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Compliance Officer

Braintree, MA

your.email@example.com
111-222-3333
www.your-website.com

Summary

Compliance Officer with extensive regulatory experience and 20 years in the financial services industry. Specialized and certified in Anti-Money Laundering compliance. Background includes risk management, document management, financial reporting and supervising staff. Strengths in accounting, audit, analysis, research, training, investments, wire transfers, organization, and communication. Led reengineering of document management which streamlined processes and consolidated functions. Known to provide outstanding customer support to all levels of management.

Work Experience

Senior AML Advisor – Vice President

RBS Citizens Financial Group, Inc., Cranston, RI

2011Current

Provide guidance and advisory support to business lines regarding Anti-Money Laundering (AML) and Sanctions programs by demonstrating comprehensive knowledge of the laws and regulations applicable to money laundering. Communicate regulatory changes, new guidance and changing program standards.
  • Perform annual and periodic AML and Sanctions risk assessments to assess and document associated risks and recommendations impacting higher risk business lines.
  • Participate in compliance related projects and initiatives required to mitigate applicable AML and Sanctions risks.
  • Facilitate meetings with business lines as a forum to communicate AML and Sanctions related issues, initiatives, changes, risks and regulatory guidance.
  • Evaluate business line risks, controls and tests to ensure all applicable risks are addressed and managed.

Compliance Officer - Assistant Vice President

State Street Bank and Trust Company, Boston, MA

2008 2010

Provided Anti-Money Laundering (AML) compliance operational guidance and support to Investor Services by demonstrating in-depth knowledge of the laws and regulations applicable to money laundering. Participated in regulatory examinations and audits. Researched regulatory issues that impacted business lines.
  • Monitored the legal and regulatory environment through various methods and provided up to date knowledge and expertise relevant to Anti-Money Laundering (AML), Know Your Customer (KYC), Office of Foreign Asset Control (OFAC) and Bank Secrecy Act (BSA) compliance.
  • Completed projects supporting the corporate AML compliance program.
  • Implemented State Street's AML training program for North America business lines.
  • Conducted Watch list and Restricted list screening of client base using PRIME to ensure oversight and compliance with the USA PATRIOT Act.
  • Maintained and evaluated compliance activities by identifying issues and detecting, preventing and mitigating risks.
  • Organized document requests and compliance information for regulatory examinations and audits.
  • Created and distributed quarterly AML Newsletter to North America business lines.
  • Prepared high risk reviews and group introduction certificates to certify Know Your Customer (KYC) screening has been performed for clients allowing new business approval.

Senior Risk & Compliance Analyst - Assistant Vice President

State Street Bank and Trust Company, Boston, MA

2003 2008

Managed all aspects of Investor Services compliance documentation group which performed essential centralized processing functions, including, system access, signature authority, risk ratings, setting Automated Clearing House (ACH) risk exposures, and bank nominee name processing as well as monitoring and tracking legal documentation for over 5000 clients. Participated in contract negotiations. Supervised daily responsibilities of Compliance Analysts.
  • Procured, examined and tracked all contracts and required legal fiduciary documentation for Mutual Fund Clients, Pension Fund Clients, Wealth Management Services clients and their Investment Managers in accordance with applicable laws, corporate policies and internal procedures.
  • Provided advice and guidance to internal clients concerning corporate policies, procedures, industry regulations and required documentation.
  • Served as project manager ensuring a smooth transition of legal documents from existing electronic records management imaging system (Bytequest) to new imaging system (Documentum).
  • Recognized for demonstrating knowledge of archival and records management practices in accordance with banking and Employee Retirement Income Security Act (ERISA) regulations.
  • Ensured completion of database enhancements and improvements are on schedule and within budget.
  • Managed databases for accuracy of both new funds and new documents received while preparing and analyzing Operational Key Risk Indicator Reports for senior management.
  • Collaborated with internal/external auditors and management regarding SAS 70 preparation.
  • Implemented changes to standard document templates and posted to company intranet.
  • Researched errors, inconsistencies and exceptions related to required legal fiduciary documentation.
  • Supported legal counsel and business line management projects and initiatives in order to meet client expectations.

Risk & Compliance Analyst - Officer

State Street Bank and Trust Company, Boston, MA

1997 2003

Enhanced risk management support by training, auditing and tracking all matters related to new business.
  • Considered subject matter expert on Wire Transfers/Uniform Code Article 4A (UCC4A).
  • Audited investment portfolios ensuring that State Street and its clients were in compliance with corporate policies and regulatory requirements such as ERISA, Investment Advisers of 1940 and UCC4A.
  • Conducted training presentations and produced internal manuals on Wire Transfers/UCC4A
  • Wrote and maintained department standard operating procedures and policies.
  • Created, maintained, provided reporting and conducted annual reconciliation of bank nominee names.
  • Tracked and approved new investment portfolio and legal entity set up.
  • Prepared information for tax and regulatory filings with the IRS and DOL.

Senior Portfolio Accountant/Auditor

State Street Bank and Trust Company, Boston, MA

1996 1997

Conducted daily maintenance of defined benefit and defined contribution ERISA regulated investment portfolios.
  • Authorized, processed, and settled trades for domestic and international fund portfolios.
  • Audited various daily, monthly and annual financial statements.
  • Communicated with clients and investment advisors regarding trades, corporate action decisions and broker inquiries.
  • Prepared annual reports and Form 5500 detail.

Financial Reporting Analyst

The Stop & Shop Supermarket Company, Quincy, MA

1995 1996

Provided internal and external financial reports for the organization.
  • Generated, analyzed and issued financial statements for senior management.
  • Prepared daily, weekly and monthly sales reports for buyers.
  • Assisted in the preparation of period close and annual budget presentation.
  • Accountable for physical inventories of products at regional warehouses.

Senior Mutual Fund Accountant

State Street Bank and Trust Company, Quincy, MA

1990 1995

Conducted daily maintenance of 40 Act regulated mutual fund investment portfolios.
  • Assisted and trained fund accounting team in administration and pricing functions for domestic and international mutual fund portfolios totaling over $5 billion in assets.
  • Audited various daily, monthly and annual financial statements.
  • Demonstrated proficiency in accounting for Daily Distribution funds comprised of Variable Rate and Fixed Income securities.
  • Prepared information for financial statements, annual audits and investment advisor use.

Education

Bachelor of Science in Business Administration

Suffolk University, Boston, MA

1990

Skills

Certified Anti-Money Laundering Specialist (CAMS)
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