Vice President Compliance Manager resume example with 13+ years of experience
JessicaClaire
Montgomery Street, San Francisco, CA94105609 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 Llc – Washington, 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 Winery – Rutherford, 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 CHASE – City, 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 CHASE – City, 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 LLC – City, 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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