Avp-compliance Resume Sample
Vilma Mante
837 McKenzie Pass,
Dallas,
TX
+1 (555) 355 0352
Work Experience
AVP Compliance Manager
09/2015
-
PRESENT
San Francisco, CA
- Experience and strong knowledge of securities laws and regulations applicable to investment funds, portfolio management and exempt market dealer activities
- Experience in and knowledge of derivatives regulation would be an asset
- Strong problem solving skills, collaborative approach and ability to coordinate effectively with internal clients to improve processes
- Familiarity with corporate compliance programs such as privacy and anti-money laundering
- Effect creative and responsive solutions
- People Management experience focused on talent development and coaching to create a high performing team
- Communicate findings and recommendations to management, determine root causes, obtain management’s action plan for remediation in a timely manner and track findings through resolution using BWise
- Proven experience in consumer banking – preferably in a Compliance function
Avp-compliance
10/2009
-
04/2015
Detroit, MI
- Good knowledge of the laws and regulations applicable to CIT’s consumer banking business, including deposit operations and consumer lending
- Good knowledge of branch banking operations, retail banking and/or retail administration management
- Proven experience and delivery within IT
- Responsible for firm’s Fixed Income WSP and Advisor Compliance Manual chapters
- Maintain the Firm’s Watch and Restricted List
- Review firm’s trading activities
- Prior knowledge of Irish Investor Money Regulations, Ireland Client Asset Regulations or the UK Client Asset Regulations would be very beneficial to this role
- Good theoretical and practical knowledge of the regulations and processes impacting investment funds in Ireland and be able to communicate requirements in appropriate detail to various levels of management
AVP Compliance, Global Accounts Payable
04/2003
-
09/2009
Chicago, IL
- Excellent communication, organizational and planning skills with the Ability to work to deadlines in a fast paced environment
- In-depth knowledge of banking regulations
- Business mind with the ability to balance risk and controls
- Team player and strong analytical and problem solving skills
- Leading audit activities including risk assessments, audit testing, control evaluation, work paper documentation and follow up and verification of issue closure
- Partnering with colleagues, clients and control community members to evaluate the control environment and develop recommendations to strengthen internal controls
- Staying up-to-date with evolving regulatory changes and market events impacting the business
- Performing ongoing analysis of compliance risk trends through business monitoring and execution of audit coverage
- Partnering with other groups within Audit to ensure the delivery of an integrated audit program of coverage
Education
University of Phoenix - Las Vegas Campus
1998 - 2002
Bachelor's Degree in Business
Professional Skills
- Previous experience in working in and around digital propositions (financial or non-financial) is desirable but not essential
- Experienced with consulting on architecture patterns and technologies for risk and compliance solutions
- Effectively drive service change and improvement to increase service levels, ensuring that highly complex change is delivered successfully
- Strong negotiation and influence capabilities
- Possesses high integrity, professional skepticism and strong business sense
- Enthusiasm and ability to learn, ability to work independently and effectively within a team
- Managing regulatory risk across the TD Wealth Businesses through surveillance, monitoring and testing
How to write Avp-compliance Resume
Avp-compliance role is responsible for negotiation, retail, finance, credit, securities, training, database, trading, planning, reporting.
To write great resume for avp-compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Avp-compliance Resume
The section contact information is important in your avp-compliance 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 Avp-compliance Resume
The section work experience is an essential part of your avp-compliance 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 avp-compliance responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular avp-compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Avp-compliance resume experience can include:
- Experience interacting with traders, sales staff and support personnel
- Good working knowledge on Private Bank/Trustee
- Good understanding of MAS Notices, Guidelines and Regulations on AML/CFT and Sanctions
- Experience required in multi-faceted project management, change management, COO, or similar role
- Good working knowledge on Institutional Bank, Trade Finance, GTS
- Good understanding of MAS Notices, Guidelines and Regulations on AML/CFT and Sanctions is pertinent
Education on an Avp-compliance Resume
Make sure to make education a priority on your avp-compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your avp-compliance 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 Avp-compliance Resume
When listing skills on your avp-compliance 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 avp-compliance skills:
- Motivated self starter/manager with good interpersonal skills – able to get along with a diverse multi-locational team
- Enhancing the current compliance program to effectively target, detect and address regulatory violations and breaches of internal policies and procedures
- Conduct classroom training to effectively deliver compliance messages
- Interact tactfully and effectively with company and inter-companies personnal (including regional and global offices) at all levels
- Have good experience and knowledge of the private wealth and M&A workflow
- Powerpoint, advanced excel skills
List of Typical Experience For an Avp-compliance Resume
1
Experience For AVP Compliance Resume
- Developing and maintaining effective working relationships within the Compliance department and with other internal and external stakeholders
- Planning and executing various compliance initiatives, often in a managerial role
- Assisting in the preparation of periodic management reporting
- Supporting the Americas Compliance team as requested in various projects and initiatives
- Participating in cross-team initiatives within the department as requested
- To assist in implementing EWRA Framework
- Develop a best in class compliance review capability through continually enhancing quality, coverage, timeliness, accuracy and value
- Familiarity with FX and knowledge of SEC and FINRA regulations
- Advise Corporate Banking business on compliance related matters and ensure their activities are carried out in accordance with the applicable rules and regulations and the Bank’s policies
2
Experience For AVP Compliance Manager Resume
- Able to work in a team and work confidently with Senior Management
- Work closely with Americas Information Technology Department (AITD) and Americas Business Operations Department (ABOD) to develop and maintain documentation on the bank’s sanctions filtering system
- Experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
- To provide advisory support to relevant business / support units (1st line of defence)
- To assist in AML reviews conducted by Group Audit or External Auditor
- To assist on other FCSS advisory – Fraud, Anti-Bribery & Corruption, Sanctions, etc
3
Experience For AVP Compliance, Global Accounts Payable Resume
- Assist with the development, implementation and continual enhancement of a comprehensive risk-based audit plan, including risk assessment and reviews, that reflects a thorough understanding of investments, trading, sales, marketing, finance, technology, transfer agent and other operational activities, risks, functions, processes and controls
- Work in partnership with compliance management, business partners and other risk/control functions to ensure that OppenheimerFunds processes, business activities, and internal controls are effective in managing operational, financial, regulatory and business risks
- Oversee, track, validate, and report the status of the remedial efforts triggered by the Compliance Surveillance reviews
- Assist with the development of testing framework to apply across the enterprise
- Recommend and negotiate effective and efficient control improvements to manage risks and confirm remedial actions have sufficiently addressed identified the identified control weaknesses
4
Experience For AVP Wealth Compliance Resume
- Contribute ideas and deliver results that strengthen compliance practices and other risk/control efforts across audit teams
- Oversee the generation of reports, including board reporting, and analyses that support management and other stakeholders in understanding business conditions and managing business risks/controls
- Deliver results on cross-team efforts that increase Compliance’s value and effectiveness
- Develop and nurture relationships with business partners and other constituencies to strengthen business value added
- Develop, execute and oversee continuous Compliance Surveillance testing of ratings documentation and processes for compliance with internal policies and procedures
5
Experience For Compliance Functional Test Lead-avp Resume
- Drafting and maintaining the Department’s procedures related to the Company’s vendor risk assessment, tracking and reporting process including change management
- Works with Technology Services, Project and Procedures Management, AML Local Compliance Officers (LCOs) and business unit management in designing, developing, testing, and implementing new automated sanctions initiatives, as well as enhancing existing systems
- Meets all deliverables for analyses, and regular reporting
- Ensures timely identification and escalation of risk issues
- Develops action plans and/or workarounds to mitigate Risk
- Is aware of the Operational Risk, primarily Business Regulatory Risk associated with the business
- Provision of day-to-day business advisory services in the region in coordination with the global and EMEA Compliance team,
- Supporting management of regulatory requests, including internal preparation for regulatory exams, supporting document requests, participation in business remediation efforts and advising business and management on regulatory responses,
- Support the Senior Compliance Manager on the development of the strategy, objectives and priorities for Digital Banking & Strategic Transformation compliance across BUK
6
Experience For Gtis-avp-database Compliance & Vulnerability Service Manager Resume
- Proven Database Risk and Compliance management and technical skill set
- Experience in a structured environment with adherence to process and procedures
- Influence multiple functions and senior leaders both in DBOI and onshore to maintain a controlled work environment in DBOI
- Work in silo or in large virtual teams
- Be able to work on the formulation of compliances policies and procedures, implement the same in accordance with the regulations and business needs
7
Experience For Sanctions Technology Compliance, AVP Resume
- Be able to manage a team of at least four employees
- Be able to write, read Chinese and speak Cantonese at professional level
- Assist in the management of a team
- Strong and effective communicating (both written and oral) & influencing skills in order to acquire necessary data and information when conducting surveillance or handling requests
- Experience within a financial industry regulator, law firm and/or Compliance department of a regulated financial services firm
- Awareness of risks involved with incorrectly approving Gifts or Entertainment within the organisation
- Experience as a project manager within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm, or within a PMO organization working on Compliance (non-IT) projects
8
Experience For AVP Country Compliance, Tokyo Resume
- Computer competence in Word, Excel, PowerPoint and Sharepoint
- Fluent oral and written English and French to a business standard
- Work independently in the EU and as part of an EMEA and global team
- Experience as a project manager within a financial industry regulator, law firm, and/or compliance department of a regulated financial services firm, or within a PMO organization working on Compliance (non-IT) projects
- Management responsibility for risk and compliance aspects of a large database environment
- Keep abreast of any regulatory changes and update the business accordingly
9
Experience For Avp-corporate Banking Compliance Resume
- Citi Global AML Policy and program
- AML risks and typologies to identify areas where there are potential AML risks and provide suggestions to address the risks
- Oversees the department’s New Hire and ongoing refresher training that encompasses regulatory, compliance and quality components. Ensures all training and reference material is updated to be consistent with compliance, regulatory and procedural changes
- Managing effectively the compliance projects assigned to him/her
- Developing and maintaining project plans while working with local Compliance officers in the delivery of accurate and timely regulatory filings, remediation efforts, and exam or ad-hoc regulatory inquiries
- Managing multiple, concurrent projects at the same time while adhering to the core project management processes and procedures within the team and maintaining a high level of quality and consistency for all assigned projects
10
Experience For AVP Anti Money Laundering Compliance SBA Resume
- Ensuring efficient and effective project delivery through the use of project meetings, follow-ups, detailed and well thought out schedule/planning efforts, identification of risks and escalation points, and the production of quality project artifacts
- Providing analysis, recommendations, and assistance with implementation of process improvements within the Compliance Project Management and Regulatory Filings team
- Mandarin speaker required
- Provides business analysis expertise for Global Sanctions Compliance projects to include gathering and documenting functional requirements; reviewing key technical documentation; developing and/or executing User Acceptance Testing scripts; documenting technology projects; and assisting in the design, testing and implementation of new and existing AML systems and environments
- Management of regulatory notification – check the regulatory notification on the revision of laws and regulations etc. and ask relevant department to take necessary actions by analyzing the firm’s products, services, processes and organizations and if the firm is already compliant with the new and revised requirement. Monitor for necessary actions to be taken
- Understand Barclays’ Compliance policies and ensure these are appropriately reflected in the Gifts and Entertainment processes, specifically that the Gifts and Entertainment Policy is clearly understood and followed but also to ensure that the team takes account of Reputational Risk, Conflicts of Interest and Anti-Bribery and Corruption issues
List of Typical Skills For an Avp-compliance Resume
1
Skills For AVP Compliance Resume
- Experience in Correspondent Banking would be a strong advantage
- Assist ICG business to ensure that AML program is effectively implemented
- Compliance or regulatory experience within a federal regulator, self-regulatory organization, or in a trading setting
- Solid background in compliance, audit, internal control, risk and governance disciplines
- Solid knowledge of all the major components in database risk and compliance vendors’ solutions
- A good knowledge of compliance framework and conflicts management
- Conducting internal investigations (including conducting investigative interviews and preparing investigative reports),
2
Skills For AVP Compliance Manager Resume
- Creating and providing training to staff in conjunction with the global Compliance training unit,
- Providing constant oversight of the annual Wealth Testing program to ensure it is focused on current and emerging regulatory issues
- Contributing to the ongoing development of the broader team by sharing information, knowledge, expertise and lessons learned on a regular basis
- Understanding of investment banking and traditional banking business
- Understanding of outsourcing laws in India including STPI regulations
- Leading or participating in various Compliance projects and initiatives, as well as providing Compliance guidance for business initiatives,
- Providing accurate and timely weekly project updates using a centralized reporting system
- Providing advice and guidance on best practices on trade execution globally and reporting to the TD Waterhouse Canada Inc. Best Execution committee
3
Skills For AVP Compliance, Global Accounts Payable Resume
- Understanding of local and international laws that regulate banking business
- Supporting Compliance regulatory reporting (preparation and submission of the regulatory reports to the relevant regulatory authorities),
- Preparing periodic regulatory compliance reports, including the internal board reports,
- Defining and articulating clearly project scope, milestones, dates with minimal oversight
- Representing Wealth Compliance as a member of the TD Securities Inc. Best Execution committee
- Understanding of data protection laws of India and also major countries globally
- Managing efficient communication during major incidents and change
- Communicating to key stakeholders (internal and external) to promote a clear direction for the service vision and business plan
4
Skills For AVP Wealth Compliance Resume
- Developing and reviewing policies and procedures,
- Participating in other core Compliance responsibilities as necessary
- Provides data analysis expertise for Sanctions Compliance projects to include requesting, profiling, extracting, analyzing, testing, and reviewing data
- Successfully close open audit points relating to compliance reporting
- Compliance is responsible for running a level (ii) check to ensure compliance policies are adhered to
- Jaipur (willing to work at other locations in India or outside on short assignments)
5
Skills For Compliance Functional Test Lead-avp Resume
- Steady, Calm and positive under pressure
- Significant specific industry knowledge and experience in relation to investments, trading, marketing, sales, technology, finance, transfer agent and other operational areas of a mutual fund business
- Strong management/leadership experience with a track record of building teams
- Superior ability to partner with business units across organizations
- Create and edit documents that succinctly communicate the topics addressed
- Superior ability to listen and communicate with precision and diplomacy
- Compliance certification is an advantage, but not essential
- Plays an advisory role in the adoption and furtherance of the risk and compliance strategy
6
Skills For Gtis-avp-database Compliance & Vulnerability Service Manager Resume
- Works with the Technical SME to identify opportunities for cost base reduction through application of new technologies
- The main role of compliance team is to ensure all activities carried out at DBOI Global services comply with the regulatory requirements of both the sending locations and of host country
- The department is also required to train employees, engage with leadership at all levels to create a culture of compliance in the organisation
- Responsible for the definition, creation, build and deployment of a global and group wide database compliance and vulnerability management service within GTIS
- Responsible for managing the relationship all key stakeholders (Database support teams, database engineering, Internal Audit, Tech Risk, GTIS) on all aspects of the service (enhancements, evolution, functionality)
- Manage all service finances from budgeting to tracking spend versus forecast
- Maintain service vision and responsible for ensuring the service is aligned with business requirements
7
Skills For Sanctions Technology Compliance, AVP Resume
- Define and manage underpinning operational processes for the service along with KPIs to monitor service delivery
- Responsible for service performance, quality, cost and ensuring key measures and performance indicators are reported and improved upon
- Responsible for continual service improvements
- Central point of contact for internal and external stakeholders for the service
- Interactions with regulators – act as a junior contact point with regulators including answering the questions from regulators and making explanations to regulators. In addition to the comprehensive understanding of the regulations and firm’s business, logical thinking and explanation skills are required for effective communications
- Improving the effectiveness of the Wealth Compliance surveillance, monitoring and testing programs through the use of enhanced data analytics and machine learning
8
Skills For AVP Country Compliance, Tokyo Resume
- Providing, as a key member of the Global Wealth Compliance leadership team, guidance and direction on compliance and business trends arising from the surveillance, monitoring and testing programs
- Providing people leadership through managing and mentoring the team leads of the functional groups that comprise the larger Team (Surveillance, Wealth Compliance Testing, and Wealth Registrations)
- Acting as a key escalation point for issues arising out of compliance reviews and investigations to identify those issues requiring escalation to business heads and registered CCOs, which absent appropriate escalation and resolution can lead to significant regulatory exposure as well as monetary loss
- Providing critical ongoing support to the registered Chief Compliance Officers of the various registered TD Wealth entities in conducting investigations into allegations of misconduct and in meeting the CCO's regulatory obligations
- Overseeing diverse activities across Wealth Compliance and being accountable for decisions, programs and operating plans that ensure the success of day-to-day operations of surveillance, monitoring and testing across Wealth Compliance, which operate across multiple geographies and business units
- Meeting regularly with Wealth Shared Services staff to discuss and enhance areas of common concern and escalate issues uncovered during monitoring, testing and surveillance activities. (These discussions are critical in developing the target reliance/leverage model between WSS and Wealth Compliance.)
- Overseeing the ongoing development of compliance processes and procedures in accordance, with the Global Compliance Manual and in line with Regulatory and Business priorities
9
Skills For Avp-corporate Banking Compliance Resume
- Applies in depth knowledge with respect to the Wealth industry to ensure high quality analysis and advice is provided to the businesses, and development, maintenance and/or refinement of standards within the larger Team
- Lead the teams in reviewing processes and procedures to ensure efficiencies and effectiveness in performing the various Compliance functions
- Understanding of Compliance, Conflicts of Interests and Anti-Bribery and Corruption regulation
- Providing strategic input, advice, counsel and recommendations relative to regulatory compliance and developments, and industry best practices in the businesses
- Have good understanding on the HKMA regulations
10
Skills For AVP Anti Money Laundering Compliance SBA Resume
- Have good product knowledge of the retail, commercial or corporate banking business
- Executive accountabilities including active membership in the Global Wealth Compliance Leadership Team
- Conversant with MAS Banking Act/Notices and SFA regulations
- Qualifications or licenses in law, accounting or compliance are highly desirable
- Ability and willingness to run training sessions for stakeholders
- Contribute to the development of the Gifts and Entertainment (G&E) strategy and annual plan
- Organise and lead discussions with relevant stakeholders such as the various businesses within Barclays, Human Resources, Legal, etc
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