senior regulatory compliance international transactions compliance officer resume example with 13+ years of experience

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

CAREER SUMMARY A dual jurisdiction qualified Attorney and certified regulatory Compliance professional with over 15 years’ experience in the Financial Services Industry. I have an excellent professional pedigree, an indepth knowledge and understanding of legal, regulatory and AML and OFAC Sanctions with exceptional analytics, leadership skills and investigation expertise related to OFAC Investigations and screening including identifying potential money laundering, terrorist financing, fraud and operational risk.

  • Proficient in
  • MS Office , Actimize/FCIP; PRPC; GSM; Fircosoft; Case tracker; Mantas; Lexis Nexis; World Check; MS Office Suite: Word, Excel, Access, PowerPoint, and Outlook
  • Legal Compliance, regulatory Compliance ,
  • Corporate dispute resolution, OFAC Subpoena responses, Voluntary Self Disclosure (VSD), Sanctions/AML Investigations, Risk Analysis, Internal Control, Regulatory Compliance, Audit Reviews, BSA, AML & KYC Testing, Process Improvement, Business Continuity Planning and Performance Management.
Senior Regulatory Compliance / International transactions Compliance Officer, 07/2017 to Current
Virtual Terminal Network, STATE,
  • Driving investigative procedures to identify potential Sanctions/AML issues, or other compliance issues
  • Review QA reports to ensure cases meet Quality Assurance standards and regulations
  • Conduscting full and investigative due diligence to ensure
  • Skilled at preparing quality invetsogative narratives and SARs based on transactional narratives and Client reporting suspicious activity with possible evidence of money laundering
  • Provide detailed responses to OFAC subpoenas, and other regulatory inquiries including preparing Voluntary Self Disclosures (VSDs) to OFAC
  • Initiated the standardization of Investigator profiles globally and the global sanctions case management tool for the United States and other regions (EMEA and APAC)
  • Introduction of addtional control measures to KYC documentation to mitigate money laundering and counterfeiting
  • Provide guidance and oversight in the development of a global sanctions risk management program, execution of the program, creation and updating of policies and procedures, and reporting to management
  • Review, and manage all Certification requests and providing responses to various Lines of Businesses (LOBs)
  • Responsible for the review and investigation of sanctions escalations/referrals from all LOBs and other internal c
  • Supretending periodical meetings with other regional teams outside the United States to evaluate sanctions risks and various regulations related to OFAC and UN sanctions
  • Injecting legal compliance initiatives to protect the organization’s obligations from legal braches
  • Training new hires on the work flow and processes to own in implementing compliance work schedules
  • Providing team with periodical updates on new UN and international sanctions and jurisdictions placed under watch.
Legal and Compliance Officer, 04/2009 to 10/2017
First Bank Ltd, ,
  • Legal Compliance, AML Investigations and Quality Assurance
  • Responsible for the review of legal and regulatory compliance of activities
  • Deputized the team lead in the drafting of the rule book and compliance operation manual
  • Drive global technology innovations in financial activities
  • Coordinated the compliance with global data privacy rules(EMEA and US)
  • Filing of compliance reports with regulatory agencies like the SEC
  • Preparing and Compiling SARs for submission to law enforcement and FINCEN for Branch Referral and Correspondent banking
  • Providing feedback and escalating issues identified from AML Investigations into risk categorization in accordance with Compliance standards
  • Review of litigation files with outside counsel
  • Quality Assurance reviews and update of compliance rule book
  • Compliance audit of compliance officers’ processes
  • Legal audit or compliance officers’s processes
  • Managing the AML investigative process from initial detection to disposition and supporting other investigators
Associate Attorney Compliance Consultant, 09/2013 to 04/2014
Lakinberg LP, ,
  • Reviewed Alerts, developing cases and writing narratives of suspicious activities (SAR)
  • Conducted extensive research, link analysis, prepare intelligence report and threats assessments identifying AML & Terrorist financing (TF) risk to the bank and define specific targets for further investigations
  • Monitored and analyzed all transactions of correspondent and domestic accounts to detect suspicious activities
  • Applied knowledge of KYC, BSA & AML regulations in the process of researching clients’ profile
  • Conducted comprehensive analysis and review (EDD) of High-Risk customers such as Politically Exposed Persons, and Non-Governmental Organizations
  • Responsible for managing projects related to Money Laundering, Offshore Accounts and High Net worth companies.
Education and Training
Accelerated Leadership Certificate: , Expected in 02/2023 to American University - , Washington D.C.
LLM: International business Law, Expected in 07/2022 to Center for American and international Law - ,
: , Expected in 07/2018 to - ,
B.L (Juris Doctor Equivalent): , Expected in 05/2007 to Harvard Law School - ,
LLB(Hons). Bachelor of law: , Expected in 12/2005 to Nigerian Law School - ,
Activities and Honors
State Bar of California New York Bar Examination Feb, 2023 (Pending Bar Admission) Society for Corporate Governance and Ethics (Minneapolis, USA)
  • Chartered Institute of Arbitrators (UK) Aug, 2008
  • Chartered Arbitrator (UK)
  • Licensed Attorney (Nigeria) May, 2007
  • Licensed foreign legal Consultant(Nigerian Laws) Nov, 2020

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Resume Overview

School Attended

  • American University
  • Center for American and international Law
  • Harvard Law School
  • Nigerian Law School

Job Titles Held:

  • Senior Regulatory Compliance / International transactions Compliance Officer
  • Legal and Compliance Officer
  • Associate Attorney Compliance Consultant


  • Accelerated Leadership Certificate
  • LLM
  • B.L (Juris Doctor Equivalent)
  • LLB(Hons). Bachelor of law

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