meet customer satisfaction.
Served as Investor/Client Relations and Compliance Senior Administrator. First point of contact of investment managers and investors providing timely responses to information request and ad hoc inquiries from investors and their authorized representatives.
Processing fund related transactions such as payments, subscriptions, redemptions, and transfers while completing Anti-Money Laundering (AML)/Know Your Client (KYC) procedures for all institutional and individual investors.
Performs KYC process and client on-boarding documentation including FATCA for new and existing clients ensuring compliance with respective regulations.
Supervising and assisting two members of the team to ensure that daily tasks are properly completed, providing guidance and technical assistance on AML and KYC related issues
Conducts a risk-based evaluation of clients and underlying investors ensuring Enhanced Due Diligence procedures are in place.
Reviewing changes to client and investor profiles that may require refreshed KYC and and/or a reevaluation of the initial risk rating process; ensuring that existing client and investor KYC is reviewed on an ongoing basis in line with internal policy and procedure.
Recognized as the key point person by the team and peers with the ability to answer queries of different transaction scenarios, and consistently provide innovative solutions in everyday business problems for clients.
07/2016 to 09/2018
Field AuditorThe Wonderful Company – Bend, OR,
Determined financial and operational audit areas, providing most economical and efficient use of audit resources.
Evaluated design and operating effectiveness of audit areas.
Identified control gaps in processes, procedures and systems through in-depth research and assessment and suggested methods for improvement.
Completed audit papers by thoroughly documenting audit tests and findings.
04/2014 to 03/2016
Junior AuditorLabcorp – Williamsburg, VA,
Assist in planning the audit scope and in preparing audit program.
Strong experience in reviewing and evaluating organization’s financial standing and reputation.
Have an in-depth knowledge in AML and KYC, Risk Assessment, and Governance and Reporting.
Meticulous with recordkeeping and tracking, catching irregularities, glitches or wrongdoing that does not comply with company and regulatory board laws and policies.
Monitored and maintained all bank audit functions including branch and department operations audit and special audit for exceptional cases including AML regimes, Risk assessment and Governance and Reporting.
Responsible for all audit reports including evaluation of findings and recommendation of solutions to strengthen internal control and to enhance effectiveness and efficiency of processes.
Designed and implement programs that evaluated and safeguarded assets and controlled risk.
Participated in closing meeting with the management and auditee.
Appraise management for major findings that needs immediate actions.
Conduct special audit engagement as requested by the senior management and suggest recommendations for improvements.
Maintained the transfer agency register for Asset Managers and Fund Promoters covering United Kingdom and Ireland.
Ensuring that all Investor Accounts are opened and maintained in accordance with specific regulations for clients.
Demonstrate and apply thorough Anti Money Laundering and Know Your Customer awareness and knowledge.
Responsible for the accurate maintenance of shareholder information for retail and institutional clients on transfer agency platform.
Prioritized new account instructions that require setup on the fund register, in accordance with the applicable cut-off times, procedures, and following the processing checklist.
Adhere to account setup procedure and cut-off times to ensure timely delivery of fund for pricing and computation of Net Asset Value. • Have an in-depth knowledge of all standard procedures for all existing UK Account Maintenance work types and exception processes.
Involves certain amount of reporting which requires accuracy and attention to details.
Aids the Team Leader in preparing End of Day report and packets.
Assists in training new team members with regards to UK Account Maintenance basic processes.
Education
Expected in 03/2012
Bachelor of Science: Accountancy First Asia Institute of Technology And Humanities - Tanauan City, Batangas, GPA:
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