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Vice President Compliance Manager resume example with 13+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
Summary
Reliable manager of 7+ years responsible for leading a team of AML investigators focusing on multiple alerting types with a concentration on financial crimes, including but not limited to money laundering, fraud, and terrorist financing. Providing direction on escalated matters related to AML typologies and coaching feedback on investigative practices. Coordination with various stakeholders including GFCC Legal, Advisory multiple Lines of Businesses. Exercises sound judgment, follow high quality standards, independently manage, and lead by example. Successful in fast-paced, deadline-driven environments to manage goals and team development.
Skills
  • Project Management
  • Staff Development
  • Verbal and Written Communication
  • Project Planning
  • Performance Tracking and Evaluation
  • Teamwork and Collaboration
  • Recruitment and Hiring
  • Team Building
  • Managing Operations and Efficiency
  • Team Leadership
  • Employee Development
  • Documentation and Reporting
  • Process Improvement
  • Business Analysis and Reporting
Experience
Vice President Compliance Manager, 02/2021 to Current
Interactive Brokers LlcWashington, DC,
  • Develop and lead employees to achieve career goals
  • Communicate a clear vision, direction, and purpose
  • Take on additional responsibilities focusing on improving the AML process, including pillar lead to create a new mainframe system for Compliance to utilize
  • Implement team and individual targets to support the broader business strategy focusing on quality investigations and attention to detail
  • Balance multiple inventory queues, deadlines, and priorities
  • Independently investigate money laundering concerns and provide typology guidance to team members
  • Display teamwork by leveraging team members to assist on inventory across the broader investigative unit
  • Provide guidance on how to accurately complete the Suspicious Activity Report (SAR) in accordance with Financial Crimes Enforcement Network (FinCEN) requirements and JPMC procedural requirements
  • Conduct daily Inspect and Repair of team members cases and SARs; reviewing for risk identification, JPMC procedural requirements and FinCEN requirements
  • Coordinate with various stakeholders including GFCC Legal, Advisory and the firm's Lines of Businesses to identify, mitigate and escalate risks identified
Senior Associate Compliance Manager, 02/2018 to 02/2021
E. & J. Gallo WineryRutherford, CA,
  • Develop and lead employees to achieve career goals
  • Communicate a clear vision, direction, and purpose
  • Take on additional responsibilities focusing on improving the AML process, including pillar lead to create a new mainframe system for Compliance to utilize
  • Implement team and individual targets to support the broader business strategy focusing on quality investigations and attention to detail
  • Balance multiple inventory queues, deadlines, and priorities
  • Independently investigate money laundering concerns and provide typology guidance to team members
  • Display teamwork by leveraging team members to assist on inventory across the broader investigative unit
  • Provide guidance on how to accurately complete the Suspicious Activity Report (SAR) in accordance with Financial Crimes Enforcement Network (FinCEN) requirements and JPMC procedural requirements
  • Conduct daily Inspect and Repair of team members cases and SARs; reviewing for risk identification, JPMC procedural requirements and FinCEN requirements
  • Coordinate with various stakeholders including GFCC Legal, Advisory and the firm's Lines of Businesses to identify, mitigate and escalate risks identified
Associate Compliance Manager, 02/2016 to 02/2018
JPMORGAN CHASECity, STATE,
  • Develop and lead employees to achieve career goals
  • Communicate a clear vision, direction, and purpose
  • Take on additional responsibilities focusing on improving the AML process, including pillar lead to create a new mainframe system for Compliance to utilize
  • Implement team and individual targets to support the broader business strategy focusing on quality investigations and attention to detail
  • Balance multiple inventory queues, deadlines, and priorities
  • Independently investigate money laundering concerns and provide typology guidance to team members
  • Display teamwork by leveraging team members to assist on inventory across the broader investigative unit
  • Provide guidance on how to accurately complete the Suspicious Activity Report (SAR) in accordance with Financial Crimes Enforcement Network (FinCEN) requirements and JPMC procedural requirements
  • Conduct daily Inspect and Repair of team members cases and SARs; reviewing for risk identification, JPMC procedural requirements and FinCEN requirements
  • Coordinate with various stakeholders including GFCC Legal, Advisory and the firm's Lines of Businesses to identify, mitigate and escalate risks identified
AML Compliance Analyst, 04/2014 to 02/2016
JPMORGAN CHASECity, STATE,
  • Back-up/deputy to manager, including review of team work
  • Collect and analyze data, including alert, transactions, customer demographics and relevant account information to identify potential suspicious activity
  • Disposition and fully document the investigation, including supporting data, analysis, and rationale for disposition within the case management system
  • Exercise sound judgment and follow high quality standards when conducting investigations
  • Effectively communicate with associates, management and various stakeholders on risks identified, possible typologies and recommend next steps
  • Balance inventory queues, deadlines, and priorities to achieve departmental standards and production goals
  • Demonstrate teamwork by accepting ad-hoc requests to assist other associates on inventory
Legal Assistant, 12/2008 to 04/2014
JENNIFER L. HAMMOND LLCCity, STATE,
  • Drafted correspondence, motions, and pleadings
  • Interaction with the courts including observation of proceedings
  • Developed relationships with the legal profession
  • Notary public for legal documents
Education and Training
Bachelor of Arts: Sociology, Justice, Law & Society), Expected in 05/2011
Washington College - Chestertown, MD
GPA:
Alpha Chi Omega - Beta Pi Chapter, A Network Analysis of Organized Crime
High School Diploma: , Expected in 05/2007
Tome School - , North East, MD
GPA:
Master of Science: Management, Homeland Security, Expected in
Wilmington University - Wilmington, Delaware
GPA:
Sigma Beta Delta Honor Society: International Honor Society for top students in business, management, and administration degree programs and is the highest recognition a business student can receive at a university.

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Resume Overview

School Attended

  • Washington College
  • Tome School
  • Wilmington University

Job Titles Held:

  • Vice President Compliance Manager
  • Senior Associate Compliance Manager
  • Associate Compliance Manager
  • AML Compliance Analyst
  • Legal Assistant

Degrees

  • Bachelor of Arts
  • High School Diploma
  • Master of Science

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