Compliance Risk Analyst Resume Sample
Blanca Lueilwitz
772 Leuschke Extensions,
Phoenix,
AZ
+1 (555) 611 7433
Work Experience
Senior Compliance Risk Analyst
07/2017
-
PRESENT
San Francisco, CA
- Act as primary contact with internal and external auditors during the execution of the IT department’s Sarbanes-Oxley Act (“SOX”) control assessment
- Producing critical analysis and evaluation of compliance risks within Trading and Supply, working with relevant stakeholders including compliance subject matter experts
- Identifying mitigating actions to address compliance risks
- Ensuring mitigating actions are properly tracked and monitored
- ORIS (Enterprise-wide risk management system) focusing on recording and reporting operational; compliance and strategic risks in accordance with the Group’s ERMF Policy and Risk Appetite
- Assist with review of the line of business policies and procedures, provide guidance to ensure effectiveness, ensure procedures are aligned with Key’s Standard Compliance Procedure Guidance
- Proven experience in credit card and PCI DSS compliance
Compliance & Risk Analyst
08/2011
-
01/2017
Chicago, IL
- Big bank experience with proven expertise in handling regulatory change management
- Experience with regulators
- CRCM certification or ability to obtain within 1 year
- Proven experience in building relationships and influencing change
- Proven experience handling multiple assignments concurrently
- Advanced experience using Office products (Excel, Word, PowerPoint etc.…)Search Jobs US
- Maintain the effectiveness of the Compliance & Risk plans and procedures
Procurement Compliance & Risk Analyst
02/2009
-
05/2011
New York, NY
- Check and report on compliance with Group & Compliance requirements
- Identify and address risks relating to new business initiatives
- Prepare and maintain high quality reports on C&R issues and metrics
- Review Operational and Regulatory reports to identify material issues and trends
- Maintain oversight and perform periodic reviews of client on-boarding and customer due diligence processes
- Other C& R projects as assigned by the Compliance & Risk Manager
- Consult and collaborate with local operational teams to understand the business and regulatory environment that they operate within and identify and quantify any risk exposures using Travelex risk methodology and systems
- Performing on-site and desk reviews as part of second line monitoring
- Testing the operational effectiveness of key controls and closely working with the business to develop and implement solutions that help fix process/control gaps
Education
Western International University
2003 - 2008
Bachelor's Degree in Finance
Professional Skills
- Previous experience of Accreditation, Sanction Screening, Transaction Monitoring, Suspicious Activity Reporting, Fraud Analysis experience is desirous
- Experience with BSA/AML/OFAC laws and regulations, financial crimes, or related experience
- Effectively develop and maintain strong relationships
- Overseeing system parameter and settings changes to ensure appropriate testing and validation
- Overseeing global model validations to ensure appropriate completion
- Experienced level of understanding of internal controls and corresponding processes
- Former experience doing production support
How to write Compliance Risk Analyst Resume
Compliance Risk Analyst role is responsible for reporting, design, software, finance, credit, securities, training, database, security, trading.
To write great resume for compliance risk analyst job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Risk Analyst Resume
The section contact information is important in your compliance risk analyst 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 Risk Analyst Resume
The section work experience is an essential part of your compliance risk analyst 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 risk analyst 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 risk analyst position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Risk Analyst resume experience can include:
- Strong oral and written communication skills and ability to succinctly present information to management
- Excellent time management skills with a detail-oriented diligence given toward tasks
- Excellent time management skills and the ability to work autonomously
- Has analytical skills
- Computer skills test
- Excellent proficiency in Microsoft Excel, PowerPoint, Visio, and other Office products
Education on a Compliance Risk Analyst Resume
Make sure to make education a priority on your compliance risk analyst resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance risk analyst 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 Risk Analyst Resume
When listing skills on your compliance risk analyst 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 risk analyst skills:
- Testing and tuning results consolidation
- Accounting, business, risk management, or equivalent banking experience with focus on operational or regulatory compliance., Required
- To build good working relationships with the wider C&R team and partners
- Experience in Anti-Bribery and Corruption screening technologies
- Strong analytical / problem solving capability
- Providing oversight and governance on Systems Support globally including facilitating resolution of system issues that require modifications
List of Typical Experience For a Compliance Risk Analyst Resume
1
Experience For Compliance & Risk Analyst Resume
- Strong Microsoft Excel, Access, Tableau and SharePoint experience desirable
- Prior compliance operations/processes experience
- Significant experience in settings and parameters related to fuzzy logic systems
- Facilitate the new project creation/prioritization efforts
- Compliance Analysis experience
- Maintaining User Groups for the purposes of compliance activities that cannot be maintained in Workday
- Lead, conduct, and manage COSO testing and activities, management testing, and all control workflows
- Train and support the business in ongoing development of programmes to ensure products and marketing comply with all applicable requirements
- Research, write and analyze all risk events, including follow up and implementation of solutions
2
Experience For Senior Compliance Risk Analyst Resume
- Assist in the coordination/communication of business advisory deliverables that are overseen by the governance and reporting team
- Provide pro-active support and guidance to the business to help enhance the design of key business controls and management of risk exposures
- To work closely with the C&R manager and provide Risk MI and insight to local management, entity boards and the risk committee
- To act is the local communications champion for risk ensuring that there is regular and effective two way communications between risk and key stakeholders, i.e. Operations, Facilities, Sales and BD
- Undertake / oversee local fraud investigations as directed by C&R Manager
- Collaborate with all System stakeholders, research, analyze, interpret, and impart all OFAC sanctions industry updates and stay abreast of changes and needed implementations
- Maintain a current understanding of AML, BSA, USA PATRIOT Act, and terrorist financing issues, including policies, procedures, regulations, industry best practices, criminal typologies and developing trends through training, experience, and/or ACAMS certification
- Work as the central point of contact for WOS on all audits (Board, External, and Internal) and liaise with each unit to ensure preparation and implementation of recommendations
- Assess and implement all process streamlining, enhancement, and improvement projects
3
Experience For Procurement Compliance & Risk Analyst Resume
- Support management in the development of the department's strategic plan, budget, and all data and reporting needs
- Proficiency in working with data to identify trends, patterns and anomalies
- Participate in local and System workgroups as appropriate
- Analyze and respond appropriately to sensitive customer matters, reach sound conclusions considering varying stakeholder interests, and respond timely under pressure
- Update Insider & Restricted lists for any insiders or those in position of confidential information regarding Non-LSEG securities
- Run regular reports and interrogate the data on Personal Account Dealing, Gifts & Hospitality,
- Facilitate the ongoing assessment of the organization’s compliance risk maturity profile
- Regulatory analysis & reporting for the country relevant e.g. IUAR/SAR & Sanctions alerts/escalations & report filings, FIU/LEA engagement
- When negative findings are uncovered, additional research and review is required. Conduct comprehensive research or background investigations on individuals, entities, organizations or locations to identify and mitigate associated sanctions, credit, financial crime, and reputation risks and thoroughly document findings
4
Experience For Compliance Risk Analyst M / F-vie Resume
- High volume of accurate and timely documentation is critical
- LOW CUSTOMER INTERACTION-HIGH CUSTOMER IMPACT
- Compliance and Risk analysis & support of all activity in the UK as relevant/required, including Corporate , partners and retail sales areas, across processes relevant to the role, including
- Analysis & support of Operational Compliance Control for onshore and offshore processes for the UK e.g. Due Diligence (Corporate & Consumer), control checks, training, transaction monitoring alerts and escalations
- Support the Compliance and Risk management framework as relevant/required including preparation for Risk Committees / Due Diligence Assessments / Supplier Reviews etc
5
Experience For Operational & Compliance Risk Analyst Resume
- Internal Reporting – compilation, provision & support of the relevant & appropriate global & local Compliance & Risk reporting frameworks are functioning & operational; ensure feeds & consistency with Global Standards & Approach
- Support the coordination of product development life cycles for Compliance and Risk ie. Risk Models, risk assessments and impact assessments, regulatory compliance and AML CTF impacts
- Developing and implementing new and enhanced Compliance and Risk controls in line with requirements
- Supporting the global System Settings and Support Oversight effort
- Assist in managing the centralized Risk Management repository of all key risk documentation and support (e.g., SharePoint, shared drive, etc.)
- Policy - as required/relevant, manage local policy, procedures and processes to ensure consistency to Global Standards & Approach
- Advisory - as required/relevant–regulatory engagement, oversight, change management, consultations; ensure consistency with Global Standards & Approach
- Partner with colleagues in Product, Risk, Engineering, Fraud, Legal, and Strategy and Execution to develop and implement automated tools for evaluating and mitigating compliance risks
- Use technical skills to assess large analytical data sets, automate processes with scripts and macros, efficiently query for information from various databases, and create dashboards for compliance and risk reporting purposes
6
Experience For Compliance / Risk Analyst Resume
- Experience working with a consulting, financial services, or technology company
- Provide support and direction to Deposit Services management and product teams regarding the analysis and resolution of Risk Management issues
- Assist Deposit Services managers and functional groups in identifying and addressing control deficiencies that surface as a result of an exposure identified during an investigation, or control issues resulting from risk assessments, internal audits or regulatory reviews
- Work with Deposit Services Managers to maintain documentation illustrating the control environment surrounding products and services, such as authentication and access controls, fraud detection and prevention, and Denial of Service mitigation
- Financial services industry experience
- Participate and represent the department in periodic meetings related to areas such as Information Security, Enterprise Risk Management, and BSA/AML
7
Experience For IT Compliance Risk Analyst Resume
- Assist the Head of Deposit Services Risk Management in building and maintaining risk and control self-assessments and all supporting documentation (e.g., process flows, key risk indicators, control evidence, etc.) for all key processes, initiatives, etc. and managing control deficiency remediation
- Create accurate and timely reporting of key metrics and emerging risks from the business unit view such as ongoing reports on service levels and availability for mission-critical vendors/applications
- Assist with the department’s Issue Management program, ensuring the outstanding items are resolved in a timely and effective manner
- Assist with the Deposit Services 1st Line Control Validation program, working to identify key controls within the department’s processes and perform reviews to validate the effectiveness and design of these controls
- Create department specific policies, procedures and templates to support the Risk Management program
- Team player that is adaptable and flexible
- Screening, analysis and decision making on the various activity domains such as Customer Acceptance, Pre-transactions screening and Customer Activity Monitoring
8
Experience For Wealth Management Compliance Risk Analyst Resume
- Make suggestions for improvement in function of analyses and lessons learned
- Give advice and form a professional judgment over complex cases
- Performing monitoring activities in an autonomous way in accordance with the established planning and with respect for the methodology and monitoring techniques
- Check whether the business stays within its Risk Appetite and identifies deviations and pertinent observations
- Facilitate regulatory matters that require system changes or activities
9
Experience For Operations & Compliance Risk Analyst Resume
- SIT and UAT oversight for all systems changes globally to ensure that they don't impact settings/parameters
- Provide oversight and guidance to regional compliance offices on financial crimes technological matters best practices related to settings and parameters
- Provide support with internal audit, regulatory, and other exams
- Working with other compliance teams to ensure that the compliance software and systems are effectively fulfilling the regulatory objectives Technology working group
- Experience working in compliance, operation or technology function of a large commercial and/or investment bank or in a regulatory agency, with direct Systems Support experience
- Expertise in HotScan particularly useful
- Familiarity with state insurance laws and regulations
- Support team in the update of Risk and Control Self Assessments (RCSA) for Finance processes
10
Experience For Compliance Risk Analyst Resume
- Identify operational risk and controls as part of the RCSA refreshes
- Update process documentation.Search Jobs US
- Support the Trade Finance project
- Provide oversight and guidance to regional compliance offices on financial crimes technological matters best practices
- SIT and UAT oversight for all systems changes globally
- Responsible for the identification, collection and synthesizing of key compliance activities, metrics and program updates and aggregating to executive level presentation material; coordination of review and dissemination to the various governance committees
- Partner with Compliance team members in the identification and development of key compliance risk and performance metrics; responsible for the ongoing monthly update and reporting processes for these metrics, including management of the supporting tools and schedules for timely distribution
List of Typical Skills For a Compliance Risk Analyst Resume
1
Skills For Compliance & Risk Analyst Resume
- Strong interpersonal, time management and organisational skills
- Test effectiveness of key C&R controls from a process and system perspective and help fix gaps
- Provide pro-active support and guidance to the business to maintain the effectiveness of the Compliance & Risk plans and procedures
- Working knowledge of Microsoft Office including Excel
- Collaborating with regional compliance, and systems teams and ensure uniform settings of Financial Crimes' systems
- Reviewing the evaluations of all new release/patch analysis work and related documentation
- Performing Information Security remote/table-top assessments
2
Skills For Senior Compliance Risk Analyst Resume
- Producing detailed documentation of assessments and perform threat analysis of gaps identified
- Facilitating regulatory matters that require system changes or activities
- Leading the global Sanctions Systems Support effort
- Collaborating with regional compliance, and systems teams and ensure uniform operations of Sanctions' systems
- To assist in completing and establishing compliance and risk monitoring programme
- Ensure feedback to line manager outlining general activities and ‘how we are doing’
- Complete regulatory reporting and monitoring tasks in a timely and accurate manner
- Knowledge of laws applicable to financial crimes and money laundering, including OFAC requirements and the Bank Secrecy Act (BSA)
- Create and execute test scripts and test plans while maintaining detailed work papers for supporting documentation
3
Skills For Procurement Compliance & Risk Analyst Resume
- Production driven environment, comfortable meeting/exceeding weekly or monthly goals
- Is capable to dive into the details while being able to aggregate information for reporting to a next higher level
- Track and confirm completion of all required training
- Identify training enhancements based on the results of self-assessments
- Develop training as required
4
Skills For Compliance Risk Analyst M / F-vie Resume
- Develop sound professional working relationships with C&R and Sales and Operations colleagues
- Be proactive in the provision of feedback and the delivery of ideas to develop and improve solutions relating to C&R SSC Team
- Provision of Reporting and insight to Senior Analyst(s) and Head of C&R as directed
- Perform periodic reviews of client on-boarding and customer due diligence processes
- Collaborate with business to identify and quantify any risk exposures using Travelex risk methodology and systems
- Maintain confidentiality when handling personally identifiable and proprietary information
- Execute a strategic and annual Compliance Testing plan in line with best practices
5
Skills For Operational & Compliance Risk Analyst Resume
- Performs compliance reviews and monitoring procedures
- Provision of Reporting and insight to the C&R Manager
- Liaise with Compliance, Legal, and Risk as the principal Wholesale Operating Site (WOS) risk analyst
- Collaborate with Legal and Central Business Application Functions (CBAF) to build a repository of acceptable terms thereby minimizing risk
- Represent the business on compliance committees as assigned
- Timely escalation of issues and queries
- At least 6 months of technical writing work experience; or equivalent experience to include responsibility for editing, writing, and formatting policy or procedure manuals and other technical documents
- Experience in risk management at a top-tier consulting, financial services, or technology company
6
Skills For Compliance / Risk Analyst Resume
- Familiarity with anti-money laundering and consumer compliance laws (ECOA, UDAAP, TILA, GLBA, etc.), or the willingness to learn about such laws and regulations
- Professional certifications(s) such as Certified Anti-Money Laundering Specialist (CAMS), Certified Information Privacy Professional (CIPP), or Certified Internal Auditor (CIA)
- Experienced in project management, organization and recordkeeping skills
- Strong knowledge of HMDA/ Regulation C, as well as bank policies, practices, and operations that impact to data collection and reporting
- Compliance, risk, audit or similar function experience
- Relevant industry or compliance operations/processes experience
7
Skills For IT Compliance Risk Analyst Resume
- Risk, financial services or related experience
- Previous experience in compliance risk or other risk discipline
- Continual professional coaching and feedback
- Assist in the handling of tasks received from inception to resolution as and when required
- Full Medical/Dental/Vision Benefits offered
- To assist with C&R process improvements to ensure the performance of services
- To contribute towards and carry out compliance and operational projects as required
- To deputise for the C&R Manager in his/her absence
8
Skills For Wealth Management Compliance Risk Analyst Resume
- Act as an independent review and evaluation body to ensure that compliance policies and procedures are properly implmented and enforced and that related issues and concerns within the Business are being appropriately evaluated, investigated and resolved
- Contribute to the set up of adequate control framework and monitoring plan by identifying and adapting the monitoring activities considering changes in the law or regulations or changes in the bank's activities / organisation / structure
- Develop risk based monitoring approaches by seeking and finding new / adequate testing methods, correlations between seemingly unrelated risks, potential automation of testing and facilitate its implementation with the aim of anticipating breaches of rules / procedures or other similar situations
- Conduct and be responsible for the monitoring of specific activities (domestic or intra-Group) or processes or activities in your area of expertise and ensure the follow up thereof
- Control whether business activities are still consistent with the risk appetite of the BU, identify and report discrepancies and draft relevant observations (monitoring findings)
- Ensure that monitoring activities are carried out properly, within the allocated time and recorded according the record keeping requirements
- Assume responsibility for reporting towards the concerned departments, following of issues and maintaining digital files
9
Skills For Operations & Compliance Risk Analyst Resume
- Contribute to and follow relevant developments / evolution in your area of expertise and in the organization and make proposals to improve monitoring. Pro-actively contribute to any project for which your expertise is required
- Understand business situation, balancing responses / expectations to errors, have effective contact and proper empathizing. Establish appropriate relationship with 1st LoD and relevant stakeholders (local or intra group), earn trust, respect, credibility and productive interactions for monitoring purposes
- Perform on-site and desk based risk and control reviews as part of 2nd line oversight
- Undertake / oversee local fraud investigations as directed
- Other C&R projects and tasks as assigned by seniors within the team
10
Skills For Compliance Risk Analyst Resume
- Self-motivated and a can-do attitude
- Analyse and to interpret information critically
- Data analytics related to complex compliance financial investigations, experience in money service business or banking environments, and/or familiarity with various financial products
- Handle compliance aspects of Lending Club’s third-party vendor relationships, including due diligence and ongoing monitoring
- Support the Global COO in the execution of the department’s global change management program and act as co-ordinator of key projects in which AMT is engaged. The key projects for 2017 & 2018 include the management of the AMT roadmap globally and participation in global compliance initiatives within the Compliance Roadmap
- Ensuring the Central Compliance activities are administered efficiently covering personal account dealing, gifts & hospitality, outside business interests, insider lists, conflict of interest and employee policy attestations and that exceptions are appropriately escalated
- Undertaking a number of routine monitoring tasks generated by the Central Compliance system
- Dealing with staff queries on the process and coordinating communications
- Managing the production of Compliance MI and reporting to the appropriate committees and the business
List of Typical Responsibilities For a Compliance Risk Analyst Resume
1
Responsibilities For Compliance & Risk Analyst Resume
- Participate in the development of the Compliance Annual Operating Plan; assist in the monthly progress updates against the plan; engage with Compliance team members to ensure accurate progress updates; collaborate on the monthly and quarterly reporting to Compliance executives
- Recent college graduates with emphasis in criminal justice, finance, economics, business AND 1 year of experience in business/professional environment OR
- Strong technical aptitude-able to learn/utilize multiple software programs quickly, high ability to seamlessly navigate various social media platforms
- Experience in Compliance & Risk or Shared Service Set Up
- Is good at reflective and independent thinking
2
Responsibilities For Senior Compliance Risk Analyst Resume
- Working knowledge of a complex business unit within the financial services industry
- Is willing to work in a constantly changing environment
- Is comfortable in building relationships with both internal and external stakeholders
- Understands the difference between the spirit of a rule and the fundamental meaning of a rule to be able to build adequate control framework
- Has a Pro-active and can-do attitude (self-steering)
- Coordinate the routine updates of the Compliance-owned Policy and Procedures in accordance with the Citizens Policy and Procedure Framework and timeline
3
Responsibilities For Procurement Compliance & Risk Analyst Resume
- Participate and assist on all other ad-hoc responsibilities as assigned
- Assess completed questionnaire and supporting documentation to validate vendor appropriate implementation of information security controls; analyze the information to identify information security weaknesses or non-compliance with client and industry standards
- Escalate issues associated with vendors as needed to managementSearch Jobs US
- Oversees external product vendor’s performance and collaborates on future system enhancements
- Analyzes compliance testing and monitoring results to determine if compliance violations/findings have occurred and evaluate root causes(s). Reports violations/findings along with corrective-action recommendations based on root causes to management
4
Responsibilities For Compliance Risk Analyst M / F-vie Resume
- Utilizes multiple compliance resources (seminars, computer-based training, conferences, and manuals) to maintain the highest level of understanding of changes in the regulatory environment
- Assists with special projects as assigned within Wealth Management Compliance
- Knowledge of federal securities laws
- Knowledge of fiduciary laws and regulations
- Knowledge of ERISA Laws and Related Internal Revenue Code (IRC) requirements for retirement plans
- Takes initiative and is flexible
5
Responsibilities For Operational & Compliance Risk Analyst Resume
- Take initiative and work independently with minimal supervision in a structure environment
- Research, analyze and determines a course of action for financial transactions-Eye for detail!
- Graduation – Any Graduate-Specialization
- Proficient in Microsoft Office especially MS-EXCEL
- Monitor and analyze payment activity to ensure compliance with OFAC and sanctions requirements
6
Responsibilities For Compliance / Risk Analyst Resume
- Is able to analyze a large amount of data / information and to interpret the results from the point of view of their impact on the business Unit / ING Bank / INg Group from a risk perspective
- Is able to produce written communication in different formats (formal communications or escalations to senior managers, informal updates, reports…)
- Reacts in a timely and effective manner (flexible) to unforeseen complications / requests while keeping positive attitude. Result / deliverables driven by being able to set the right priorities
- Database management (helpful)
- Has a dynamic personality
- Work with, and at the direction of, the Head of Deposit Services Risk Management, in responding to information requests from both external sources such as the FDIC, as well as bank-internal departments such as Information Security, Compliance, BSA/AML, ERM and Internal Audit. In particular, provide primary support to the department in responding to audit-related requests
- Manage Compliance regulatory exams to include the facilitation and coordination of meetings with both Citizens colleagues and the regulators; coordination and review of all documentation for submission to the regulators; and all associated planning activities – timeline, meeting schedule and notes in adherence to the regulatory exam management framework
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