Analyst, AML Resume Sample
Loma Rogahn
820 Ola Port,
San Francisco,
CA
+1 (555) 324 3346
Work Experience
Analyst, AML / KYC Risk Manager
05/2016
-
PRESENT
Chicago, IL
- Uses analysis and internal peer reviews to identify significant trends requiring further investigation, root causes; predicts potential impact; improves the quality and consistency of SARs reported to the U.S. Government; and provides reporting to various levels of senior management, monitoring teams and other Compliance officials
- Provides data driven recommendations that provide solutions for compliance related issues and processes
- Escalates analysis findings and performs metrics as needed to appropriate members of compliance team
- Assist in providing internal training on the Firm’s AML programs, policies, and procedures
- The role of Senior Analyst – Strategic Information Solutions group is based at GDM COE’ Bangalore Center and reports to the Manager/AVP
- Gather, analyze, organize, document and present large volumes of information in a succinct andorganized manner
- Knowledge of MS Office Suite application and efficient use of open source web search engines and any of thefollowing: Email software, Microsoft Outlook, Microsoft Internet Explorer, Mozilla Firefox, Web browser software, Microsoft SharePoint
AML Risk Analyst
02/2012
-
01/2016
New York, NY
- Working knowledge of Canadian and International AML regulatory statutes and reporting requirements
- Working knowledge of MS Office Suite application and efficient use of open source web search engines and any of the following: Email software, Microsoft Outlook, Microsoft Internet Explorer, Mozilla Firefox, Web browser software, Microsoft SharePoint
- Strong analytical, problem solving and critical thinking skills with solid organization and time management skills
- Certified Anti-Money Laundering Specialist designation is an asset
- Partners with the Industry Risk Officer and the deal team (Banker, Treasury Officer, Credit Risk Officer and Service Rep) regarding the accurate completion of the client’s Due Diligence Form (DDF) and provides supporting documentation and risk decision rationale for the underlying reference data associated with the forensic analysis
- Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
- Reviewing new customer account opening documents and performing KYC checks
- Providing advice to the business in relation to AML matters including due diligence, money laundering prevention and Sanctions
- Rigorous oversight and challenge of processes within the team, including the client onboarding process
Transfer Agency AML Product Analyst
06/2008
-
08/2011
Detroit, MI
- Coordinating with EMEA Compliance Officers on AML-related issues and matters, such as internal reviews, monitoring and testing of AML-related processes and controls and the implementation of AML policies and procedures
- Complete the HRAC Overlay process from beginning to end by reaching out to Relationship Manager/Banker or directly to the client depending on the case with the goal of executing 100% of the process and making a risk assessment appropriate to the review
- Ensure that the country’s businesses have procedures for sanctions screening (at account opening, when adding signatories, for operations (e.g., funds transfers)) as judged necessary based on a risk assessment, and on a periodic basis for the account base
- Develop on one’s own packs/reports used on regular basis in financial reviews with Senior Management and communication and meetings with clients
- Opportunity to set up the required processes with new functions with consideration for existing requirements, processes and structures
- Opportunity to work closely with shared services operations unit
- Opportunity to work with organization under-going significant change
- Conduct extensive research using the Internet, subscription sites, internal systems and spreadsheets
- Manages the controls and record keeping required to evidence the LOB’s internal risk management policy and regulatory reporting requirements
Education
Washington Adventist University
2003 - 2008
Bachelor's Degree in Business
Professional Skills
- Have excellent interpersonal skills and ability to work effectively with colleagues across the Legal & Compliance Division (in UK, across the Firm’s EMEA offices and in other regions), other Infrastructure and Control Functions (e.g. Operations) and Front Office
- Supervise others’ work (in particular, reviewing client due diligence documentation and carrying out routine Quality Assurance on others’ work) and provide effective feedback
- Strong communication skills: oral and written
- Strong organizational skills, attention to detail, and ability to follow required procedures
- Strong PC skills; ability to learn specific applications as needed
- An analytic mind set with great problem solving skills, including the ability to make decisions and recommendations in difficult cases
- Proven record of experience in participating in and successfully influencing complex processes, cross-functional initiatives
How to write Analyst, AML Resume
Analyst, AML role is responsible for software, retail, finance, credit, securities, training, reporting, research, events, health.
To write great resume for analyst, aml job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Analyst, AML Resume
The section contact information is important in your analyst, aml resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Analyst, AML Resume
The section work experience is an essential part of your analyst, aml resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous analyst, aml responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular analyst, aml position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Analyst, AML resume experience can include:
- Excellent judgment, the ability to take direction and work independently with minimal supervision and as a team player
- Maintain KWT tool current and be able to demonstrate work carried out
- A: Business Delivery & Operational Effectiveness
- Supporting throughout the client on-boarding journey, being a key point of contact for both customers and the business
- Acting as back up to Team Lead in representing CIB internally at various AML committees
- Monitoring all queries raised through to final resolution, in a timely manner
Education on an Analyst, AML Resume
Make sure to make education a priority on your analyst, aml resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your analyst, aml experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Analyst, AML Resume
When listing skills on your analyst, aml resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical analyst, aml skills:
- Strong interpersonal skills, and discretion to work effectively with the team and with key stakeholders on complex and sensitive issues, and to communicate clearly and persuasively
- Excellent organisational skills, and the confidence to challenge on process, procedure and operational issues where clarity is needed or simplification is required
- Solid analytical, problem solving, and time management skills
- Good IT skills, proficient in MS Office
- Advanced level of presentation, relationship building and negotiation skills
- Strong experience in business analysis and change management
List of Typical Experience For an Analyst, AML Resume
1
Experience For AML Risk Analyst Resume
- To ensure regulatory as well as regional timelines are observed in conducting AML investigations and on filing Suspicious Activity Reports
- Act as Banking partner with Compliance and the Institutional Clients Group (ICG) KYC Utility teams to review and evaluate application of KYC policy
- To conduct AML investigations in line with the FIU Operating Procedures and local directives
- To coordinate with various units of the Bank to identify other relationships of customers being investigated
- To work closely with other business partners including Relationship managers, CSIS, GIU and Business Controls to assist in AML investigations
- Prepares management reports on investigations and transaction monitoring performance indicators
- Complete KYC Record incorporating local regulatory requirements / Global AML Standards and policies
- The team is also responsible for processing AML documentation referrals from the LO and AI teams
- Support for IOB in its interactions with internal and external assurance functions such as Compliance, Audit, Risk, Regulators etc.
2
Experience For AML / SAR Analyst Resume
- Responsible to engage and follow-up with the ICG KYC Utility and Compliance to ensure responsiveness to CIB’s needs in order for CIB to adhere to policies and meet committed goals of timeliness and quality of KYC records
- Responsible for analyzing and evaluating internal KYC reports, databases, and operations to produce strategic and operational analyses inclusive of quality controls, as well as escalations and presentations to Senior Management to ensure timely execution of KYC record completions
- Report and monitor progress against stated goals and objectives
- To file Suspicious Activity Reports in line with the local requirements and regulations
- To identify anomalous activity through the transactional reviews to identify potential risk to senior management on a timely basis
- To review, identify and proactively report any suspicion on terrorist financing, high risk accounts, Senior Public Figure account, Multi Level Marketing Companies, Embassies, etc
- To ensure timely submission of MCA, SAR Logs and data points required by region and global teams
- To ensure name search activities are conducted and dis- ambiguated in a timely fashion for negative media news
3
Experience For Transfer Agency AML Product Analyst Resume
- Completion of all post BAU activities within given TAT
- To ensure timely submission of Regional and Global reports
- To ensure timely submission of MCA
- To support Optimization project teams as per requirements
- To ensure name search activities are conducted and dis-ambiguated in a timely fashion for negative media news
- Work in a potentially high pressure, client-driven environment
- Monitors transactions and system alerts for unusual and/or suspicious activities,
- Performs research and analysis of individuals, entities or events through public records, media or other research tools
4
Experience For AML Detection Analyst Resume
- Works closely with International Sales and Product Development teams to help ensure appropriate risk mitigation to new products and services
- Stays up-to-date with industry best practices and fraud trends to optimize and refine controls used to detect fraudulent activity
- To ensure name search activities are conducted and disambiguated in a timely fashion for negative media news
- Ensure all files are provided with an appropriate risk score based on the current AML risk management framework and ensure that all documentation meets EDD/CDD and High Risk requirements
- Maintain a current understanding of money laundering and terrorist financing issues, including internal procedures/process, enterprise wide policies and procedures and regulations
- The role holder ensures that any significant exceptions identified are followed up/monitored
- The role reports directly to the Team Lead, supporting both the LO and AI funds businesses, within a total team of 24. The Utility reports in through the head of hedge Operations in Ireland, with a dotted line to the Compliance Director locally
- The team is responsible for reviewing and responding to queries received from Investors, Intermediaries and Clients
- Reports directly to the SWT Analyst Manager and directly supports activities in the AML Investigations Office. Specifically, this role reviews SARS to determine if they meet FINCEN guidelines and then accumulates information in various databases for risk analysis
5
Experience For Analyst FCC AML Investigations SAR Filer Resume
- Reports directly to a Sr. Mgr. FIU; Directly supports activities of the FIU
- Responsible for account opening process and additional product ordering, including obtaining correct documentation and faxing to operational shared services India
- CAMS certification recommended
- D: Change & Innovation
- Contributes to the overall success of the Global Financial Intelligence Unit by ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures
- Investigate and assess the risk of alerts identified by the Bank’s anti-money laundering risk assessment tools, including but not limited to UTRs. Maintain proper records and audit trail of investigation activity and disposition actions for all alerts
6
Experience For AML Issues Management Analyst Resume
- Review of all customer’s activities alerts for the assigned business unit, investigate and report any violations of compliance or regulatory standards to the authorized officer or regulator
- Contributes to the overall success of the Global Financial Intelligence Unit by ensuring specific individual goals,plans, initiatives are executed / delivered in support of the team's business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures
- Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships,systems and knowledge
- Investigate and assess the risk of alerts identified by the Bank's anti-money laundering risk assessment tools,including but not limited to UTRs. Maintain proper records and audit trail of investigation activity and disposition actions for all alerts
- Review of all customer's activities alerts for the assigned business unit, investigate and report any violations of compliance or regulatory standards to the authorized officer or regulator
7
Experience For AML FIU Analyst Resume
- Provide guidance to Canadian and International line managers and compliance officers on internal appropriateremediation action for high risk accounts
- Support business line partners and risk stakeholder groups (including Security & Investigations, and SharedServices) in the assessment and resolution of cases initiated by those groups
- Champions a high performance environment and implements a people strategy that attracts, retains, developsand motivates their team by fostering an inclusive work environment; communicating vison/values/businessstrategy and managing succession and development planning for the team
- Work collaboratively with line management, Enhanced Due Diligence Units, and corporate stakeholder groups to implement appropriate due diligence and customer remediation steps to minimize related reputational risk to Scotiabank
- Support business line partners and risk stakeholder groups (including Corporate Security, and Shared Services) in the assessment and resolution of cases initiated by those groups
8
Experience For Analyst, AML / KYC Risk Manager Resume
- Proven track record to define problems; gather data; establish facts and draw valid conclusions
- Manage multiple priorities and high volume workload, knowing when to escalate
- Understanding of BSA/AML and OFAC regulations and their practical application
- Develops and maintain a sound knowledge and understanding of the Bank’s AML policies and procedures
- Respond to requests and concerns from various business units and other risks functions across the Scotiabank Group in a timely manner
- In AML/KYC
- IIBF – AML and KYC Certification, ACAMS Certifications
9
Experience For Gdm-sis-aml-crs-project Analyst Resume
- IIBF – AML&KYC Certification, ACAMS
- Languages : Fluent Spanish / English
- Knowledge base of the variety of Corporate and Commercial Loans
- Business Group: Compliance
- Department : AML
- Manage and oversee multiple email inboxes to ensure that prioritization is given to all incoming referrals and request for information. Particular attention is given to highly sensitive items regarding potential rosk and/or timelines of response. Examples would include: potential terrroris financing schemes, large scale fraud ring and referrals from law enforcement
- Provide guidance to Canadian and International line managers and compliance officers on internal appropriate remediation action for high risk accounts.Provide case specific AML guidance to business units including specific direction on appropriate escalation procedures and enhanced due diligence to mitigate potential money laundering and terrorist financing risk
List of Typical Skills For an Analyst, AML Resume
1
Skills For AML Risk Analyst Resume
- Proven track record to define problems, gather data, establish facts, and draw valid conclusions
- Experience with US Banking regulations and knowledge of Securities Based Lending products
- Acts as the primary contact within Wholesale Banking for CQA testing and validation teams
- Appropriate qualification preferably focusing on Banking/Finance/Law and several years’ of relevant experience
- Demonstrate initiative and creativity in problem-solving as well as working independently with some supervision
- Experience with contributing to a collaborative environment through knowledge sharing and mutual respect
2
Skills For AML / SAR Analyst Resume
- Experience communicating results and activities in writing and in meetings
- Good understanding of client business operations and transactions
- Good knowledge of operational and regulatory environment as well as Citi internal Control and Compliance working practices and policies
- Professional work experience in the financial services industry, specifically within Banking and/or TTS
- Manage multiple priorities, knowing when to escalate
- Previous experience with Documentation Review
- Experience and knowledge of AML
- Payments or Swift knowledge / FX, Treasury, settlements or payments experience
- Experience in end-to-end software development life cycle
3
Skills For Transfer Agency AML Product Analyst Resume
- Experience in the Financial Services industry and/or Compliance industry
- Prioritize and work on various projects simultaneously
- Highly proficient with MS Office tools: strong PowerPoint, Excel, SharePoint
- Experience: 4-5 years in AML/KYC
- 3 – 5 years applicable experience
- Relevant experience in BSA / AML Compliance, Know Your Customer, and Customer Identification Program requirements
- Understanding of service delivery, support and software development process and ability to handle links and impacts between three of those
- Understanding of AML, CDD, CIP, EDD, and OFAC policies and their practical application
4
Skills For AML Detection Analyst Resume
- International Banking & Lending or Foreign Language acumen
- Ensures all exceptions noted from monthly and quarterly CQA testing are reviewed and confirmed by the appropriate business units within Wholesale Banking
- To do Ad hoc projects including de-risking, EDM, LBF, RCA, LOB Reviews
- To ensure completion of Ad hoc projects including de-risking, EDM, etc reviews
- To manage team of analysts and ensure AML investigations are conducted and SAR reporting in line with the FIU Operating Procedures and local directives
- To ensure completion of Adhoc projects including de-risking, EDM, etc reviews
- To undertake adhoc projects including de-risking, EDM, LBF, RCA, LOB Reviews
5
Skills For Analyst FCC AML Investigations SAR Filer Resume
- To do adhoc projects including de-risking, EDM, LBF, RCA, LOB Reviews
- Highly organized, detail oriented, self-motivated, capable of monitoring and completing multiple projects and tasks
- Certification as an as an Anti-Money Laundering Specialist by ACAMS or equivalent AML certification / license
- Responsible for creating new AML Investigations in the case management system
- Escalates potential delays and challenges to meeting issue remediation due dates timely
6
Skills For AML Issues Management Analyst Resume
- Thinks strategically and articulates concepts clearly. Ability to see the "big picture" without losing attention to detail
- Opportunities to grow your expertise, take on new challenges, and reinvent yourself—without leaving the firm
- Technical background and/or thorough understanding of the WebKYC tool
- Investigate and disposition cases generated by the Automated Monitoring System, UTRs and Referrals
- Languages (French, Mandarin, Russian) would be an advantage
- Perform searches for Group relationships with subject individuals and entities
- Ensure SARs are completed accurately and timely to meet local regulatory and Group requirements
- To provide support to the Sr Mgr FCC AML Investigations Quality Control and the Regional Head AML Investigations in discharging his/her responsibilities for managing the FCC AML Investigation function across the region
- Provide administrative support to the AML Investigations team
7
Skills For AML FIU Analyst Resume
- Communicate and report within agreed timescales
- Carry out investigations and analysis of AML-related issues escalated to regional AML Investigations team. This includes accurate analysis of information supplied by internal and external sources
- Undertake ad-hoc projects, reviews and monitoring as requested by the Sr Manager FCC AML Investigations Quality Control and other managers within FCC function
- Support the development of accurate, frequent and comprehensive AML management information
- B: Client & Relationship Management
- C: Risk Management and Control
8
Skills For Analyst, AML / KYC Risk Manager Resume
- Flexible health benefits, stock purchase options, competitive incentive pay and recognition programs
- Ensures the timely and accurate corrective action status updates are entered in the enterprise issue management tool (i.e. Archer)
- Communicates with issue owners to fully understand corrective action status
- Position Title : AML FIU Analyst
- Established knowledge of CIBC’s organization and business accountabilities
- Able to maintain composure under pressure and consistently meet deadlines with internal and external customers and contacts
- Influence without authority. Makes decisions in a timely manner
9
Skills For Gdm-sis-aml-crs-project Analyst Resume
- Direct access to clients, information and experts across all business areas around the world
- A culture of inclusion that values each employee’s unique perspective
- Volunteer opportunities to give back to your community and help transform the lives of others
- Multi-task on numerous, simultaneous workstreams
- Graduate / Post Graduate / MBA
- Education: Graduate / Post Graduate / MBA
- Certifications: IIBF – AML&KYC Certification, ACAMS Certifications
- Gather and document procedures and requirements
- Qualification - Graduate / Post Graduate
10
Skills For Global AML Benefit Management Analyst Resume
- Reports to - Direct: Manager/AVP
- IIBF – AML&KYC Certification, ACAMS Certifications
- AML certifications preferable
- Personal and Interpersonal
- ACAMS Designation an asset
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