Rohq-compliance Resume Sample
Demario Green
454 Ashton Views,
San Francisco,
CA
+1 (555) 889 1778
Work Experience
Rohq-compliance
11/2015
-
PRESENT
Detroit, MI
- Engage with the Regional Heads of the Monitoring, Testing, Compliance Reporting & Analytics and AML teams to develop strategic plans for the oversight of the those activities and promoting and maintaining the Compliance culture within the team
- Engage with Regional Program Heads enhance the quality of the service delivery and ensure it is achieved in a manner consistent with the program objectives
- Manage the Risk & Control function within the Compliance Citi Service Center and ensuring that the required controls are in place and active across the surveillance functions operating within the RHQ
- Update the RHQ Management and Regional APAC Compliance Management on the status of activities on a periodic basis and participating in RHQ governance forums include the Business Risk & Control Committee
- Ensure that there is an effective Continuity of Business plan in place for all functions and coordinating with Regional & Country compliance to ensure it is fully embedded in the plans for those locations
- Coordinate with Regional Compliance and RHQ Finance to oversee the billing process and ensure that the required billing and payments are executed as per the local requirement
- Oversee the execution of the Voice of Employee plans across the functions and take the lead on driving improvements to the program based on the results
- Coordinate with Citi Real Estate Services to ensure that office locations and space requirements are in line with headcount projections
Rohq Compliance Management Control Assessment Analyst
03/2012
-
07/2015
Los Angeles, CA
- Risk and Finance Global Functions at the regional level, the Global Functions overall in Greater China (Hong Kong, China and Taiwan) and the Prudential Compliance Risk Program
- Collect AML metrics reflecting particular kinds of measurable AML data, including alert cases generated, cases ageing, investigations generated, investigations ageing, SARs filed and KYC renewals past due.(excludes any customer data)
- Liaise with AMLCOs, Hubs and Regional teams in regards to the input of data to Archer
- Coordinate and oversee access and input of issues and events to the GCM tool by APAC stakeholders
- Responsible for logistical and administrative aspects required to facilitate the APAC GBRC Committee and meeting
- Proactively monitor market news to gather appropriate knowledge on market and regulatory developments affecting surveillance of one’s respective market coverage
- Understanding the complexities of Citi Legal Vehicle structure in the country and the corresponding regulatory expectations
Education
Wingate University
2007 - 2011
Bachelor's Degree in Management
Professional Skills
- Strong MS-Excel and MS PowerPoint skills
- Reviewing/developing skills of testing
- Developing skills of testing, analytical and proactive assessment of emerging risks/trends with a "big picture” view
- Experience in Banking/Financial firms (Experience in Compliance or Risk and Control functions from Investment banking)
- Experience in Banking / Financial firms (Experience in Compliance or Risk & Control functions from Investment banking)
- Experience in Banking/Financial firms (Experience in Compliance or Risk & Control functions from Investment banking)
- Prior Compliance or Bank Regulatory work experience, or at least an exposure to Banking Regulations Basic knowledge of Microsoft Office
How to write Rohq-compliance Resume
Rohq-compliance role is responsible for events, software, retail, finance, training, database, purchasing, trading, equities, reporting.
To write great resume for rohq-compliance job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Rohq-compliance Resume
The section contact information is important in your rohq-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 Rohq-compliance Resume
The section work experience is an essential part of your rohq-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 rohq-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 rohq-compliance position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Rohq-compliance resume experience can include:
- Maintain effective quality assurance procedures to drive consistency in standards across country teams
- Develop and maintain strong partnerships with colleagues in Compliance and other Global Functions in support of strengthening the compliance culture
- Support the training of hiring managers on resourcing best practice by providing basic Taleo system user training
- Draft and maintain general CSC Operating procedures (including new employees onboarding procedures)
- Provide feedback to the testing teams
- Coordinates with Technology, Maintenance, Premises, Logistics and Purchasing for the team’s BAU requirements
Education on a Rohq-compliance Resume
Make sure to make education a priority on your rohq-compliance resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your rohq-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 Rohq-compliance Resume
When listing skills on your rohq-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 rohq-compliance skills:
- Understanding and developing a good knowledge of complex banking products (e.g. equities, derivatives) segments (e.g. private banking)
- Understanding and developing a good knowledge of complex banking products/segments (e.g.equities, derivatives)
- Banking experience, preferably gained from working in an Operational capacity and/or Compliance, Internal Audit or in-house Legal role
- Strong commitment to implementing and setting best practices
- Experience and working knowledge of financial services / banking businesses and regulations
- Experience working independently and virtually within a global and multicultural team
List of Typical Experience For a Rohq-compliance Resume
1
Experience For Rohq Compliance Management Control Assessment Analyst Resume
- Conduct periodic Quality Assurance review to assess the quality of Analysts’ work and the functioning of internal controls for respective teams and provide timely feedback and corrective action points to remediate the gaps
- Proficient in Chinese (Mandarin / Cantonese) written (Simplified & Traditional) and spoken communications (Excel, MS PowerPoint)
- Provide support to ensure the fulfilment of CCG’s mission, be it with respect to Extra-Territorial Requirements, Key Regulatory Risks and all other interaction with the Risk and Finance Global Functions at the regional level and the Global Functions overall in Greater China (Hong Kong, China and Taiwan)
- Analytical and proactive assessment of emerging risks/trends and the ‘big picture' view
- Support the development and management of Insurance Compliance program in APAC and EMEA countries
- Support in review of new insurance products
2
Experience For Rohq-compliance Monitoring Resume
- Technical review of products developments early in the process to influence the final design
- Support development and expansion of insurance solutions, including thought leadership on new opportunities and sharing/implementing global/regional best practices
- Related channel and consumer research
- Coordinate with Regional counterparts (DPAC, AML, Compliance, Legal, Finance) on product approvals/management, Citi policy requirements
- Proficient in Chinese (Cantonese) written (Simplified & Traditional) and spoken communications (Excel, MS PowerPoint)
- Proficient in Chinese written (Simplified & Traditional) and spoken communications (Excel, MS PowerPoint)
- Conduct periodic Quality Assurance review to assess the quality of staff members’ work and the functioning of internal controls and provide timely feedback and corrective action points to remediate the gaps
3
Experience For Rohq-compliance Resume
- Provide support to countries as required to manage local regulatory or US supervisory examinations, eg coordinate Regional SME support, centrally manage and track document requests, manage internal/external communications and escalations
- Aggregate and disseminate actionable insight on historic issues which occurred in the region (eg MI reports and trend analysis of CAPs) so as to inform and prioritize inspection readiness efforts
- Compliance related certifications
List of Typical Skills For a Rohq-compliance Resume
1
Skills For Rohq Compliance Management Control Assessment Analyst Resume
- Experience working within the Financial Industry, preferably from a global financial firm
- Proven record of successful leadership and people management
- Prioritize, multitask and deliver tasks on time
- Good and applied knowledge of financial products (i.e. equities and derivatives)
- Knows how to prioritize, multi-task and deliver tasks on time
- Have a good understanding of AML/Sanctions laws, regulations and best practices
- Support countries in managing adherence to Compliance policies including Surveillance and Monitoring
- Specific subject matter expertise in retail banking, investment banking, AML is valued
2
Skills For Rohq-compliance Monitoring Resume
- Contribute to a ‘no surprise’ compliance culture by communicating and educating on CCG initiatives
- More than 15 years in Banking and Finance industry incudes
- Background in policy writing and implementation is an advantage
- In the financial services industry or in a reputed Accounting firm with financial institution engagement
- Speak one’s mind and be able to stand firm, while balanced, on key issues specially when confronted with senior management with opposing view
- Assist with recruitment / setting up of meetings or interviews
- Analytical and proactive assessment of emerging risks/trends and the ‘big picture” view
- Escalation and Metrics Reporting
3
Skills For Rohq-compliance Resume
- Background in Compliance, Risk & Control, Audit or Quality Assurance
- Office documentation software and applications (MS Word, Excel)
- Graduate of any Business-related course At least 1-2 years work experience within Financial industry or Compliance environment Knowledge of financial products specifically equities, fixed income, commodities and currencies
- Fresh Graduates or at least 1-2 years work experience within Financial industry or Compliance environment
- Knowledge of financial products specifically equities, fixed income, commodities and currencies
- Self-motivated and ability to work independently and as part of the team
- Specific subject matter expertise of retail banking products such as investments, loans, cards and insurance, and areas such as sales processes and suitability, cross border, complaints handling, etc
- Excellent MS-Excel, MS-Access and MS-PowerPoint skills
4
Skills For Rohq Compliance Management Control Assessment Analyst Resume
- Affinity with regulatory knowledgeStrong communication and interpersonal skills
- Prioritize, multi-task and deliver tasks on time. Proactive execution of priorities and goals
- Experience in compliance, control and/or audit /risk management role is desirable
- Two to four years in the financial services industry or in a reputed Accounting firm with financial institution engagement
- Self-motivated and ability to work independently, and also as part of a team
- In the financial services industry preferably in a Compliance role
5
Skills For Rohq-compliance Monitoring Resume
- In the financial services industry or in Big Four with financial institution engagement, preferable in application development and technology support within a finance, compliance, &/or audit /risk management role
- Work experience within Financial industry or Compliance and / or Control/ banking operations, audit, risk and control, compliance or quality assurance role
- Experience in Banking or Financial industry
- Strategic ability to identify emerging Compliance risk; ability to think outside the box; ability to speak one’s mind and be able to stand firm, while balanced, on key issues specially when confronted with senior management with opposing views
- Proficient in Japanese (Reading & Speaking) and English
- Four to Six years in Compliance, Operations and/or audit /risk management role. Preferably some exposure to Compliance Surveillance activities or other Operational processes within the financial services industry
6
Skills For Rohq-compliance Resume
- Experience in control/audit functions desirable
- Analytical and proactive assessment of emerging risks/trends with a "big picture" view
- Offer insight into key compliance processes, procedures, systems and structures
- Enable the influence of decisions and opinions of others without direct authority
- Experience in the financial services industry, preferably gained from Compliance, Legal or Internal Audit roles with experience in both policy and training development
- Three (3) to Five (5) years in Compliance and/or AML Compliance and/or legal, audit, risk management role
- In the financial services industry or in Big Four with financial institution engagement, preferable in application development and technology support within a finance, compliance, and/or audit/risk management role
7
Skills For Rohq Compliance Management Control Assessment Analyst Resume
- Support the team to ensure compliance with Citi’s policies with respect to Employee Trading and the Outside Activities of employees
- In Compliance and/or AML Compliance and/or legal, audit, risk management role
- Design and monitor performance metrics
- Analyze and assess common areas of improvement and provide recommendations accordingly
- Maintain Organizational Charts for the Team
8
Skills For Rohq-compliance Monitoring Resume
- Assists New Hire Set-up of Human Resources where needed
- Partner with Global Compliance Training Center of Excellence to assist with and oversee training program implementation - planning, logistics, scheduling, communicating and tracking, including input to and reporting from Citi’s training systems and SharePoint sites
- Serve as APAC’s training representative on applicable training steering committees
- Partner with HR’s Learning and Development , HRSS, Risk, Legal and Conduct teams
- Assist with training program implementation - planning, logistics, scheduling, communicating and tracking, including input to and reporting from Citi’s training systems and SharePoint sites
- Partner with HR’s Learning and Development, HRSS, Risk, Legal and Conduct teams
- Assist in the administration, review and reconciliation of P2P payments for APAC Compliance
- AML Country Officer (AMLCO) Program Directive support for APAC based AMLCO’s
9
Skills For Rohq-compliance Resume
- Provide support and advice to countries in ASPAC to better achieve a permanent state of control readiness, e.g. conduct workshops with countries to identify and prioritise remediation activities in advance of upcoming inspection
- Aggregate and disseminate actionable insight on historic issues which occurred in the region (e.g. MI reports and trend analysis of CAPs) so as to inform and prioritise inspection readiness efforts
- Facilitate the MCA Annual Risk Assessment sessions and ensure that the unit’s process, risk and controls document is updated
- CCG was created following a requirement to maintain a compliance framework (similar to product Compliance) to mitigate regulatory risk impacting Global Functions and Enterprise wide regulations such as Regulation W. This role seeks to assist with coverage for this area
- Work closely with Country/Function CCG Leads and Global CCG Leads to ensure that the activities in APAC are aligned with standards in the CCG Operating Model
10
Skills For Rohq Compliance Management Control Assessment Analyst Resume
- Support the Country/Function Leads in executing all Global CCG initiatives that require implementation in the region
- Assist in the execution of the CCG Monitoring Program and ensure that the CCG Monitor database is kept updated to reflect monitoring activities conducted in the region
- Support CCG Country/Function Leads in communicating regulatory changes and developments that impact the Global Functions
- Participate in CCG management meetings and governance forums and help the Country/Function CCG Leads to prepare any materials that need to be submitted by APAC to these forums
- Provide co-ordinated cross- functional support as needed
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