Compliance Testing Resume Sample
Alanis Funk
9775 Myron Hill,
Chicago,
IL
+1 (555) 137 0094
Work Experience
Manager Compliance Testing
03/2018
-
PRESENT
San Francisco, CA
- Responsible for providing oversight over the effectiveness of control activities to provide reasonable assurance that first and second lines of defense internal controls are designed and operating effectively to meet regulatory requirements and SC’s policies and procedures
- Responsible for ensuring SC’s Compliance Testing Standards adhere to SHUSA Testing Standards. Owns Standards and conducts Annual Reviews. Recommends for approval to the SVP of Testing and Monitoring, the Chief Compliance Officer, and the Compliance Committee
- Escalates any significant compliance risks, emerging issues and trends to SC’s CCO, business unit management, Santander United States Compliance Office (“SAN USCO”), and SC’s Compliance Committee as necessary
- Reports the status of the testing plan to SC’s Chief Compliance Officer, Business Management, and appropriate management committees, including the Board of Directors
- Plan and scope compliance transactional-related tests and control environment tests by assessing the applicable laws and risks and utilizing knowledge of business area or process to develop appropriate scope for review
- Execute fieldwork by obtaining and analyzing information in order to make an informed, objective determination as to the adequacy of the control and/or adherence to the regulatory requirements being reviewed
- Prepare work papers and testing reports according to internal testing policies that clearly describe the test steps, document testing results and communicate the conclusion of the test with internal stakeholders to explain the risk associated with the results
- As needed supervise Level 1 and/or other level 2 associates during the test
Compliance Testing
04/2013
-
01/2018
Chicago, IL
- Evaluate testing observations to improve policies, procedures, efficiency and controls
- Assist in other Compliance efforts as needed, such as ad hoc projects, regulatory exams, internal audits, department updates, etc
- Assist with the development, implementation and execution of risk-based Compliance testing to review and assess the effectiveness of the Firm’s AML policies and procedures and controls
- Maintain detailed and organized documentation of work products
- Participate in the annual compliance risk assessment and assist in formulating Investment Management Compliance’s testing program based on risk assessment results
- Assist with the development, implementation and execution of risk-based compliance testing to review and assess the effectiveness of the firm’s policies and procedures in compliance with Rules 38a-1 and 206(4)-7, including developing corrective action plans for gaps identified from testing
- Represent Investment Management Compliance on the Firm’s Compliance Testing Committee
- Manage the reporting of key metrics for Investment Management’s Compliance Program to senior management
- Assist with coordinating with Operational Risk for Investment Management’s annual SSAE 16 assessment and manage deliverables for Investment Management Global Compliance
Financial Crimes Compliance Testing
11/2009
-
02/2013
Philadelphia, PA
- Working knowledge of the Investment Advisers Act of 1940, the Investment Company Act of 1940 and applicable securities laws, FINRA and Department of Labor’s ERISA regulations
- Work on special projects and targeted reviews
- Manage creation and tracking of the Testing team’s training requirements
- Understand the Americas offices’ compliance status and the compliance framework
- Review and understand the offices’ Compliance Committee Minutes
- Track status of corrective action plans
- Documenting of compliance test procedures
- Developing a written testing plan
- Executing testing of procedures and internal controls of critical business areas
Education
University of Phoenix - Franklin Learning Center
2005 - 2009
Bachelor's Degree in Business
Professional Skills
- Strong interpersonal skills, including excellent written and oral communication skills
- Demonstrated excellent and effective verbal and written communication skills, including strong negotiation and influence capabilities
- Good organizational skills with the ability to oversee the workload of the APAC testing team and prioritize in order to meet tight deadlines
- Strong attention to detail and ability to manage and prioritize assignments and respond to rapidly shifting priorities
- Strong team building, relationship management, and project management skills
- Comprehensive analytical, critical thinking, and problem solving skills and the ability to execute in an evolving environment
- Developed investigative skills: inquiry and analysis, interviewing
How to write Compliance Testing Resume
Compliance Testing role is responsible for testing, organizational, compliance, relationship, retail, mainframe, finance, securities, training, auditing.
To write great resume for compliance testing job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Compliance Testing Resume
The section contact information is important in your compliance testing 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 Testing Resume
The section work experience is an essential part of your compliance testing 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 testing 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 testing position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Compliance Testing resume experience can include:
- Proven leadership qualities and strong stakeholder management skills
- Proven ability to build a network quickly, influence others, and effectively address audiences of all levels
- Deal effectively with multiple competing deadlines
- Responsible for ensuring examination output effectively identifies and remediates Compliance related matters for SC and SC’s respective Business Units
- Experience using MS Word, PowerPoint, and Excel (including V-lookups & pivot tables) for reporting purposes
- Experience working in a compliance related position, ideally in the financial crimes area of a global bank, consulting firm, or regulatory agency
Education on a Compliance Testing Resume
Make sure to make education a priority on your compliance testing resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your compliance testing 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 Testing Resume
When listing skills on your compliance testing 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 testing skills:
- Strong analytic skill, quantities and qualities, to address the risk, root cause and impact linked with facts or observations detected in reviews
- Approximately 10 years relevant Compliance experience or other related experience such as legal, risk management, audit , operations controls or similar
- Identify and effectively escalate potential issues to appropriate individuals
- Testing adequacy and effectiveness of Compliance Policies and Procedures
- Experience in audit/testing, banking, compliance, or a similar function with a specific understanding of internal controls
- Compliance, auditing, testing, legal, or regulatory/law enforcement experience
List of Typical Experience For a Compliance Testing Resume
1
Experience For Manager Compliance Testing Resume
- Building and enhancing critical relationships across the organization, including effectively interacting with key stakeholders and senior management globally
- Experience in compliance testing or experience in usage of data analytics is an advantage
- Relevant work experience in compliance, regulatory or audit. At least 6 years of AML/CFT/Sanctions experience is compulsory
- Utilizing effective communication and delivery methods in socializing and vetting testing results and issues with business stakeholders
- Employing analytical and strategic thinking to continually identify and implement effective solutions within testing activities and across the FCC program
- Experience executing and leading compliance testing programs, including documentation and reporting requirements
- Experience working with compliance testing scripts and with performing testing reviews or audits
- Audit, compliance testing or monitoring, or other relevant experience such as Compliance, risk management
2
Experience For AML Compliance Testing Analyst Resume
- Run the program and complete testing in a timely manner while being agile to refocus on new priorities, as needed
- Substantial experience with testing and assurance processes, including documentation review and oversight
- Experience within the financial crimes area of a global bank, consulting firm or regulatory agency
- Maintain good working relationship with stakeholders
- Identify opportunities for increased effectiveness and efficiency in current compliance processes, including automation
3
Experience For Gf-compliance Testing Senior Lead Resume
- Experience managing staff and/or contractors
- Strong working knowledge of compliance best practices
- Strong working knowledge of IT and Security related processes
- Develop collegial and effective working relationships with team members and business partners
- Demonstrated knowledge of SEC, FINRA, ERISA and other federal and state and foreign regulations (UCITS)
- Prioritize and distribute assignments, projects and initiatives to ensure delivery of work product to accomplish objectives and goals
- Experience with compliance test plan development and execution
- Executing testing, including documenting, assessing and reporting testing results
- Performing planning, scoping and sampling activities related to test reviews, including developing test steps/scripts
4
Experience For Financial Crimes Compliance Testing Resume
- Following up status of corrective actions to address the issues arising from testing
- Preparing and discussing the compliance test reports with Compliance and stakeholders in the business or control functions
- Working knowledge of securities and commodities rules and regulations
- Leading coaching and mentoring initiatives, including the development of training materials, job aids and equivalent tools for driving consistency and quality
- Promoting high quality performance across the FCC team, and ensuring that testing activities and work papers adhere to internal standards and expectations
5
Experience For Global Compliance Testing & Governance Editor Resume
- Working knowledge of a wide variety of security types, including equities, fixed income (money market, municipal bonds, loans and derivatives)
- Performing research and gathering information sufficient to understand the process or controls to be tested and applicable regulations
- Assist in preparing/reviewing reports summarizing the objectives, scope, findings and conclusions of completed testing
- Assist in developing and maintaining quality control processes to drive adherence to Global Testing Standards
- Assist in the coordination with Issues Management for monitoring and tracking resolution of financial crimes testing findings
- Manage the scheduling of TCOE testing for reviews in queue in order to ensure timely testing coverage
- Conduct planning and scoping for compliance tests to identify key risk and key controls to be assessed and tested
- Assist in the drive of central coordination, governance, and reporting, leveraging regional structures and best practices
6
Experience For Manager, Compliance Testing & Monitoring Resume
- Based on results, work with Compliance department and other stakeholders for advising and training opportunities
- Complete compliance testing for assigned files
- Review and assess adherence to internal policies and procedures, as well as compliance with governing laws and regulations
- Document test work and draft test reports in accordance with Testing Standards
- Learn and absorb information quickly and apply strategic thinking to understand the impact of issues and associated risks
- Timely execution of the CIB Compliance Testing program
- Lead and /or perform compliance testing, identify issues and make recommendations and report the result
7
Experience For VP, Gfcc Compliance Testing, / Singapore Resume
- Participate in the formulation of a program for group-wide Compliance Testing on AML/CFT/Sanctions
- Assist to develop tests for program utilizing analytics and implement these tests
- Perform administrative supervisory activities including performance reviews, corrective action documentation, and other tasks as needed
- Work across teams and varying subject matter experts to develop requirements and analyze data
- Support testers / Provide comprehensive consulting and leadership to team members and partners
- Interact with regional GCT Managers on scheduling, technical questions, and potential issues
- Perform testing as time permits
8
Experience For VP Compliance Testing Resume
- Manage issue reporting process
- Attend relevant training and information sessions to increase knowledge of the regulatory environment
- Understand and interpret various laws, regulations, and policies
- Able to build, manage and maintain relations with various senior stakeholders
- Have a proactive approach to tasks and responsibilities; with the ability to manage deadlines
- Assist the team with various ad hoc projects
9
Experience For Compliance Testing Associate Resume
- Update and communicate tactic status throughout production
- Ensure that all findings and recommendations are entered into Compliance Controls Testing’s Issue Tracker for tracking purposes and perform required follow-up of open issues to ensure proper resolution
- Assist in conducting testing of BTMU branches globally to ensure compliance with the Bank’s OFAC Global Standards and adherence to applicable Sanctions regulations
- Assist in drafting work plans and test scripts designed to test BTMU branches globally adherence to the Bank’s OFAC Global Standards
- Develop and implement a risk based testing plan and methodology to review BTMU branches globally based on the Bank’s OFAC Global Standards
- Accurately report findings and escalate issues
- Meet and/or exceed review quality and production standards
- Understanding and developing a good knowledge of complex banking products (e.g. equities, derivatives) segments (e.g. private banking)Building and cultivating strong connections and partnerships across the business/function/region
- Analytical and proactive assessment of emerging risks/trends and the 'big picture' view
10
Experience For Senior Analyst, Compliance Testing Resume
- Five (5) – seven (7) years of progressively responsible experience working in compliance, audit, or other governance functions within a large commercial bank and/or finance company, or in a regulatory agency, with a working knowledge of consumer banking, consumer lending, and federal and state consumer regulations
- Process and procedure oriented
- Masterful competence of MS Office; Excel, PowerPoint, and Word is essential
- Strong written, verbal, and interpersonal communication skills with the ability to foster a collaborative working relationship with multiple functional areas, operational areas, and complex business lines
- Maintain confidentiality, while working closely and building trust with management
- Having sufficient knowledge of Citi’s Global Compliance Testing Standards and related GLMS Training programs in order to measure the Compliance Testing Reviews against those requirements
- Lead the Compliance Testing Team in providing an independent view to the Group Head of LCS on the state of DBS Group’s compliance in relation to applicable regulatory requirements or risks
- Good understanding of bank internal controls and regulatory expectations
- Resilience and strength of character and the capacity to challenge whilst remaining commercially focused
List of Typical Skills For a Compliance Testing Resume
1
Skills For Manager Compliance Testing Resume
- Strong PC skills with basic knowledge of Ms Office applications
- Prioritization skills and ability to recognize roadblocks
- Prior experience with IRS contribution and ERISA regulations
- Testing and Allocation Experience
- Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting firm, or regulator
- Experience working on Unica Campaign Management tool and Art Proofing
- Be able to organize systems’ data and subsequently analyze it with the aim of drawing effective conclusions to support the testing work
2
Skills For AML Compliance Testing Analyst Resume
- Operational or Compliance experience of Regulatory Reporting and/ or Client Assets preferable
- Direct Compliance experience in financial services with Compliance testing, audit, or regulatory focus required
- Excellent knowledge of regulatory compliance requirements across businesses covered by the testing program
- Experience in Digital Marketing and knowledge of Campaign Management
- Proven track record of implementing change within a complex environment
- Hands on experience working on MS Office and HTML
- Strong self motivation with an ability to work independently to lead the APAC team and also execute reviews within defined timescales
- Have a good appreciation of the regulations applicable in APAC
3
Skills For Gf-compliance Testing Senior Lead Resume
- Experience with a financial services firm and/or self-regulatory organization in a Compliance, Legal or Audit role
- 3 – 5 years’ experience in areas related to Compliance, AML, Internal Audit or Control functions
- Experience with Microsoft Office (Excel, Word, PowerPoint, Access, Visio) is required
- Experience in a large financial services firm, with
- Knowledge of compliance automated systems and VBA skill is favorable
- Experience in Campaign Management Tool
4
Skills For Financial Crimes Compliance Testing Resume
- Solid understanding of the finance industry’s regulatory requirements (Federal Reserve, CFPB, etc.)
- Understanding of accounting, information technology systems, and standard system implementation methodologies
- Assessing key business processes and critical business risk
- Presenting findings and results to management
- Actively supporting peers in the execution of testing, including documenting, assessing and reporting testing results
- Familiarity with the requirements of Dodd Frank and associated proposed regulations relating to Swap Dealers, including the Volcker Rule
5
Skills For Global Compliance Testing & Governance Editor Resume
- Detail-oriented and customer-driven, focusing on providing the highest quality products and services to client's internal and external clients
- Understands testing standards, tools and methodologies behind creating valuable compliance programs
- Reviews and interprets laws and regulations for the purpose of developing appropriate testing plans
- Delivery focused; demonstrating an ability to work under pressure and within tight deadlines while maintaining accuracy
- Work well within a team, understanding others and having influence
- Lead general compliance onsite and offsite testing/monitoring, identify issues and make recommendations
- ‘Marketing’ the Compliance Testing function to improve its visibility and perception
- Speak one’s mind and be able to stand firm, while balanced, on key issues specially when confronted with senior management with opposing views
6
Skills For Manager, Compliance Testing & Monitoring Resume
- Normal office environment and exposure to weather when visiting customer sites
- Knowledge of consumer lending laws and regulations
- Financial instruments product knowledge (a Financial Engineering qualification, CFA, PRMIA or FRM qualifications would be
- Advanced knowledge of MS Office, including MS Word, MS Excel and MS PowerPoint
- Proficiency in MS Office including Excel, PowerPoint, Word and Visio
- Drive success in a high performing, flexible team environment
7
Skills For VP, Gfcc Compliance Testing, / Singapore Resume
- Technical expertise in Compliance Testing & 5500 Services
- Flexibility with your schedule during peak volumes
- Conduct research, data gathering, analysis and prepare reports
- Identifies situations that pose significant risk and guides management in developing policies and/or procedures that minimize risk
- Unica Campaign Management, Art Proofing
- Exposure to Digital Marketing
- Assist in compliance related matters during examinations by the firm’s regulators and internal auditors
- Coordinate tactic proofing and deployment with vendor
- Prepare a report for each testing conducted. Compile periodic reports to management
8
Skills For VP Compliance Testing Resume
- Follow up on the findings of testing, identify root causes, provide advice on remediation and follow up on the status of remediation process
- Legal approval for owned tactics
- Assist in the continued implementation and oversight of the Title VII and Volcker Rule Compliance Programs through verification of the Bank’s adherence to applicable rules and regulations through onsite surveillance, testing and training
- Manage multiple compliance reviews and projects at the same time and meet timely deadlines.Spanish is an asset
- Self Starter, highly Motivated, able to work independently
- Thrive in collaborative environment
- Proficient with Word, PowerPoint and Excel required
9
Skills For Compliance Testing Associate Resume
- Provides support to the VP, Enterprise Compliance Operations to ensure that regulatory risks are managed effectively and efficiently and in accordance with the firm’s Risk Appetite
- Works closely with the VPs and Directors of Canadian Banking Compliance (which includes the Wealth businesses in Canada) as well as with senior employees of the various businesses to develop, support and lead the execution of the enterprise testing program
- Identifies trends and/or gaps across businesses and reports trends, findings and observations with recommendations on how to improve the effectiveness of first line controls to the VPs and Senior Management
- Works closely with counterparts in Global Compliance to ensure consistency and alignment on regulatory and complaints analysis and reporting and on the testing program, as well as and best practices across the organization
- Actively pursues effective and efficient operations of his/her respective areas, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect to regulatory compliance risk including but not limited to responsibilities under the Compliance Framework
- Have at least 7-10 years of compliance experience within a financial institution, auditor, or consultant
- Experience in areas related to Compliance, AML, Internal Audit or Control functions
10
Skills For Senior Analyst, Compliance Testing Resume
- Liaise with different stakeholders including but not limited to business partners, external vendors, internal test teams, etc..
- Coordinate reviews with the firm’s Internal Audit group
- CA/post-graduate Diploma in Management
- Or more years of compliance and/or regulatory experience, with knowledge of the financial service industry, regulatory requirements, and experience in analyzing business risk and best practices
- Excellent written skills with an ability to produce and oversee the production of well written Compliance testing reports and present findings to senior management
- Be a team player, able to work with other team members across compliance globally
- Proficiency with the concept of ‘big data’ and technical architecture of large financial firms, pertinent mainframe systems, and software packages
- FCC/AML related certifications, such as CAMS, CFE, CRCM
- BSA/AML/OFAC/Sanctions related certifications, such as CAMS, CFE
List of Typical Responsibilities For a Compliance Testing Resume
1
Responsibilities For Manager Compliance Testing Resume
- Excellent written and oral communication skills with the ability to communicate with all levels
- Communicates and provides compliance advice and requirements to managers and appropriate personnel. Prepares reports detailing the results of testing performed
- Articulate both orally and in writing
- Complete Periodic and Forensic Testing of controls as required by FRB SR08-08
- Independently lead, structure, and execute comprehensive reviews of targeted areas pursuant to Rule 206(4)-7, 38a-1, and UCITS regulations, from planning stage through remediation of items uncovered during testing
- Applying critical thinking and judgement to effectively manage and lead activities relating to planning, sampling scoping, and testing across multiple FCC/AML reviews
- Exercising advanced knowledge of FCC/AML rules, regulations and best practices to develop robust test scripts that are adequate to achieve testing objectives and satisfy regulatory requirements and expectations
- Managing and leading activities relating to identifying, communicating and escalating issues, including overseeing that corrective action plans are developed and completed timely
- Maintaining ongoing and heightened awareness of the FCC/AML landscape and the Bank’s internal control environment, while elevating the collective knowledge and subject matter expertise within the team
2
Responsibilities For AML Compliance Testing Analyst Resume
- Demonstrating advanced writing and organizational skills by crafting clear, accurate and supported testing reports and deliverables suitable for senior management and high level stakeholders
- Partnering closely with the FCC Testing Manager to manage, monitor, enhance and report on the state of the FCC testing program, including satisfying internal audit and regulatory matters
- Strategizing and identifying synergies and collaboration opportunities between other aspects of the Compliance program domestically and globally (e.g., testing, monitoring and risk assessment counterparts)
- Knowledge of financial products, markets, and regulatory policies, including the Investment Company Act of 1940
- Possess the ability to handle multiple requests, and exhibit a proactive, hands-on approach to problem solving
- Manage CFPB readiness audits for all mortgage lending regulations per the CFPB Supervision and Examination Manual
- Conduct interviews and walkthrough with Business Unit employees
3
Responsibilities For Gf-compliance Testing Senior Lead Resume
- Prepare reports for senior management and to the Funds Board of Directors that clearly and concisely capture the backgrounds, testing approaches and results, and conclusions of compliance testing activities
- Work closely with business line and infrastructure teams to develop remediation plans to resolve control weaknesses identified through testing and confirm remedial actions have sufficiently addressed the identified control weaknesses
- Assist in the development of the annual testing plan
- Significant specific industry knowledge and experience in relation to portfolio management and trading activities, marketing, sales, technology, finance, transfer agent and other operational areas of an investment management business
- Excellent interpersonal skills necessary to work effectively with colleagues of all levels of seniority
- Proficiency in the complete MS Office suite is required, especially in Excel, Word and PowerPoint
- Strong organization, planning and time management skill to manage multiple priorities and tasks effectively in a fast-paced environment to meet established deadlines
4
Responsibilities For Financial Crimes Compliance Testing Resume
- Strong time management skills and able to complete tasks before deadlines
- Strong risk and control mindset and pay attention to details
- Establish credibility and strong partnerships with business stakeholders and control functions
- Based on program and tests, formulate and convey assessment of effectiveness of AML/CFT/Sanctions controls and governance
- Interpret regulations and assess compliance with the rules
- Follow up on the issues and on the status of remediation
5
Responsibilities For Global Compliance Testing & Governance Editor Resume
- Assist in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
- Assist in implementation of a coordinated, consistent and risk-based AML, Sanctions and ABC testing program
- Knowledge of financial crimes compliance laws and regulations
- Follow through and ensure management actions address the risks/root causes
- Oversee the Compliance testing activities and enhance the testing program in order to provide assurance and insight into the compliance-related activities of the organization
- Oversee the allocation of work, deliverables and completion timeliness of the testing of external and internal remediation items
- Oversee the process and work product for quality and to ensure consistency among team members
- In conjunction with the Compliance Advising team, work with the business for thorough remediation, status, tracking and reporting of internal and external issues to ensure sustainability and demonstrate compliance
6
Responsibilities For Manager, Compliance Testing & Monitoring Resume
- Conduct analyses, formulate insights, and synthesize findings for presentation to management and other stakeholders
- Work with Compliance team members to provide information in support of the Compliance Monitoring program, risk assessment, controls and other department activities
- Work with internal stakeholders (ERM, Internal Audit, others) to understand functional and technical requirements for remediated findings and determine ways to leverage work and maximize efficiency across the organization
- Develop and implement overall testing and assurance program, including a methodology for ad-hoc testing and assurance activities, such as triggering events, changes in rules, changes in systems, etc
- Assist with recurring efforts for the team and department
- Supervise a team of Compliance Officers and Analysts
7
Responsibilities For VP, Gfcc Compliance Testing, / Singapore Resume
- Promote staff’s personal and professional development
- Work under deadlines and manage multiple tasks simultaneously
- Aid TCOE Partners with follow-up on issues as necessary
- Review test work performed in the TCOE for quality assurance
- Interact with business partners and internal auditors on regulatory topics as necessary
- Set clear and measureable goals and objectives for the testing team and individuals, ensuring performance assessments are completed in line with corporate requirements
- Conduct performance management and career development processes, and provide input for staffing, staff objectives, disciplinary actions and staff training requirements
- Ensure that any apportionment of responsibilities within the team is effective and appropriate
8
Responsibilities For VP Compliance Testing Resume
- Encourage an environment of employee participation, teamwork and open communication
- Analytical ability to identify and understand compliance issues
- Proficiency in Word, Excel, and SharePoint
- Assist in developing test plans, scripts, procedures, and sampling methodologies that incorporate regulatory expectations, industry developments, and lessons learned from regulatory finding and internally identify issues by compliance testing and internal audit
- Assist in preparing/reviewing reports summarizing the objectives, scope, findings, and conclusions of completed testing
- Assist in maintaining the annual BSA/AML/Sanctions Compliance Review program schedule
- Discuss preliminary findings/issues with internal stakeholders ad participate in active correspondence with key individuals to identify an appropriate action plan
9
Responsibilities For Compliance Testing Associate Resume
- Compliance testing experience
- Corporate / commercial banking experience
- Compliance or internal audit experience
- Draft AML Compliance Testing reports and participate in the discussion of recommendations with relevant parties
- Possess adaptability/flexibility and organizational sense
10
Responsibilities For Senior Analyst, Compliance Testing Resume
- Able to work collaboratively with the team
- Manage assignments to ensure intended results are achieved on time
- Supervise a team of compliance analysts and technical specialists in the delivery of compliance control review reports, risk-based analysis of testing plan for approval by senior compliance management and Board of Directors, and for presentation to regulators upon request
- Experience in Campaign Management Tool, Digital Marketing,Client Management, MS Office, HTML
- Completed marketing tactic
- Grasp business and global regulatory policies
- Manage the execution of reviews conducted by team members
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