Compliance Division Resume Sample
Lamar Metz
59055 Collier Mountain,
Los Angeles,
CA
+1 (555) 770 7901
Work Experience
Team Lead Technical Compliance Division Payment & Risk
10/2016
-
PRESENT
Houston, TX
- Regulatory Matters. Helping to manage the division’s responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR
- Devise and implement strategic solutions with senior compliance management and other control side departments to support the 6 pillars of the team’s function
- Regulatory Matters; Helping to manage the division’s responses to requests for information from regulators, keeping apprised of latest regulatory developments as it relates to GIR
- Research, development and updating of global and local policies and procedures
- Monitoring & surveillance of sales & trading to ensure compliance with appropriate rules, regulations & firm policies
- Participating in regulatory and internal investigations and audits
- Good interpersonal skills. A team player who is able to prioritize in a fast moving, changing environment and have a desire to work in a trading floor environment
- Deal with regulatory issues arising from transactions and the firm’s investments e.g. joint ventures or mergers
- Excellent communication skills, written and verbal, in English and in Chinese
Compliance Division
01/2014
-
06/2016
Chicago, IL
- Conducting monitoring and surveillance of the firm’s highest risk clients
- To advise the Business on do’s and don’ts for GS Malaysia in relation to marketing materials, permitted activities etc
- Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
- Position is on a three-person team in Asia, which is part of a larger global team
- Fast-paced environment where teamwork and collaboration are highly valued
- Focus is on practical implementation of laws/regulations
- There is limited administrative support
- Experience working in the industry
Compliance Division, Securities Analyst
04/2009
-
08/2013
Houston, TX
- Daily review of surveillance reports and investigation of exceptions
- Oversight of exception reviews to ensure they are being performed properly from a qualitative and timeliness perspective
- Identify enhancements to existing controls
- Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results
- Participate in periodic risk assessments
- Devise and implement strategic solutions with senior compliance management and other control side departments to support the 5 pillars of the team’s function
- Interacting with the Investment Banking, Merchant Banking, and Securities Divisions in order to maintain the Firm’s Confidential Lists
- Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities
Education
University of Phoenix - Pleasant Grove Learning Center
2003 - 2008
Bachelor's Degree in Business
Professional Skills
- Strong analytical skills, particularly judgment and problem-solving
- Computer skills: Microsoft Office Applications Visual Basic for Applications programming is a desired but not required skill set
- Interpersonal skills required for extensive banker contact - outgoing, communicative, assertive, persuasive, courteous
- Experience is required and at least 4 years’ compliance experience within the fincial services industry is required
- Chinese language skills preferable
- Control function experience covering Equities and/or Credit sales and trading preferable
- Ideally having compliance, legal, audit or other control function experience preferably covering asset management or broker-dealer bussiness
How to write Compliance Division Resume
Compliance Division role is responsible for trading, basic, retail, finance, credit, securities, training, equities, design, research.
To write great resume for compliance division job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Division Resume
The section contact information is important in your compliance division 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 Compliance Division Resume
The section work experience is an essential part of your compliance division 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 compliance division responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular compliance division position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Division resume experience can include:
- Prior document and/or e-discovery review experience
- Prior AML, anti-bribery and/or anti-fraud experience
- Be able to effectively summarize, communicate and defend positions
- Related work experience, preferably in a compliance or legal role at an investment bank, securities company or a law firm
- Solid knowledge of the AML Regulations 2017 and of the JMLSG Guidance, in particular as it relates to CDD and the Retail space
- Keeping up-to-date with relevant regulatory/rule changes including the analysis, support and implementation of such regulatory/rule changes, including MiFID
Education on a Compliance Division Resume
Make sure to make education a priority on your compliance division resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance division 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 Compliance Division Resume
When listing skills on your compliance division 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 compliance division skills:
- Strong communications skills; oral, written and interpretive
- A team player with effective communication and interpersonal skills, able to work well with people across the firm
- No compliance experience necessary, but candidates with experience with fixed income and/or derivatives products are recommended
- Compliance, legal, audit or other control function experience covering Equities trading
- Solid working knowledge of securities and exchange rules and regulations
- Experience in securities industry
List of Typical Experience For a Compliance Division Resume
1
Experience For Team Lead Technical Compliance Division Payment & Risk Resume
- Manage recruiting based on aligned budget, coach & train your team members, establish knowledge transfer & support your team members’ personal development
- Several years of experience as a Product Manager (m/f), Senior Business Analyst (m/f), Senior Developer (m/f), Team Lead (m/f), Department Head (m/f) or similar role
- Sound skills in general management areas such as coordination, task management, capacity allocation, recruiting, coaching, conflict management etc
- Preferably knowledge and experience around card transaction processing and systems for Acquiring Processing and/or Issuing Processing
- Experience with management of a functional organized team of technical experts or a project teams
- Sound understanding & knowledge about the implementation lifecycle of complex transactional systems & back office ecosystems
List of Typical Skills For a Compliance Division Resume
1
Skills For Team Lead Technical Compliance Division Payment & Risk Resume
- European language skills and advantage
- No compliance experience necessary, but candidates with experience with fixed income and/or derivatives are encouraged to apply
- Solid knowledge of securities markets, businesses, products
- Compliance, Legal, Regulatory or Financial Services industry experience
- Managing the firm’s responses to requests for information from its regulators and representing the firm at industry forums
2
Skills For American Compliance Division Resume
- Influencing Outcomes - Presents sound, persuasive rationale for ideas or opinions
- Working knowledge in HK and APEJ regional securities regulations, exchange rules on listed securities, futures and derivative
- Working knowledge in HK and APEJ regional securities regulations is not mandatory, but an advantage
- Managing the firm’s responses to requests for information from its regulators; and
- Assist in developing and drafting compliance policies and procedures, outlining the Firm’s policies, regulations and best practices
- Inquisitive and proactive in identifying risks and proposing pre-trade control solutions
- Knowledge of U.S. clearing/trading/custodial rules and regulations (SEC, CBOE, FINRA, CFTC, CME, ICE, etc.)
- Fluency in reading and speaking Chinese is an advantage
3
Skills For Compliance Division, F&S Compliance, VP Resume
- Drive and Motivation - Successfully handles multiple tasks, takes initiative to improve his/her own performance, works intensely towards challenging goals
- Knowledge of securities markets, trading, products
- Highly motivated, self-starter, with a willingness to get involved
- Familiarity with technology and systems an advantage
- Preferable knowledge of asset management regulations and / or exchange rules for listed securities, futures and derivatives and/or asset management industry and related regulatory policies
- Proactive, self motivated and organized
- Interacting with the Investment Securities Divisions (SD) and Asset Management (GSAM) and Corporate Advisory businesses in order to maintain the Firm’s Restricted Trading List, Confidential Lists and other information control lists
- Applying the Global Research Settlement rules and Firm’s policies to monitor, pre-approve and facilitate communications between Equity Research and Corporate Advisory personnel
4
Skills For Compliance Division, Securities Analyst Resume
- Compliance, legal, business (e.g. sales, structuring, trading), audit, controllers, operations or other relevant experience involving the securities or financial businesses
- Working knowledge in HK and AEJ regional securities regulations, exchange rules on listed securities, futures and derivatives
- Liaise with Compliance, Legal, Employee Relations and/or business management to assess and assign risk and follow up on issues identified during review of e-communications
- Multi-task and work well under pressure and have a positive, hands-on, “can do” attitude
- Testing/Monitoring. Design testing and monitoring to review and assess the effectiveness of controls and surveillance and to ensure adherence to laws, regulations and firm policies and procedures of Investment Banking activities
- Regulatory Matters. Assist investment bankers and Legal in responding to regulatory inquiries, investigations and inspections
- Provide day-to-day advisory service to Operations, Technology, Finance, Services & HCM on the firm's policies and regulations that apply to these functions
- Work alongside Operations and Technology Risk teams to identify and mitigate any compliance risk inherent in those areas
5
Skills For Americas Compliance Division Global Sanctions Risk Assessment Resume
- Lead the testing team in identifying any gaps in the uniform adoption of sanctions-related technology, including sanctions screening software, and consistency in data retention, controls, reconciliation, system settings, and parameters, etc
- Responsibilities include leading the compliance testing efforts relating to regulatory and internal policy requirements pertaining to sanctions screening standards, laws, regulations, and supervisory guidance, as well as leading, participating, and advising on the testing of other testing groups as necessary
- Lead the centralized global function to provide oversight and manage model testing and tuning, and provide support for testing of other aspects such as list maintenance
- Lead Reviewing and assessing the effectiveness of MUFG office’s Policy & Procedures in MUFG Americas under the defined global governance and technology standards
- Assist in doing research and providing advice on sanctions compliance issues in accordance with the bank’s compliance policies and procedures and applicable banking laws and regulations
- Identify and effectively escalate potential issues to the appropriate person/s
- Understanding of the opportunities and challenges in the digital banking sector, particularly as they relate to AML and Fraud
6
Skills For Compliance Division, Securities VP Resume
- Providing coverage of the Investment Grade Capital Markets and Leveraged Finance desks
- Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading
- Take ownership and provide feedback on reports, creating checklists and resolving exceptions
- Assist regional compliance in ongoing projects, responding to changes in the firm's businesses and changes in regulation
- Provide advice on general clearing, custodial and trading rules and regulations
- Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
7
Skills For Americas Compliance Division Resume
- Be a critical thinker who is willing to challenge the status quo
- Review daily trade surveillance reports
- Some knowledge of the current AML risk management technology/vendors on the market
- Communicate Compliance requirements for consumption by Technology
- Proficiency in Excel (pivots, VLookups) and PowerPoint
8
Skills For Compliance Division Resume
- Cover personnel in the Prime Services business unit (which includes the firm’s Prime Brokerage, Clearing and Securities Lending businesses) and provide advice on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
- Perform look-backs, oversight and surveillances to assess compliance risks and breaches
- Assist with regulatory examinations, audits and inquiries
- Analyze new or amended laws, rules and regulations in order to formulate practical solutions to industry-wide issues
- Coordinate with the business, Legal, Technology and other divisions across the firm on new desk initiatives
- Ensure that the firm’s licensed professionals make required disclosures
- Be a quick learner who can adapt well to a fluid regulatory and business environment
9
Skills For Team Lead Technical Compliance Division Payment & Risk Resume
- Work well under pressure and have a positive, hands-on, "can do" attitude
- Primary coverage focused on Securities Division Fixed Income Currency and Commodities (“FICC”) in their day to day business operations, providing advice on individual transactions, new products and business initiatives
- Articulate and maintain the standards of conduct required by the laws, regulations and policies governing these business operations in the APEJ region in order to safeguard the firm in economic, regulatory/legal liability and reputational issues
- Conduct surveillance and forensic review for the business coverage
- Defining, establishing and maintaining the global sanctions screening technology testing strategy and program that would evaluate and test at time of implementation and at regular intervals thereafter in BTMU Americas, to ensure that the compliance software and systems are effectively fulfilling the regulatory objectives set by the Technology working group
Related to Compliance Division Resume Samples
Compliance Leader Resume Sample
Work Experience
• Interact with a cross-jurisdictional multi-cultural team in the development and efficient and effective implementation of Capital’s Compliance program
• Lead and partner effectively across GE Capital’s Compliance team
• Support compliance risk assessment and RCSA processes, i...
Professional Skills
• Strong analytical, process management and ...
• Excellent interpersonal skills with the ab...
• Strong analytical, process management and ...
Compliance Review Resume Sample
Work Experience
• Review the design and effectiveness of business and control processes in adhering to regulations and the firm’s compliance policies for the Corporate and Investment Banking (CIB) businesses acrss Asia
• The review of Financial Advisors’ “book of business”, including the analysis of money movements,...
Professional Skills
• Writing Skills – Strong academic and techn...
• Strong analytical skills, risk-control min...
• Strong verbal and written communication sk...
Coordinator, Compliance Resume Sample
Work Experience
• Coordinate the organization’s Conflict of Interest Program, including management of mandatory reporting processes, screening for potential conflicts, drafting conflict management plans, monitoring compliance with plans, and preparing reports
• Manage the organization’s compliance hotline, including...
Professional Skills
• Excellent written and verbal communication...
• Excellent organizational skills, with the ...
• Skill in project management, planning, org...
Mortgage Compliance Resume Sample
Work Experience
• Responsible for assisting with the ongoing development and implementation of the LOB Compliance Risk team’s strategic plan to accomplish its Annual Compliance Risk objectives
• Extensive knowledge of the assigned compliance area along with the associated operations, including the related rules and ...
Professional Skills
• Experience working in a production environ...
• Pulling and Pushing: Opening and closing f...
• Performing transactional testing of requir...
Team Lead, Compliance Team Resume Sample
Work Experience
• Communicate with lines of defense regarding information related to internal audits, KRIs and control tests
• Participate in the resolution of identified risks
• Research regulations to advise on application by the business unit
• Draft and revise polici...
Professional Skills
• Excellent IT skills including Word and Excel
• Strong verbal and written communication sk...
• Experience of process mapping and developi...
Audit Compliance Resume Sample
Work Experience
• Working knowledge of Canadian Federal and Provincial Privacy legislation, the Telecommunications Act, the CRTC UTRs, CASL, and any other emergent or existing regulations that impact the CCC’s policies or processes
• Scotiabank’s Privacy Code
• Working knowledge of the policie...
Professional Skills
• Considerable skill in effective verbal and...
• Strong written and verbal communication sk...
• SAS software implementation experience or ...