AML Analyst Resume Samples

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M Rodriguez

Maida

Rodriguez

2848 McGlynn Junction

New York

+1 (555) 487 3380

2848 McGlynn Junction

New York

Phone

p +1 (555) 487 3380

Experience Experience

Philadelphia, PA

AML Analyst

Philadelphia, PA

Purdy LLC

Philadelphia, PA

AML Analyst

Supervise and manage the ICG AML Compliance Team as well as carry out BAU activities as well as ICG Projects driven by Region/Global and/or by Country. Examples of BAU activities include, and are not limited to, SAR investigations, AML advisory, EDD, AML & Sanctions program review, management reporting, Compliance Monitoring, Regulatory reporting & survey and other AML & Sanctions related tasks
Work closely with the Business and other key stakeholders such as Operations and Technology to identify and mitigate the risks associated with existing and new customer relationships with emphasis on higher risk customers and transactions
Review Asset reports (Early Payoff for loans /Overpayment Credit cards) on monthly basis (when reported by Operations team) and escalate Alerts requiring further investigations to respective units
Maintain learning of both local and global AML policy, therefore enabling you to contribute to debate to ensure that PPB’s policies and procedures meet local and global anti-money laundering standards
Maintain an awareness of developments regarding investigative technologies and techniques which would support new ways of detecting and exploring activity of interest
Work closely with payments, customer registrations/verification (KYC), fraud, VIP, Premium and other key stakeholders as part of the investigative process or to provide specialist advice
Carry out analysis and full investigatory casework in support of investigations; preparing necessary reports and information for relevant Financial Intelligence Units, law enforcement organisations, MOU partners or sports governing bodies

Philadelphia, PA

Bsa / aml Analyst

Philadelphia, PA

Kemmer, Runte and Romaguera

Philadelphia, PA

Bsa / aml Analyst

Provide assistance, support and management of projects as assigned
Prepares and maintains documents and reports to assist management in determining policies and procedures
Work with the Retail Deposits AML team, Risk/Fraud, and business management to ensure prompt remediation of any identified deficiencies
Assist in the development, presentation, administration and refresh of role specific periodic training for the Retail Deposits business
Provide assistance to internal or external auditors in compliance reviews
Provide assistance to other investigators when necessary/requested
Working knowledge of maintaining and monitoring Money Transmitter Licenses (MTL’s)

present

Philadelphia, PA

Senior AML Analyst

Philadelphia, PA

Metz, Luettgen and Kiehn

present

Philadelphia, PA

Senior AML Analyst

present

Day to day review of investor AML documentation and trade referrals
Effective filing and archiving of all AML documentation in line with regulation
Remediation of investor bases converted from other administrators
Remediation of older Investor accounts
Implementation of new Clients
Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
Relevant third level qualification

Education Education

Bachelor’s Degree in Banking

University of Delaware

Bachelor’s Degree in Banking

Skills Skills

Maintains professional knowledge of techniques and developments in the field of portfolio analysis and industry knowledge and awareness
Basic knowledge of applicable CIP/KYC rules and regulations within the U.S
Attention to detail and ability to learn and adapt quickly
Strong analytical skills and an attention to details
Excellent multi-tasking skills; ability to adapt to and manage changing priorities
Excellent programming skills and a strong understanding of programming concepts and techniques
Strong knowledge of SAS programming with an emphasis on data step processing, SAS/Macro and SQL
Strong organizational skills, effective time and priority management with attention to detail, accuracy and thoroughness
Highly organized and methodical with close attention to detail
Maintains professional knowledge of techniques and developments in the field of portfolio analysis

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GIU Aml-analyst Resume Examples & Samples

Independently conduct searches, gather data and record evidence from Citi internal systems, the internet and commercial databases
Excellent research skills, including experience with online research tools
Able to multitask and complete projects in a timely fashion

AML Analyst Resume Examples & Samples

Very good command of English – necessary for daily communication and correspondence
Strong analytical skills and focus on work accuracy – you’ll work on specific data – mistakes influence clients
Good understanding of Windows applications (Word, Excel, etc.) and Internet & commercial database searches – as they will be your everyday work tools
Good work organization, determination, ability to make decisions – your work will be very responsible and you will have to deal with serious cases
6 months experience in conducting researches / analysis or Banking / Finance / Business educational background – handling daily operations requires some basic knowledge
Stable employment (full time job) with non-wage benefits package (Medical Care, Multisport Card, third pillar)
Professional trainings necessary for the position held
Unique chance to start career and gain experience in fast growing AML field in a professional corporate environment
Work in a well-known international organization from financial area where you can practice your analytical & English skills

AML Analyst Resume Examples & Samples

First level investigation of transactions and customer information and documentation of findings
Immediate escalation of suspicious alerts to Senior Analyst/Team Leader
Raise and draft AIRs for Senior Analyst/Team Leader review and submission
Responsible for supporting the successful accomplishment of internal Risk and Control Self-Assessment (RCSA) program
Responsible for following integrated processes and procedures aimed at meeting internal and external regulatory and/or policy requirements

AML Analyst Resume Examples & Samples

First level investigation of transactions and customer information, and documentation of findings
Completion of alert checklists and assessment summaries, and propose recommendations for closure/escalation to senior analyst/team leader
Immediate escalation of suspicious alerts to senior analyst/team leader
University degree/diploma in any discipline

AML Analyst Resume Examples & Samples

Process coordination and management (in depth)
Legislative Compliance Management (working)
AML banking compliance (in depth)
Analytical Thinking (in depth)
Problem Solving (in depth)
Risk Management (in depth)
Organizational Understanding (working)
Resource planning (working)
Change management (working)
Financial and data analytic tools
Share Point (working)
Office automation tools (Excel, Powerpoint), Lexis Nexis etc
Professional risk management, compliance, accounting or auditing background or 2 years relevant experience in banking or financial services

AML Analyst Resume Examples & Samples

Conduct reviews and full investigations of the AML alerts and obtain feedback from the respective branches/unit (if required)
Review Asset reports (Early Payoff for loans /Overpayment Credit cards) on monthly basis (when reported by Operations team) and escalate Alerts requiring further investigations to respective units
Resolve AML monitoring issues under the guidance of the Manager
Retrieve documents/KYC documents/customer details from Citidocs & account activity from the banking systems required to complete the review and conclude the investigation. Ensure that there is timely action/resolution/quality disposition of AML alerts
Follow-up regularly on AML feedbacks/pending cases
Highlight any unusual/suspicious cases to the AML Unit Head/AMLCO
Update AML Unit Head with any discrepancy noticed in Actimize functionality or case generation while reviewing alerts
Review and approve high risk customers in accordance with established policies, procedures, standards
Perform the oversight/quality check reviews on outsourced activities & critical processes and escalate exceptions or issues as needed
Identify defects in the on-boarding process and communicate with the relationship officer to rectify identified defects
Gather & Submit required Monthly/Quarterly/Periodic/Adhoc MIS required
Maintain the Daily/Monthly/Quarterly/Annual AML files and other related documents wherever required & ensure these are retained as per the retention schedule
Perform ad-hoc research of client relationships in support of special requests
Provide support to related AML projects
The candidate should have sufficient banking experience
Citibank staff: To have at least 2 years of experience with good performance rating
A university degree, preferably with a banking background
Strong computer skills, particularly with respect to MS Excel

AML Analyst Resume Examples & Samples

Supports and assists Country AMLCO in the implementation of the Citi AML & Sanctions Policy, and the various Global AML Directives in the relevant Citi ICG business in China
Supervise and manage the ICG AML Compliance Team as well as carry out BAU activities as well as ICG Projects driven by Region/Global and/or by Country. Examples of BAU activities include, and are not limited to, SAR investigations, AML advisory, EDD, AML & Sanctions program review, management reporting, Compliance Monitoring, Regulatory reporting & survey and other AML & Sanctions related tasks
Ensures Citi's adherence to applicable AML laws and regulations in China with the development and implementation of a business-specific Global/Regional/Country AML Program
Participates meaningfully in regional/country AML initiatives to enhance and/or improve AML controls in the relevant business and/or across China Citi businesses, as applicable
Provide support and guidance to members of the ICG AML Compliance Team on the Regional ICG and Country ICG AML Programs, as applicable
Provide advice and guidance to the ICG business in China on possible ML/TF risks, and on the prevention, detection and reporting of suspicious activity as required by Citi AML polices and applicable local law
Coordinates and consolidates timely, complete and accurate MIS/Dashboard reporting of China ICG-specific AML issues, and any other reports as may be required
Keeps abreast of new trends and developments in the field of AML/CTF, as well as of legal/regulatory changes

AML Analyst Resume Examples & Samples

Relevant experience in professional risk management, compliance, accounting or auditing in banking or financial services. Analyst 1-3 years’ experience
Knowledge of corporate banking regulations and law
Knowledge of AML gaps
Attention to detail and ability to learn and adapt quickly

AML Analyst & Buco Assistant Resume Examples & Samples

To keep the CBSU Head informed on an ongoing basis of the quality of compliance in the business unit, compliance deficiencies, and the status of any corrective action
To ensure that there is timely action / resolution / quality disposition of Daily, Weekly, Monthly AML exceptions, Funds Transfers highlighted to the units
To ensure that High Risk customers are re-profile on annual basis
To ensure that all Compliance policy requirements are implemented in the units
To review the quality of account opening – KYC
To review the quality of corrective action including KYC/EDDs before sending to AML Unit
Communicate compliance policies, information and requirements to employees
Provide consultation and guidance to employees on compliance questions/issues, and/or refer employees to Country Compliance or legal resources as needed
Assist the business in developing solutions to potential issues involving compliance and regulatory risk
To provide compliance training in line with the business unit’s assessments of needs
Distribute appropriate compliance information and guidance to employees
Ensure that the business unit’s Self-Assessment Checklist, MCAs and procedures manuals are amended
Understand interdependencies between divisions to support processes through interaction with same level CBSU staff of other teams as required
Experience with challenging projects and comfort with contributing to a collaborative environment through knowledge sharing and mutual respect
Relevant experience with industry systems and platforms

AML Analyst Resume Examples & Samples

Act as first point of contact to end users for all application production incidents/defects
Accountable for triaging/documenting application defects before escalating to IT, liaise with application end users and IT to resolve application production incidents/defects
Document application production incidents/defects raised by end users including symptoms, frequency of occurrence and impact in HP Quality Centre (HPQC)
Keep defect records in HPQC up to date
Perform business testing to confirm resolutions to application production incidents/defects
Participate in implementation of the application production defect resolution
Perform business verifications post routine application infrastructure maintenance/upgrade
Respond to user inquiries regarding AML applications
Execute application administration work such as user access provisioning, periodic user access attestation etc. by following the documented procedures
Execute several daily/weekly/monthly repeatable business administration tasks according to documented procedures
Maintain procedures for application administration functions and ensure they are accurate and current
Build and maintain simple to moderate complexity MS Access, Excel macros, SQL queries or other End User Computing (EUC) solutions to assist GAML in achieving business goals
Provide input into operational impact assessments
Assist with business analysis of AML applications and identify, escalate, and document gaps/issues and provide recommendations
Assist with executing test scripts for Business Acceptance Testing (BAT)
Solid experience working on applications in the capacity of supporting end users and liaising with IT to resolve production incidents and triage defects
Strong analytical and problem solving skills with the ability to communicate with both business and IT partners
Highly proficient in building SQL queries, MS Access database and Excel macros
Possess a service-oriented mindset and strive to achieve customer satisfaction
Creative with a history of strong learning skills; uses these skills to find technology solutions to business problems
Demonstrated history of being self-motivated, energetic, results-driven, and executing with excellence
Experience with HPQC an asset
Experience working with AML Technology as an end user or a business stakeholder an asset
Knowledge of project management methodology an asset
Post Secondary undergraduate degree in a science or technology related field is considered an asset

Junior AML Analyst Resume Examples & Samples

Performing enhanced due diligence on current or prospective client relationships to identify potential risk
Handling sanctions related payments escalations from Treasury
Drafting and filing SARs, STRs and other regulatory filing when required
Draft policies and procedures
Conduct training on the relevant law, regulation and best practice
Prior brokerage experience with knowledge of financial markets and products would be advantageous
Prior AML, anti-bribery or anti-fraud experience

AML Analyst Resume Examples & Samples

Providing deep subject matter expertise to develop and enhance training for a high risk portfolio, subject to intense regulatory scrutiny
Delivering learning and development sessions and conducting train-the-trainer sessions for GAML executives
Maintaining current knowledge of global AML compliance training industry, regulatory and market trends and changes, advising Manager with respect to this information
Working collaboratively with GAML Subject Matter Experts (SMEs), gaining in-depth understanding of compliance content and policies for work assignments
Supporting the required analysis and development of learning recommendations and solutions for the assigned portfolio, advising the Manager and TD Learning & Development (L&D) on build requirements for design and content
Delivering and managing the redesign/new build of training content for the GAML Training working with GAML SMEs and selected Vendor including: All training content deliverables, meeting learning objectives and ensuring learner focused written content
Manage Vendor content development work packages managing all tasks, deliverables, resources, timelines, and critical success factors
Collaborates with peers to investigate, recommend and/or implement changes to the global GAML training learning strategies and business process
Apply innovation/creative problem-solving skills to enable issue resolution, when required
Develop the annual build of the GAML Training Program content with GAML partners; Investigation/interpretation of policies, regulations and any other relevant materials to develop training content to meet various GAML training course objectives
Manage relationships with external vendors and both internal/external SMEs to ensure content meets regulatory requirements; validate course content against established criteria
Monitor relevant GAML training KPI’s related to content and execute based on action plans to improve/deliver maximum results
Making recommendations based on the AML training industry hot topics, regulatory and market trends and changes and enhancing the program to remain aligned and current
Establish/maintain effective communication with stakeholders
Lead the development of training content for complex GAML training initiatives typically large in scale, strategic in nature: Working collaboratively with the TD L&D teams to constantly assess content for relevance and accuracy ensuring the training deliverables align to business/organizational needs and meet TD standards for execution and delivery
Identify problems/recommend solutions to ensure final training content/materials meet GAML training needs
Monitor Training Library content for accuracy/consistency and work with GAML partners to build sustainable training programs with appropriate effectiveness measures
Proven communication and facilitation skills to communicate effectively with compliance / risk management subject matter experts in determining training content
Excellent relationship management and communication skills to effectively manage relationships across many levels of the organization and multiple lines of business
Demonstrated experience translating complex information into concise, plain language
Demonstrated ability to work effectively with both internal and external clients
Extensive experience with Word, Excel, PowerPoint, Visio and Adobe Acrobat
Excellent interpersonal skills; ability to work as part of a team
Ability to manage multiple priorities, meet deadlines, and perform under pressure and within tight time constraints
Self-motivated, enthusiastic, organized, and a results-oriented person
Proven ability to work autonomously and make sound decisions
Develop process and procedures related to Global AML Training governance and content development for assigned portfolio

AML Analyst Resume Examples & Samples

Maintain current in-depth knowledge of U.S. P&C product offerings, operations and markets to facilitate line of business compliance with enterprise AML reporting requirements
Relevant experience in professional risk management, compliance, accounting or auditing in banking or financial services
Subject matter expertise in AML and risk control concepts in the context of broader disciplines such as Criminal Justice, Homeland Security, Intelligence Operations and practical application
Business writing skill

AML Analyst Resume Examples & Samples

Prior working experience in the Compliance field or the Legal field (Preferred)
Strong analytical, technical and writing skills
Strong communication skills in English, Chinese speaking is a plus
Organised and attentive to details
Team player and good communicator
Able to handle multi tasks and work to deadlines

Senior AML Analyst Resume Examples & Samples

Day to day review of investor AML documentation and trade referrals
Processing of daily queries as required
Timely follow up with investors regarding outstanding AML documentation and update of records in this regard, in order to be able to report effectively to investors, Clients, Auditors and Internal Compliance, regarding investor AML compliance
Effective filing and archiving of all AML documentation in line with regulation
Remediation of investor bases converted from other administrators
Remediation of older Investor accounts
Ongoing screening of investor against sanctions lists and appropriate internal and Client reporting based on results
Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
Client Service background an advantage
Planning and Organising / Scheduling
Funds Diploma or equivalent

AML Analyst Resume Examples & Samples

Strong analytical skills and an attention to details
Exposure to BSA/AML laws and regulations
Ability to work in an environment of extreme confidentiality with sensitive information
Demonstrate a discipline of continuous learning
Working knowledge of AML surveillance software, preferably Fiserv FCRM
Database creation/maintenance
Proficiency to identify and assess BSA/AML risks and articulate controls to mitigate risks

Gf Aml Analyst Resume Examples & Samples

Draft STRs, recommend relationship retention or termination, and track recommendations and account closures, as required
Assist in the execution and/or oversight of Manager’s Control Assessment at regional and/or country level(s)
Assist in the implementation of ad-hoc FIU projects
Conducting AML investigations, including undertaking customer transaction reviews and open source research, with the aim of identifying potentially suspicious activity

Gf Senior Aml Analyst Resume Examples & Samples

Conduct AML investigations and review investigative work performed by peers in relation to high risk customers
Lead ad-hoc projects and provide appropriate guidance to members of the project teams
Conduct research via available Bank systems and commercial databases, as well as the Internet
Responsible for communicating with senior managers, members of the Business and other Citigroup AML monitoring units to ensure findings are incorporated in all aspects of the AML control program
Conducting Know Your Customer (KYC) related tasks, particularly on high risk customers; and

KYC / AML Analyst Resume Examples & Samples

Collect and document data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data, plus any other required information to assist the investigation
Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge
Review and analyse underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear
3+ years of Know Your Customer or Anti Money Laundering experience

Capital Markets Aml Analyst Resume Examples & Samples

40% A. Business Delivery & Operational Effectiveness
15% B. Client & Relationship Management
25% C. Risk Management and Control
20% D. Change & Innovation
Execute assigned activities related to metrics and reporting deliverables as outlined in BMO CM AML MIS Metrics Reporting Handbook proactively and in a timely manner
Provide relevant metrics and data for operational review mechanisms as directed
Support functional, process and Service owners, as needed, in measuring, tracking, analyzing and reporting metrics that help assess performance of the financial, operational and business dimensions (e.g., Capability-level Availability data analysis and reporting)
Support the implementation and administration of tools and solutions related to metrics (e.g., Spotfire)
Provide requirements and hands-on involvement in automated metrics solutions
Ensure metrics’ data accuracy and integrity
Maintain high standards of integrity, customer service and team work
An undergraduate degree, graduate degree or professional designations would be beneficial (bachelor of science, computing technologies, process engineering)
6+ months bank/AML adjudication experience
Strong analytical skills with respect to statistics, thresholds, metrics
Knowledge of Capital Markets and the complex financial instruments this industry employs
Working knowledge of applicable Bank systems
Strong understanding of, and at least 2 years of experience in, metrics and data analysis. Statistical analysis skills a must
Advanced personal computer skills including: MicroSoft Office (especially Excel and Powerpoint), Visio. Experience with statistical analysis software such as Spotfire a plus)
Advanced knowledge of Sharepoint
Analytical Thinking (Moderate-Advanced)
Problem solving (Working)
Risk Management (Basic)
Document Drafting Skills (Moderate-Advanced)
Client facing relationship management (Moderate-Advanced)
Demonstrates initiative and takes ownership and accountability for project tasks/deliverables against aggressive deadlines
Results focused, willingness to continue learning
Ability to work under time constraints and ability to handle multiple tasks concurrently

Senior Aml Analyst Banamex Resume Examples & Samples

Three (3)+ years of experience and subject matter expertise on AML / BSA matters. A working knowledge of anti-money laundering laws and regulations is important to the performance of this position. The individual should be prepared to provide training in the monitoring of new products when they are implemented
Two (2) - Five (5) years quality review experience
Two (2)+ years experience working in Anti-Money Laundering with proven knowledge of unit operating policies and systems for all businesses supported
One (1) - Three (3) years experience in banking preferred
One (1) - Three (3) years previous AML Investigation and/or Compliance experience required
Strong teamwork skills and strong team-building skills
Acknowledged subject matter expert who exerts influence over staff members in the unit
Effective communication skills with all levels of Management both internal and external to CDD
Must be self-motivated and detail oriented, with the ability to juggle multiple competing priorities in a demanding environment
Develops effective senior line management relationships and can develop strong relationships with subordinates, peers, and senior managers
Self motivated/self-starter, can take initiative, can work independently without supervision and can step in to support other team members
Ability to focus on the delivery of high quality work while under pressure
Demonstrates commitment and accountability and is self-confident in executing responsibilities
Ability to accurately listen. Considers information and opinions from others in a non-judgmental way
Ability to partner with Compliance and International Banking to achieve common goals
Intermediate Microsoft Office Suite knowledge
Excellent performance management abilities
Strong analytical skills and administrative skills required
Strong Attention to detail necessary
Ability to make sound decisions that reflect good judgment
Exceptional influencing skills that inspire action without full reliance on authority
Bi-lingual -Spanish language skills required (must be able to read, write, and speak requisite language)

Aml Analyst Correspondent Banking Investigations Resume Examples & Samples

This job interacts regularly with frontline employees across CIBC’s SBUs for the purpose of obtaining information related to client relationship specifically with the employees within Global Banks
This job interacts regularly with peers within the AML group and in CIBC Corporate Security and Legal Division to ensure coordination of client risk assessment
Good understanding of anti-money laundering and terrorist financing framework with knowledge of regulatory requirements and sanction applications
Considerable knowledge of Correspondent Banking Relationships and the business activities
Ability to gather, organize and interpret data and/or information, and formulate preliminary conclusions
Time management skills to ensure all requests for information from lines of business are fulfilled in accordance to predetermined timelines
Ability to focus on client reviews while being able to manage the collection of data from the lines of business as it pertains to basic and enhanced due diligence
Effective communication skills in order to document the review and assessment of client relationships and effectively communicate conclusions
Good technical/computer skills; proficiency in use of Excel

Gf-aml Analyst Resume Examples & Samples

Perform AML investigations and compliance reviews (on-boarding and maintenance) in conjunction with countries/regions, particularly in relation to high risk customers
Document review findings, ensure awareness of conclusions and prepare a report of findings for Compliance and Business management
Familiar with AML typologies and risks associated with banking

Gf-aml Analyst Resume Examples & Samples

Handle sanction and name screening controls
Update of AML related policies
Update of latest regulatory changes
MIS reporting for AML / KYC related process
Assist in other ad-hoc projects as well as other tasks of the Compliance team
Minimum five (3) years’ experience in

Gf-senior AML Analyst Resume Examples & Samples

Present findings of investigations to senior managers of AML Compliance and other Citigroup units
Implement and/or provide oversight of Manager’s Control Assessment at regional and/or country level(s)
Conduct QA reviews of case files, case tracking logs and various AML processes

CIB KYC / AML Analyst Resume Examples & Samples

1) General
2) Administrative Support
3) Policy Support
4) Technical Skills Required

AML Analyst Resume Examples & Samples

Strong investigative and analytical skills
Must have knowledge of financial services industry
Must be comfortable with Microsoft Office Suite, databases, and internet search tools
Prior AML, Compliance, or account surveillance experience

Senior AML Analyst Resume Examples & Samples

Conduct testing of new transaction monitoring scenarios prior to production in order to provide quality feedback to our partners in Analytics and Compliance and within AML FIU Operations as to the
Effectiveness of the scenarios in identifying suspected money laundering, terrorist financing and other risks, (including sanctions risks)
Analyze STRs submitted to FINTRAC to provide feedback to, Analytics and Compliance partners to support adjustments to the production scenarios, markers for further scenario and modelling development and tuning
Provide specialized analytical support and insight to Transaction Monitoring, High Risk and Major Investigations
Partnering with AML Office colleagues to ensure that relevant MIS reporting supports the AML Office information requirements
35% A. Operational Effectiveness
5% B. Client & Relationship Management
30% C. Risk Management and Control
30% D. Change & Innovation

Capital Markets Aml Analyst Resume Examples & Samples

40% Risk Assessments
Support the VP to meet the inherent risk assessment expectations of the Enterprise AML Office across Capital Markets
Work as part of the AMLRO Testing team to perform testing engagements for LOBs and supporting control units for AML control design and operational effectiveness
Maintain a current understanding of AML issues, including policies, procedures, regulations, industry best practice, criminal typologies and developing trends
Support LOBs and operational groups in matters relevant to AML
30% Reporting
Assist the VP in identifying AML control deficiencies, recommending possible courses of action to ensure regulatory compliance and providing updates on the status of the AML Program by LOB
30% Risk Methodology
Support the VP to manage the ongoing enhancement and maintenance of the AML risk methods including procedure, processes and templates
2+ years work experience in the financial services industry including related work experience in one or more of the following disciplines: Operational Risk, Compliance, Legal or Audit. Prior experience with AML or Capital Markets would also be an asset
University degree, college diploma, or equivalent experience is considered an asset. Industry certification or designations in related areas of specialty is preferred (e.g. CAMS, MBA, CA, CMA, etc.)
Organizational Understanding - Good understanding of Capital Markets, AML regulatory and compliance requirements with strong ability to quickly grasp and identify applicability to a very wide range of business elements including products, services, operations and systems globally
Risk management – Understanding of AML risk or operational risk
Analytical Thinking – Ability to organize and bring order to data and information, drawing conclusions and making appropriate recommendations based on qualitative and quantitative data analysis
Communication - Ability to clearly communicate, both verbally and in writing
Self-Management – Ability to work independently, think critically, and manage deadlines while multi-tasking
Problem Solving - Ability to help identify potential solutions to management

AML Analyst Resume Examples & Samples

Solid working understanding of the industry, securities processing, and AML related regulations, as well as patterns of behavior that represent suspicious activity
Become familiar with AML risks presented to the Firm in order to address questions and present information to business partners
Apply logic and AML knowledge to investigations on a case by case basis, recognizing the subjective nature of each individual situation
Bachelor’s degree, preferably in business, finance, accounting, or criminal justice
Minimum of three years of experience in a financial services environment
Knowledge of regulatory/compliance risk management and anti-money laundering related requirements including BSA, USA PATRIOT Act, OFAC, and other applicable U.S. regulations
Advanced computer skills - previous exposure to database technologies a plus
Ability to execute consistently, and function independently as well as on a team
Ability to prioritize and manage multiple tasks while ensuring that assigned job responsibilities and department goals are met
Maintain accurate and complete records of actions taken with respect to job responsibilities
Ability to understand and efficiently analyze information from multiple sources
Ability to identify and escalate sensitive issues with discretion
Prior AML Operations or Compliance experience
Series 7 & 63 licenses
Certified Anti-Money Laundering Specialist

Senior AML Analyst Resume Examples & Samples

Conducting Anti Money Laundering and Know Your Client checks
Background checking of related parties - including the Entity, Directors and Shareholders etc
Manage the follow up of non-compliant investors
Assist team lead on various AML take on projects, reviewing holder documents, identifying deficiencies, contacting investors and system update, uploading documents to scanning system
Respond to Client and / or associated internal departmental queries in a timely, accurate and professional manner in accordance with departmental procedures
Maintain an up to date knowledge of Regulation impacting the industry and use this knowledge to identify opportunities to propose changes to our internal processes where relevant
Have at least three to five years' experience working within the financial services industry with an exposure to AML / KYC processes
Be computer literate - in particular with MS Excel

AML Analyst Resume Examples & Samples

Minimum 3 years' experience within Retail Banking environment
Knowledge of working within a AML/CDD/KYC team
AML & Fraud Transaction monitoring experience essential

AML Analyst Resume Examples & Samples

Provide AML advisory including clarification and advice on AML relevant policies and procedures
Perform monitoring duties on AML monitoring system and reviews on customer activities and accounts
Perform AML monitoring quality assurance and oversight reviews on alerts closed by first-level team
Coordinate and prepare MI report
Assess escalated sanctions and embargo transactions

Trade Control & AML Analyst CDD Year Resume Examples & Samples

Monitor client trading activity from market timing and late trading perspective
Performing investigations aimed at assessing the impact of short-term trading and frequent trading patterns on the funds
Identify institutions/retail investors with trading patterns that exceed industry standards, assist in researching these institutions to determine the rationale behind their trading patterns
Communicate and interface with other business divisions regarding trade activity, assist in escalating and reporting identified breaches and recommend solutions
Perform regular controls aimed at preventing fraudulent activity on investor accounts, investigate suspicious activity, report findings and assistance in development of new fraud controls as required
Perform Anti-Money Laundering, work closely with AML team on investigations and any enquiries on AML related matters
Ongoing Team related responsibilities including participation in projects and assistance to Global Risk & Control team in India when required
2-3 years’ experience in mutual fund or financial services, bachelor degree is preferred
Fluent written and verbal communication in English
Advanced skills in the use of Excel and Access
Ability to develop and maintain a risk based assessment process
Excellent interpersonal skills, ability to work in an independent manner, strong attention to detail and quality driven
Ensures solutions are consistent with organization objectives, ability to recognize and communicate potential issues impacting the organization

AML Analyst Resume Examples & Samples

Process in a timely manner the preparation of SARS
Prepare documents upon the receipt of Production Orders and other legal Orders
Review transaction monitoring reports
Conduct Ehanced Due Dilgience ( EDD) on High Risk Applications
Carry out complex investigations
Keep abreast of any new / pending regualtions, assess and advice business impact
Proactively develop appropriate relationships with the front and back office
Maintain timely and accurate record-keeping in respect of all aspects of the AML programme
Collating and documenting Financial Crime MI
Provide assistance to the other Fiancial Crime Team members as and when requested to do so
Strong AML Investigation skills
Experience in reviewing transactions
Well versed in AML and Terrorist financing trends
Able to lead and conduct complex investigations
Sanction / PEP experience
Customer Due Diligence
Must be currently in a AML role
Experience in dealing with Law Enforcement
Foreign Exchange / Payment Services experience (nice to have)

AML Analyst Resume Examples & Samples

To assist and facilitate research and investigation of potentially cases of AML interest / escalations
To facilitate completion of STR template in prescribed FIU-IND format in comprehensive manner
Sound understanding of RBI regulations
Strong verbal and written communication Skill

Bsa / aml Analyst Resume Examples & Samples

Reporting to, at the direction of, the Bank’s BSA/AML/OFAC Compliance Officer, or his/her designee, this position is responsible for performing Retail Deposits AML oversight activities and providing guidance and support to the Retail Deposits business to ensure adherence to applicable laws, regulations, and internal policies and procedures
Review and disposition escalated OFAC, sanctions, Politically Exposed Persons (PEP), and 314(a) screening potential matches generated within FircoSoft as well as those escalated by the Retail Deposits business teams
Monitor the Bank’s currency transactions to ensure that Currency Transaction Reports (CTRs) are filed in a timely manner and in line with regulatory requirements
Maintain the Retail Deposits High Risk Customer List by working closely with the Retail Deposits business
Provide guidance and advise the Retail Deposits business on how to manage BSA/AML/OFAC risk presented by business as usual processes, including transaction monitoring and suspicious activity reporting, Know Your Customer (KYC), OFAC and other watchlist screening, currency transaction reporting, and record keeping
Provide assistance to the BSA/AML/OFAC Quality Control (QC) Analyst as needed by performing QC tests as directed
Assist in the development, presentation, administration and refresh of role specific periodic training for the Retail Deposits business
Support the Retail Deposits business in connection with regulatory projects and preparation efforts to address requirements or requests from the various governing regulators, internal audit or other internal testing teams
Work with the Retail Deposits AML team, Risk/Fraud, and business management to ensure prompt remediation of any identified deficiencies
Assist with special projects as directed by the BSA/AML/OFAC Compliance Officer, or his/her designee
Other duties & functions as assigned
2+ years of Compliance or AML experience
Working knowledge of general banking policies, procedures, and operations in addition to Synchrony Bank products/services
Experience with performing transaction monitoring investigations, OFAC and sanctions screening, 314(a) name searches, and Customer Due Diligence/Enhanced Due Diligence preferred
Strong writing skills and attention to detail to complete reports and analyses
Ability to execute and to manage multiple projects concurrently
Ability to work independently and in a matrixed organization
Team player in fast-paced, high-energy environment
Knowledge and experience with FircoSoft, Actimize and Microsoft Office (Excel, Word, Power Point and Access)
ACAMS Certification a plus

AML Analyst Resume Examples & Samples

Perform AML/ KYC due diligence on a range of institutional investor types with different legal structures from all jurisdictions to support the Hedge Fund Administration business
Respond to standard queries and requests from investors in a timely and efficient manner
Reporting to Investors and Investment Managers (Hedge Fund Clients) at various intervals during completion of the AML/KYC clearing process
Work to tight deadlines, particularly at month end to ensure the AML/KYC due diligence is fully completed on time with complete accuracy
Work closely with Compliance Department on a daily basis to review any investors who appear on their sanctions screening list overnight
Keep up to date on current Anti Money Laundering and Counter Terrorist Financing legislation

Cbsu-aml-analyst Resume Examples & Samples

To contact clients over phone and obtain the necessary information for fulfilment of CDD dispositions
Education (Required)
Graduate/post graduate
Experience in quick screens and/or Mantas, O&T and controls would be preferred

AML Analyst Resume Examples & Samples

On-boarding of new clients and review of existing clients
Communicating professionally and confidently with stakeholders including colleagues and front office relationship managers as part of the on-boarding and client review process
Perform accurate risk assessments on new and existing clients, making sound judgement calls in terms of escalation and risk mitigation
Performing PEP, Sanction and Negative Media screening and analysing the results to eliminate or confirm matches
Manage own workloads and meet deadlines determined by the urgency of new on-boarding requests or due dates for existing client reviews
Participation in ad hoc and project work as required e.g. remediation projects, process changes
Proven experience of KYC analysis of complex structures such as SPV's and Hedge Funds is essential
Proven working knowledge of AML requirements for on-boarding clients, with some knowledge of the JMLSG and the Money Laundering Regulations
Proven experience of PEPs, Sanctions and Negative Media screening
Experience of performing no financial crime categorisations of clients e.g. MiFID, FSCS, FATCA, EMIR
AML Certification desirable

AML Analyst Resume Examples & Samples

Ensure compliance with the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010 including but not limited to
Transaction monitoring across a number of portfolios
Screening for prohibited persons and PEPs
Ensuring customer due diligence requirement are met
Delivery/training of AML policy and procedures to relevant business functions
Keep abreast of changes to legislation, regulatory and industry guidelines, and manage the implementation of same
Preparation of suspicious activity reports for communication to relevant authorities
Input to Operational Risk framework and risks and controls for AML
Use qualitative and quantitative approaches to establish relevant management information, key reports and metrics
Provision of advice to the business
Attendance at external meetings as required. May include with regulators, clients and industry forums
Input into AML framework and to annual Compliance & Operational Risk plans
Provide support to Compliance & Operational Risk function across multiple areas as needed. This may include monitoring, testing, production of MI, issue tracking etc
3rd level education in an economic or numerical discipline and/or relevant professional qualifications
Previous experience in similar role
AML qualification or Licentiate of the Association of Compliance Officers of Ireland (LCOI) (desirable)
Relevant experience/knowledge of business functions and systems relevant to AML

AML Analyst, Client Due Diligence Center Resume Examples & Samples

Execute the CDD Center program in accordance with AML Policies and Procedures
Perform periodic AML / ATF client due diligence reviews of existing clients and applicants in accordance with the Global AML / ATF and Sanctions Policy and in the Client Due Diligence and Acceptance Procedures
Conducts daily screening and review of Visa clients, vendors, and other entities against U.S. Treasury OFAC, United Nations, U.K. HM Treasury and European Union sanctions lists
Actively works with clients to identify potential AML program element gaps and remediation plans
Ensure close communication and information sharing with Compliance colleagues
Working knowledge of global AML regulations and regulatory expectations
Excellent research and analytical skills
Proficiency in MS Suite with advanced knowledge of MS Excel and PowerPoint
Superior record keeping and organizational skills as well as attention to details

AML Analyst Resume Examples & Samples

Three + years of experience in a financial services/banking environment, with specific experience in AML or Compliance
Knowledge of regulatory/compliance risk management and AML related requirements including BSA, USA PATRIOT Act, OFAC, and other applicable U.S. regulations
Possess an understanding of the financial services industry, AML related regulations, and s patterns of behavior that represent suspicious activity
Knowledge of the securities industry and how it can be used for money laundering in order to provide effective guidance to other members of the department
Advanced computer skills - previous experience with databases and querying capabilities a plus
Demonstrate reliability, confidence, self-direction, flexibility, and strong attention to detail
Series 7 & 63 or 66 licenses
CAMS designation
Employee oversight or supervisory experience
RBC maintains consistently high credit ratings: S&P: AA-; Moody’s: Aa3; Fitch: AA; DBRS: AA (as of July 31, 2014)
Based on market capitalization, RBC is the 12th largest bank in the world and the fifth largest in North America. (Bloomberg as of August 20, 2014)
RBC employs more than 79,000 employees who serve more than 16 million personal, business, public sector and institutional clients through offices in Canada, the U.S. and 40 other countries

GIU AML Analyst Resume Examples & Samples

Conduct enhanced due diligence investigations in support of policies and procedures
Conduct investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements
Two plus years experience in reviewing customer transactions for potentially suspicious activity and performing AML related investigations
Strong writing, analytical, and communication skills
Proficiency in English and Polish language
Knowledge of another European language will be an advantage

AML Analyst Resume Examples & Samples

Min. 3-5 years of relevant experience such as internal/external audit, compliance, AML, financial services industry or regulatory experience
Understanding of AML regulatory and compliance requirements with strong ability to quickly grasp and identify applicability to a wide range of business elements including products, services, operations and systems globally
Extensive analytical skills; ability to organize and bring order to data and information, drawing conclusions and making appropriate recommendations
Excellent interpersonal and relationship management skills
Confident and comfortable interacting with all levels of employees within TD
Ability to work independently, think critically, and manage deadlines while multi-tasking
Ability to operate in an evolving, often ambiguous environment
Proficient in Word, Excel, and PowerPoint

AML Analyst Resume Examples & Samples

Review CDD dispositions post review by branch teams
Work with branch teams to enhance quality of review by training and guidance on quality of reviews by sharing policy details and guidelines
Any Graduate/Post Graduate

AML Analyst Resume Examples & Samples

Assists leadership with escalating potential compliance driven risks
Operational leadership and diplomacy skills
Prior experience in a production operations environment

AML Analyst Resume Examples & Samples

CDD dispositions
To perform CDD/account activity review for high risk accounts in line with the in-country procedure
To conduct research and gather information available on bank records/public domain as necessary for fulfilment of CDD dispositions
To liaise with RMs on the phone to gather additional information for completion of due diligence
3-4 years

AML Analyst Resume Examples & Samples

Expert knowledge of SAS, SQL is essential
Strong knowledge of Microsoft Office suite, including Excel and PowerPoint
Excellent written and oral communication, analytical, problem solving and interpersonal skills, including ability to communicate with individuals from various backgrounds
AML knowledge is an asset

AML Analyst Resume Examples & Samples

Well-developed written and oral communication skills, and strong customer service skills
Broad knowledge of banking and financial services products and procedures
Ability to work independently and with minimal supervision in a fast paced environment
Experience within financial crime, risk or compliance environment preferred
Anti-Money Laundering and/or Counter Terrorism Financing (AML/CTF) knowledge preferred

AML Analyst Resume Examples & Samples

Dynamic woking enviroment
Excellence opportunity to be part of a grawing business
Contribute to super regional goal

AML Analyst Resume Examples & Samples

Monitoring and timely detection of suspicious activity
Ability to adapt to changing regulations especially to sanctions
Keen eye for detail and an investigative nature to pick up small anomalies
Ability to coordinate and prioritise tasks efficiently
Hands on AML experience within a banking environment
Possess extensive working knowledge in local AML regulations
Working knowledge using Excel and MS Office skills
Proficient interpersonal skills
Demonstrated experience to work collaboratively within a team

Global Investigations Unit AML Analyst Resume Examples & Samples

Independently assess and analyse research results and conduct complex data analysis applying background knowledge and experience
Coordinate with Citi Points of Contact as needed to identify additional information for GIU case analysis
Obtain guidance from Senior Analysts or Regional Coordinators when necessary
Four Year College Degree (or equivalent experience)
Post Graduate Degree – desirable
Significant experience in reviewing customer transactions for potentially suspicious activity and performing AML related investigations
Significant experience in reviewing and approving Know Your Customer (KYC) files for complex banking products, performing analysis of customer information/transactions, conducting customer reviews and preparing Suspicious Activity Reports (SARs)
Knowledge of the laws applicable to money laundering, including the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC, FinCEN requirements, and SAR requirements
Advanced proficiency in Microsoft Office (i.e., MS-Word, MS-Excel, MS-Access, MS-PowerPoint and MS-Outlook)
Ability to multitask and complete projects in a timely fashion
Proficiency in English language

AML Analyst Resume Examples & Samples

Review, investigate and document research and decisions related to AML transaction monitoring system alerts, investigations, and referrals daily to investigate identified suspicious activity
Analyze documentation to substantiate or refute the fraudulent or suspicious activity, and document conclusions by preparing a narrative of investigation findings which is written and documented for review, approval and submission to the appropriate governmental agencies
Internal, and possible external customer contact/communication with branch operations and/or Relationship Manager to obtain missing information, and for any questions concerning their review and/or questions the customer may have concerning an account and/or processes/procedures
Perform data mining exercises to assess transactional and customer risk, and generate tailored to different audiences for BSA / AML and bank management

AML Analyst Resume Examples & Samples

Comply with Regulatory Reports associated with AML
Coordinate the execution and reporting of Corporate Policies (CGE, AB&C, COB, RMP)
Execution and documentation of screening requests from Regulator, Global AML and any other Compliance related area
Analysis and documentation of alerts escalated to level country (L2 alerts and Orchestria monitoring)
Coordination of Regulatory Control Matrix Policy
Coordination of MCA process for the Compliance Unit Entity
Assure that all expenses regarding Compliance are documented and paid accordingly
Provide training and guidance on Compliance Corporate Policies and AML matters
Participate in GBRC
Banking Environment experience in areas such as Compliance, Operations, Controls, Audit or similar
Compliance and Control Experience
Solid knowledge regarding risk and control assessment
Results-driven person with strong communication skills
Excellent client interaction skills

Gf-aml Analyst Resume Examples & Samples

Perform AML investigations and compliance reviews (on-boarding and maintenance) in conjunction with Citi Businesses, particularly in relation to high risk/SPF customers and as required by policy
Assist in the implementation of ad hoc projects
The ability to work effectively, under pressure, in a rapidly changing environment, as well as autonomously and as an effective member of a dynamic team

Bsa / aml Analyst Resume Examples & Samples

Review systematic regulatory alerts and investigate transactional activities to detect any suspicions of money laundering or terrorist financing activity
Conduct enhanced due diligence investigations in support of policies and procedures, aimed at meeting internal and external regulatory requirements
Report unusual client activities which might relate to money laundering or terrorist financing activity
Working knowledge of maintaining and monitoring Money Transmitter Licenses (MTL’s)
Identify compliance issues that require follow-up or investigation
Maintain external awareness of research trends, information, and techniques related to money laundering, and communicates to appropriate levels of the AML Compliance organization
Create / Maintain regulatory cases
Helps monitor activities within AML Operations to ensure compliance with applicable internal policies and procedures and external regulations
Apply, adapt and share knowledge (obtained from training) of any imposed sanction(s) or laws/regulation(s)
Provide additional support with the AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions and systems as appropriate
Maintaining a Compliance Risk Management framework related to the Bank Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC), including review of documents and transactions for Suspicious Activity Report (SAR), Currency Transaction Report (CTR) filings with FinCen and other BSA/OFAC requirements
Ability to work to resolution compliance-related problems encountered
Provide assistance to internal or external auditors in compliance reviews
Provide assistance to other investigators when necessary/requested
Provide assistance, support and management of projects as assigned
Complete assigned training by required due date
1+ years’ experience in BSA/AML Compliance, preferably related to performing enhanced due diligence reviews of high risk clients, reviews of client transactions and/or AML investigations
Knowledgeable of the laws applicable to money laundering, including the Bank Secrecy Act, CIP, REG E, The USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements
Background in Banking, Finance and/or Business background with a general understanding of Senior Public figures, Money Service Businesses, Wealth Management and Retail as well as compliance with those business segments is preferred
Self-starter, organized, with the ability to work independently and without supervision
Excellent attention to detail and follow-up skills required
Demonstrated ability to perform detailed analysis of raw data, reach a logical conclusion about the nature of the activity and document a well written, fact based and persuasive conclusion based on policy and work instructions

KYC AML Analyst Hungarian Resume Examples & Samples

Collecting and reviewing information regarding Client's profile, news from internal and external sources
Escalating any negative news and high risk scenario and highlighting the discrepancies to supervisor
Updating internal database tracker on timely basis

AML Analyst With English & Arabic Resume Examples & Samples

Very good command of English — necessary for daily communication and correspondence
Very good command of one of the following: Russian or Arabian or French
Strong analytical skills and focus on accuracy — you’ll work on specific data and any mistakes affect clients
A higher education diploma (at least Bachelor’s or Engineer’s degree)
The ability to analyse large volumes of data based on procedures or instructions — you will face challenges that can help you grow
A good understanding of Windows and office suites (Word, Excel, etc.), ability to use the Internet and execute commercial database searches — they will be your everyday work tools
Good work organization, determination, and the ability to make decisions — after all, your work will be very responsible and you will have to handle serious cases

AML Analyst Bank Risk Management Resume Examples & Samples

Bachelor's degree, preferably in finance
2-3 years of experience in the financial services industry
Experience with regulatory compliance activities, risk management, audit and other similar control-related experience a plus
Knowledge of and experience with federal and state AML regulations, including OFAC, the Bank Secrecy Act, and the USA PATRIOT Act
Effective oral and written interpersonal communication skills
CAMS certification is a plus for this role
Strong organizational and analytical skills, with the ability to manage multiple priorities simultaneously

AML Analyst Resume Examples & Samples

Promoting a "culture of compliance" to ensure efficient and effective risk and compliance management practices by adhering to required standards and processes
Learn investigative techniques quickly and apply them to AML reviews for our products which may lead to filing suspicious activity reports as required by law
Producing determinations that are well documented and excellent quality
Support AML program requirements related to controlling risk to the company and to our "communities." This includes operating new internal controls and working with AML systems and processes to mitigate these risks
Adapt to regulatory changes or emerging industry best practices
Provide input as a team member to various risk assessments for our AML/CTF Program
Ensure we are meeting our objectives and key results for the department and help the department achieve its key performance indicators (KPI’s)
From time to time you may be asked to help provide various compliance training on policy and operations training relating to the AML/CTF Program, specifically, AML investigations and SAR filing processes
May be a team member on a project or operational basis that may include XFN teams and or vendors

Bsa / aml Analyst Resume Examples & Samples

Prepares and maintains documents and reports to assist management in determining policies and procedures
Ensures compliance with BSA/AML related laws and regulations and identifies matters of non-compliance and escalates them as necessary for resolution
Identifies unusual activity and creates referral packages for investigation and review by the Investigations Unit of BSA/AML Monitoring and Reporting Operations
BSA / AML Compliance team members will collect enhanced due diligence by conducting new and/or periodic reviews of high risk customers
Knowledge of the Banks mainframe systems and applications

AML Analyst Resume Examples & Samples

Use effective decision making to recommend if a relationship should continue with a customer
Investigate customer information using a range of data providers, public information and verbatim information
Assess AML risk of a customer and update systems and take necessary action
Identify problem cases and recommend appropriate action to minimise risk

AML Analyst Resume Examples & Samples

1-3 years’ experience in AML/CFT roles, preferably in the life insurance industry. Fresh graduates will be considered
Diploma / Degree
Strong research skills and detail oriented
Strong writing, analytical, and communication skills. Organized and have the ability to work independently

AML Analyst Resume Examples & Samples

Good written and verbal skills
Good interpersonal and communication skills and the ability to interact with a diversity of professionals and staff members
1 + years banking experience within retail or operations, basic knowledge of banking and bank systems
1 + years knowledge of AML, basic understanding of AML procedures within banking

AML Analyst Resume Examples & Samples

Able to achieve both immediate and short term goals with appropriate supervision, ensure smooth work flow and meet operational deadlines
AML Certification preferred
2 + years, banking experience within retail or operations, basic knowledge of banking and bank systems
2 + years, AML knowledge, working knowledge of AML or Bank Secrecy procedures

AML Analyst Resume Examples & Samples

Identify and escalate potential risks and operational issues
Explain and challenge the outcome of individual cases
Respond to a defined range of customer requests from a number of solutions

AML Analyst Resume Examples & Samples

Ability to effectively communicate to the Branches or Customers by phone
Available to work flexible hours up to 6:00 CST
Ability to work independently and use sound judgment

AML Analyst Resume Examples & Samples

Minimum 3 years as a Programmer/Developer, with specific emphasis on reporting
Excellent programming skills and a strong understanding of programming concepts and techniques
Knowledge and experience in optimizing reports and queries to increase efficiency as well as working with underlying data models
Strong knowledge of SAS programming with an emphasis on data step processing, SAS/Macro and SQL
Strong organizational skills, effective time and priority management with attention to detail, accuracy and thoroughness
Ability to deal with complex problems in a fast paced, dynamic environment with stringent deadlines
Proficient with VBA and Excel/Access Macros
AML knowledge considered as an asset

AML Analyst Hrac Resume Examples & Samples

Bachelor’s Degree and/or equivalent experience
Review of complex business formation and governance documents
Advanced written and oral communication skills with the ability to summarize findings and present in a clear concise manner to peers, direct and senior level management

AVP, AML Analyst Hrac Resume Examples & Samples

The selected candidate may also be required to assist the team manager in gathering information for reporting purposes and assist with special projects, along with completing specified tasks from end to end
Minimum 3-5 years of Financial Crimes, AML Investigations, or Operational Risk experience
Ability to contribute, support, and lead efforts to achieve department/ business unit goals, up to and including recommendations to changes in policy and procedures resulting from review findings, participate in leadership level meetings, and quality assurance review of analyst case work
CAMS/CFE certification

Risk AML Analyst Resume Examples & Samples

Knowledge of common AML Typologies
Corporate compliance program development, analyses
Attention to details in executing and reviewing work products to establish the highest quality deliverables in the allotted timeframe
Integration and synthesis of information from multiple sources, including business domain knowledge, in order to analyze complex data and results, anticipate issues and solve problems; and,
Promotion and driving toward standardization of service and/or solutions delivery and activities to provide efficient client service
Investigation of potential suspicious activity, leveraging transaction monitoring solutions; and,

GIU Aml-analyst Resume Examples & Samples

Conduct investigations / assessments using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements
Participate in the generation of GIU metrics and the management / maintenance of GIU trackers
Obtain guidance from Senior Analysts, Team Lead or Regional Coordinator when necessary
2 years of experience in reviewing customer information for potentially suspicious activity and performing AML related investigations / assessments
Knowledge of international typologies, FATF Recommendations, and Regulations related to Anti Money Laundering topics
Ability to communicate in English with Global teams (including calls, emails, and documentation)

Gf-aml Analyst Resume Examples & Samples

Laws and regulations applicable to money laundering in Singapore, as well as the Bank Secrecy Act (BSA), the USA Patriot Act, OFAC, FinCEN requirements and Suspicious Activity Report (SAR) requirements and guidelines; and
The Recommendations of the Financial Action Task Force on Money Laundering (FATF), including recent FATF Annual Reports
Conducting Know Your Customer (KYC) related tasks, particularly on high risk customers; and preparing/reviewing and/or filing Suspicious Transaction Reports (STRs)

Gf-icg AML Analyst Resume Examples & Samples

Supports and assists ICG AMLCO in the implementation of the Citi AML & Sanctions Policy, and the various Global AML Directives in the relevant Citi ICG business in Singapore
Perform BAU activities as well as ICG Projects driven by Region/Global and/or by Country. Examples of BAU activities include, and are not limited to, SAR investigations, AML advisory, EDD, AML & Sanctions program review, management reporting, Compliance Monitoring, Regulatory reporting and other AML & Sanctions related tasks
Ensures Citi’s adherence to applicable AML laws and regulations in Singapore with the development and implementation of a business-specific Global/Regional/Country AML Program
Assist the respective businesses within the ICG to develop effective AML programs, including programs to provide AML training to appropriate personnel within the business
Collaborates closely with Technology and Operations on the implementation and management of effective policies and processes for the performance of KYC and AML monitoring, as well as the production of relevant AML metrics
Participates meaningfully in regional/country AML initiatives to enhance and/or improve AML controls in the relevant business and/or across Singapore Citi businesses, as applicable
Provide support to members of the in-country AML Compliance Team on Regional ICG and Country ICG AML Programs, as applicable
Provide advice and guidance to the ICG business in Singapore on possible ML/TF risks, and on the prevention, detection and reporting of suspicious activity as required by Citi AML polices and applicable local law
Coordinates and consolidates timely, complete and accurate MIS/Dashboard reporting of Singapore ICG-specific AML issues, and any other reports as may be required
Minimum five (5) year of the working experience with at least (2) years in AML Compliance
Good degree from a recognized university in Accountancy, Banking, Business, Economics or Law

AML Analyst Resume Examples & Samples

Maintains current knowledge of U S anti-money laundering rules and regulations
Ensures that employees follow the policies and procedures listed in the Cathay Bank AML Compliance Manuals
Utilizes AML Tracking software systems and other reports to detect suspicious activities
Updates Master Logs
Reviews periodic customer account activities for monitoring processes including but not limited to
Education: Bachelor’s degree preferred. Commensurate work experience considered
Experience: Thorough knowledge of AML and OFAC guidelines preferred
Skills/Ability: Proficient in MS Word and Excel. Ability to read, understand and translate simplified Chinese characters is a plus. Strong verbal and written communication skills. Ability to work independently and in a team environment. Working knowledge of Bank Operations including International and Foreign Exchange. Possess good organization skills and attention to detail. Proactive in identifying potential concerns and following up to resolve such issues. Ability to research and make appropriate decisions regarding complex cases

AML Analyst Resume Examples & Samples

Knowledge of the laws applicable to money laundering, to include the BSA, The Patriot Act, U.S. Treasury AML guidelines, OFAC requirements and Suspicious Activity Reporting requirements
Investigations - Conduct AML Investigation consistent with Ally SAR policy and Investigations procedures. Performs account/transaction research as needed. Conduct background investigations as required
Prepare and complete forms for regulatory requirements as needed, including accurate and sufficient narratives
Review and research suspect items and/or transactions and report suspicious activity as required
Communicate with AML Compliance Manager any customer activities and trends that could implicate potential money laundering or terrorist financing
Performs routine compliance tasks and deals with routine compliance issues, typically concerning documentation, reporting, etc. May assist in monitoring regulatory issues. Follows established guidelines and procedures
Analyzes issues and uses judgment to make decisions. Escalates non-standard problems or issues
Miscellaneous duties as assigned
Bachelor's degree or related work experience
0-2 years of experience, financial industry or regulatory compliance experience with an understanding of federal consumer banking laws and regulations and best practices preferred
Strong organizational skills; ability to prioritize workload and balance multiple duties and work in a fast paced environment
Ability to work both independently and cooperatively on project teams
Proficiency in MS applications: (Microsoft Office)

AML Analyst Resume Examples & Samples

To assist and facilitate research and investigation of potentially AML investigations/escalations
To facilitate co-ordination with business / BUCO/RM’s for inputs required in research / investigation
To ensure that there is timely action/resolution/quality on disposition of AML alerts
To ensure timely resolution of cases and filing of suspicious activity report to the regulator
Highlight any unusual/suspicious cases to the AMLCO
Understanding of Mantas scenarios and thresholds and the capability of assessing those against the local market and local regulatory environment
To co-ordinate and keep an effective oversight on AML monitoring hub in Poland
Collaborate closely with the Regional and Local AML Teams in the implementation and management of effective AML transaction monitoring policies and procedures
To support and assist the AMLCO and the compliance head in the implementation of the Citi AML Policy, and the various Global AML directives and projects
To coordinate and consolidate timely, complete and accurate MIS/Dashboard reporting’s related to and any other reports as may be required
Bachelor degree from a recognized university in Accountancy, Banking, Business, Economics or Law
3-5 years in the financial services industry
Strong verbal and written communication and presentation skill
Strong interpersonal skills with ability to effectively interact with cross functional teams, management and front line associates
Good analytical, process management and implementation skills
Comprehensive knowledge of Citi Global AML Policies and Control standards and policies, as well as the relevant Global GCB AML Program and policies
Familiar with ML/TF typologies and risks associated with the relevant Citi business
Ability to interface and partner with Compliance/AML/Control/Technology/Operations and Business across countries
Ability to multi-task and execute tasks with a sense of urgency and with the ultimate goal of delivering tasks on time
Independent and works with minimum supervision
Proactive execution of priorities and goals

AML Analyst Resume Examples & Samples

5+ years’ experience in AML in Financial services. Internal candidates with strong similar or related experience will also be considered
Strong understanding of AML Policies and regulatory framework and experience with KYC and Account opening process
Hands on experience in establishing and maintaining appropriate systems of risk management and internal controls to support business objectives
Ability to self-identify issues and effectively own risk management for the business
Excellent oral and written communication skills, including internal communications to the Elavon Senior Leadership team and US bank
Project management/coordination experience that facilitates the successful delivery against a complex agenda of tasks
Extensive collaboration skills and an ability to manage through difficult situations in a manner which ensures the business achieves its goals
Attention to detail, with an ability to analyse and make sense of large amounts of information
Understanding of AML processes on Screening/ Risk scoring models/Enhanced due diligence(EDD) /Transaction monitoring
Play a key role in the AML/KYC control enhancement plan
Lead in the tracking and resolution of AML issues
Working with the business in Documenting corrective actions
Working on the corrective action plans for identified AML/KYC issues
Running of regular governance on issue management
Liaise with Compliance and Audit function for testing of issue remediation
Project management for meeting applicable milestones
Understanding of the AML risks
Understanding the applicable KYC Policy for Elavon

GIU Aml-analyst Resume Examples & Samples

Assisting on the conduction searches, gather data and record evidence from Citi internal systems, the internet and commercial databases
Assisting on the assessment and analyze research results and conduct complex data analysis applying background knowledge and experience
Perform enhanced due diligence investigations in support of policies and procedures
Perform investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements
Bachelor´s studies completed and 1 year of experience
Experience in AML topics (including reviewing customer transactions for potentially suspicious activity and performing AML related investigations)

Gf-senior AML Analyst Resume Examples & Samples

Conduct AML investigations and review of escalation from Citi Business and AML Hub
Perform compliance reviews (on-boarding and maintenance) in conjunction with Citi Businesses, particularly in relation to high risk/SPF customers and as required by policy
Implement and/or provide input of Manager’s Control Assessment at country level
Excellent research skills including experience with online research tools and databases

AML Analyst Resume Examples & Samples

Experience in Anti Money Laundering (AML)
A degree in banking, economics or finance
Strong interpersonal skills and the ability to work collaboratively

Bsa / aml Analyst Resume Examples & Samples

Perform analytical reviews for suspicious activity or potential OFAC matches generated by various surveillance delivery channels to make a determination if further investigation is necessary or if a SAR required. Ensure all SARs are prepared and filed with FinCEN on a timely basis. Make assessments of suspicious activity and collaborate on SAR decisions for reporting with management and the BSA Officer
Responsible for all aspects of the case investigations: Complete thorough and objective investigation reports, evaluation of evidence, recommendation on SAR or no SAR decision, preparation of supporting documentation, and completion of case file providing detailed notes and SAR narratives
Assist the Senior BSA/AML Analyst with BSA/AML and/or OFAC compliance related issues, procedures, as well as daily regulatory reporting. Utilizes available bank systems to monitor, process and analyze information and file required reports in an accurate and timely manner
Reviews system generated Currency Transaction Reports (CTR's) against daily reports to ensure accuracy and completeness. Ensure all CTR's are prepared and filed on a timely basis. Follows-up with branches regarding errors or omissions in submitted information. Maintains and monitors monetary instrument logs. Ensures procedures are adhered to with regards to timely CTR's. Tracks and reports exceptions
Participates in compliance training and additional continuing education to maintain proficiency in the laws and regulations affecting financial institutions regarding BSA/AML and OFAC
Other responsibilities and projects as assigned by management, make recommendations on enhancements to BSA/AML policies and procedures; provide technical compliance support when issues or questions arise with various operating units ; assist as advisor in new product and/or service development
Job responsibilities assigned using a risk based approach based upon experience, education and knowledge of applicable laws and regulations
Bachelor’s degree in finance, business, accounting or related field
Must have at least 5 years of related experience to qualify for this position
Ability to work independently or as part of a team
Fundamental knowledge of banking and financial service company principles, philosophies, and operational concepts
Strong interpersonal skills along with excellent written and verbal communication skills
Sound knowledge of BSA regulations, OFAC regulations, USA PATRIOT Act, Fraud Scenarios, Criminal Situations, and Internal Crimes
Problem solving skills with the ability to define problems and propose solutions
Required competency with Microsoft Office Suite, especially advanced use of Excel to manipulate data for analysis

Senior AML Analyst Resume Examples & Samples

Execute AML risk assessments for the various business groups. Evaluate inherent risk associated with products, services, customers, and geographic locations including adjustments for the quality of risk management for the category to arrive at a residual risk rating and report findings to Senior Management. Substantiate and support risk assessment with hard data, facts and references where possible
Build and maintain current, detailed knowledge of anti-money laundering and anti-terrorist financing matters and understanding of AML and OFAC regulatory requirements and best practices related to the risk assessment process
Work with management of business area/category to follow-up and resolve of issues identified through the risk assessment process
Receive and investigate referrals of unusual activity by branch personnel or other client-facing areas of the broker dealer
Provides subject matter expertise and training to relevant business units
Generate reports of trends and statistics to senior management
Be a self-starter and master of time management, consistently sustaining high levels of productivity and quality in a fast paced high volume environment
Investigate and research cases and potentially suspicious situations; efficiently arriving at sound risk based conclusions
Demonstrate sound judgment and decision making in the context of regulatory requirements; Broker Dealer Policies; and industry best practices
Professional licenses/certifications (i.e., FINRA Series 7, CAMs, CFE) preferred
Minimum 3-5 years of AML alert processing/investigations preferred
Strong PC skills (Microsoft Office with emphasis on Excel), Knowledge of Protegent a plus
Comfortable working with all levels of management
Proven ability to build strong partnerships with colleagues, desire to learn quickly, be flexible and think strategically

Senior AML Analyst Resume Examples & Samples

2+ years of relevant experience at Professional Services or Banking firm
AML Compliance background
Solid analytical, critical thinking and and decision-making skills

Senior AML Analyst Resume Examples & Samples

Develop and maintain AML risk assessments for FTI products domiciled in Luxembourg and worldwide
Partner with the business to identify key AML risk factors and implement necessary actions or controls to mitigate existing and new risks as they are identified
Perform ongoing AML equivalency assessments of regulations for countries where the Company distributes its funds
Maintain and perform distributor and client monitoring in accordance to regulatory requirements, leverage the Fund and Country assessments to identify the main areas of distributor and client risk
Partner with Legal to ensure that appropriate AML clauses are included in distributor agreements and any necessary side letters are issued and signed by distributors for particular countries
Propose new controls and agreements with the business and external parties, partner with Transfer Agent Distributor & Vendor Management and Sales as appropriate
Follow any significant news reports on AML risks and assess their potential impact on the Company distributor relationships and business
Escalate any developments or changes that may affect the risk profile of individual distributor relationships
Work closely with the Senior AML Analysts based in Luxembourg and US to ensure consistency in the application of AML policy in all regions, Provide support to the AML & Trade Control Manager
A university degree in business, economics or in a related field
5 years’ experience in financial services with good regulatory knowledge, KYC or due diligence knowledge
Project Management, risk analysis or audit / Compliance monitoring experience preferred
Excellent written and verbal communication in English and interpersonal skill, experience in dealing with Sales teams
Ability to work in an independent manner, strong attention to detail and quality
May be required to travel to other Franklin Templeton offices
AML, Compliance or Internal Controls certifications considered as an asset

Bsa / aml Analyst Resume Examples & Samples

Complete the referral intake and analytical components of the Client Assessment process within the Commercial Specialist Group (CSG). Research client and loan request information in commercial lending, BSA/Anti-Money Laundering (AML) Administration and third-party applications
Analyze credit-related transactions with emphasis on assessing obligors, guarantors, and ownership of both new and renewed loan requests. Conduct enhanced due diligence on larger credit transactions with emphasis on review of flags and alerts on internal systems, including SAS AML and Enterprise Case Management (ECM). Provide summary commentary regarding all flags and alerts for use by CSG Commercial Specialists and CSG AML Specialists
Assess internal risk scores and complete Office of Foreign Assets Control (OFAC), Hot List, and other high risk list queries using the Actimize application
Review Business Integrity Group (BIG) reports for target red flags and summarize any findings related to the client
Communicate with Relationship Managers (RM), as needed, to gather additional client information. Act as enterprise-wide point of contact for BSA-related questions/exceptions/support. Assist regional contacts and LOBs with BSA-related training and on-going second level support
Complete projects and initiatives, as assigned, by either the CSG AML Analyst Team Leader or CSG Manager
Bachelor's degree, or equivalent education and related training
Three years of BSA/AML experience, preferably in a commercial lending-related capacity
Ability to learn and perform complex processes in order to meet the spirit and letter of the procedures, policies and BSA/USA PATRIOT Act regulations that govern the department
Strong investigative and analytical experience
Experience in commercial lending, investigation or law enforcement
Knowledge of BSA regulations and/or related compliance requirements, including reporting and record retention requirements
Experience in a BSA compliance-related role, whether in a client facing or backroom/operational role

Bsa-aml Analyst Resume Examples & Samples

Help identify and analyze on an on-going basis, high-risk customers and other accounts for suspicious / unusual activity and compile complete and accurate documentation of the suspicious activity
Recommend for filing suspicious activity reports (SARs) as needed and ensuring complete documentation is secured and maintained as required by law
Recommend account closures as warranted under the account closing procedures set forth in the Bank’s BSA/AML Compliance Program and Procedures as directed by the BSA/AML Officer
Provide other assistance as requested to the BSA/AML Officer in the daily responsibilities of managing the Bank's BSA/AML Compliance Program
Attend BSA training annually, and as needed, based on revisions to the BSA requirements
Familiar with federal BSA / AML regulations
Familiar with bank operations in general
O Word processing

IPB AML Analyst Resume Examples & Samples

Directly Support any IPB US escalation forum(s), Helpdesk(s), or other internal instances that will serve as an escalation and/or coordination channels to direct to the appropriate decision making forums or functions (e.g., Business, AML Advisory, KYC, Compliance Core, Sanctions, etc.) on matters concerning procedural or technical issues, the resolution of disputes or discrepancies, the clarification and/or interpretation from Compliance of policies and standards within the IPB U.S. operation, and the like, allowing the business to consistently apply those decisions in its daily AML Program activities
The position will be in charge of receiving requests from different IPB U.S. Business areas and coordinate and operationalize the escalation protocol, including: managing the recording of those requests, managing the meeting routines of working groups or other relevant management forums, coordinating with the Compliance Functions the delivery of matters concerning policies and standards, set the agenda of meetings, inviting required attendees, securing meeting location(s), preparing/coordinating meeting materials, creating/publishing meeting minutes, and recording and tracking of follow-ups
The position will also be in charge of the publication and updates of decisions (“precedents”) by the means set by IPB U.S. (e.g, SharePoint, Excel templates, etc.) or Control functions
The IPB U.S. AML Analyst will support the analysis of the escalations to support the correct channeling of same to a business forum (Global AML PMO, IPB U.S. business stakeholders, etc. ) or to the Compliance function (e.g., AML Advisory, Sanctions, etc.), depending of the nature of the escalation. The position will also support the In-Business AML function by conducting research of the relevant authorities to the matter in dispute (e.g., internal procedures, prior precedents, etc.) and proposing solutions in the form of ”draft precedents”, or otherwise
Advising the business units in the performance of escalations and continuously evaluating the process to identify and propose improvements
Administer and organize any relevant SharePoints as well as other means of communication and publication of the product of the escalation process. Maintaining the SharePoint site so that it is efficient to use and easy to find files for the users
Support in the performance of Root Cause Analysis, as needed, to identify trends and sources of error to assist the business in the development of effective Corrective Action Plans
Coordinate with Compliance and/or AML Compliance the interpretation of Global AML/KYC Citi Policies, Standards and Procedures for the consistent application by the business
Assist in coaching and training sessions
Candidate must have 2+ years’ experience working in financial services of a large corporate institution and at least basic AML knowledge or exposure
Excellent analytical, problem-solving, and critical-thinking skills
Able to multi-task and prioritize work
Reporting skills
Detail oriented with excellent interpersonal, written, oral communication skills along with strong written and verbal skills
Ability to exercise mature judgment and adhere to policy guidelines is necessary as well as a self-motivated character that is capable of working autonomously
Ability to work independently as well as collaboratively and handle multiple priorities concurrently
Ability to work under pressure, manages deadlines, and hold self/team accountable to deadlines
Experience of acting as a point of escalation within existing job role
The candidate should also possess supervisory and basic management skills, experience with conflict resolution and problem solving skills
Master’s degree on financial related fields, desirable
Bi-lingual ( Spanish and English, Portuguese desirable)

Global Investigation Task Force NAM AML Analyst Resume Examples & Samples

Conduct searches on gathered data for anomalous activity by utilizing the Internet, in-house and commercial databases, inquiries, bank inquiries, and contact with other investigative entities and Compliance Officers within/outside the institution
Proficiency in Windows & Windows-based applications (Word, Excel & PowerPoint)
Follows policy & work instructions
Ability to organize raw data and resources available into an analytical investigative tool banking product/service knowledge

AML Analyst Resume Examples & Samples

Provides BSA/AML regulatory oversight and subject matter guidance to assigned business lines assisting with procedure development, risk assessments, risk monitoring, and risk issues
Reviews and analyzes suspicious alerts generated by the Bank’s AML monitoring system in accordance with regulatory expectations
Writes Suspicious Activity Reports (SARs)
Facilitates law enforcement requests for additional information and/or supporting documentation
Review and respond to FinCEN’s Rule 314(b) requests
Assists with AML related duties concerning compliance with Bank Secrecy Act, OFAC regulations and Customer Identification Program requirements
Manages time to meet critical team goals and deadlines
Identifies areas of process improvement to increase departmental efficiencies
1-3 years previous BSA/OFAC/AML compliance experience or equivalent work experience required
Must have solid understanding of the Bank Secrecy Act, SAR reporting requirements, OFAC regulations and sanctions and the USA PATRIOT Act

AML Analyst Resume Examples & Samples

Conduct research on items that are suspicious in nature
Compile documentation in regards to suspicious activity (this includes contacting tellers, branch managers, branch operation specialist, and loan officers)
Submit investigation reports with recommendations to the BSA Officer for SAR filing
Determine High Risk customers for Enhance Due Diligence
Identify Money Service Businesses and obtains proper documentation
Excellent presentation and written communication skills including ability to interact positively with a wide variety of individuals, including senior officers
Sound decision-making ability taking into account all information
Strong working knowledge of branch operations and procedures
Working knowledge of and experienced in Microsoft Word and Excel

FIU / AML Analyst Resume Examples & Samples

Minimum 10 years experience in a US banking industry & AML experience at a large US National Bank
Law Enforcement experience and deep investigative experience preferred
Minimum 10 Years Specialized Knowledge
Skilled in paying attention to detail and maintaining accuracy in high pressure situations
Extensive knowledge in customer, geography and product risk, and risk assessments
Extensive knowledge of the AML regulations and extensive experience in AML issues
Experience with Microsoft Office 2010 including PowerPoint and Process Flow Creation
Motivated, team-oriented, and able to work independently
Solid organizational, time management, and complex problem solving abilities
Sound decision making and judgment skills
Superior analytical, strategic planning, and critical thinking skills
Management Scope- Individual Contributor

AML Analyst Cpwm Resume Examples & Samples

Review the required KYC information received from FAs/RMs in an effort to support clients source of wealth and net worth. Reach out to FA/RM in situations where there are discrepancies and/or if the information provided does not support client source of wealth or net worth. Conducts internet searches in an effort to remediate and validate customer information
Enters collected information in the CKYC system ensuring that all Interim Compensating Controls have been followed and that customer information is consistent across relationship and that all account participants are screened and screening results are properly dispositioned and documented as required in CitiKYC system
Submits work item for approval in CitiKYC system and owns all follow up of work item to ensure timely approval
Ensures that all required documentation has been collected and is stored in proper repository
Strong organization and possess strong follow up and time management skills with the ability to produce quality work under time constraints
Strong computer acumen, including extensive knowledge of branch specific systems and Microsoft Office products
Prior work experience in a financial institution with job specific work experience in AML preferred with some knowledge of the laws applicable to money laundering, including the Bank Secrecy Act, The USA PATRIOT Act, US Treasury AML guidelines, OFAC requirements, and Suspicious Activity Reporting requirements are preferred

AML Analyst Resume Examples & Samples

Interact proactively with relationship managers, as needed, to ensure the completeness of the client profile
Ensure local regulatory requirements are complete in CitiKYC
Highlight any discrepancies to CBSU Makers and Management Team

Senior AML Analyst Resume Examples & Samples

4-year college degree or international equivalent
2-4 years’ relevant experience at professional services firm and/or bank
Ability to work both independently and within a team
Strong analytical and decision-making/critical-thinking skills
Ability to write clear and concise reports and communicate with management

AML Analyst Resume Examples & Samples

Manage and develop daily reports monitoring transactions for unusual or suspicious activity in relation to financial or betting activity
Receive internal suspicious activity reports, record and investigate possible instances of money laundering
Carry out analysis and full investigatory casework in support of investigations; preparing necessary reports and information for relevant Financial Intelligence Units, law enforcement organisations, MOU partners or sports governing bodies
Work closely with payments, customer registrations/verification (KYC), fraud, VIP, Premium and other key stakeholders as part of the investigative process or to provide specialist advice
Liaise with customer service team to handle communication with account holders
With line management regularly review AML systems and processes
Respond to law enforcement requests, orders and warrants, prepare statements and attend court or other relevant proceedings where required
Manage politically exposed persons (PEP’s), sanctions and high risk individuals, identification and reporting
Managing high value clients and ensuring sufficient EDD
Managing anti-bribery investigation and reporting
Maintain an awareness of developments regarding investigative technologies and techniques which would support new ways of detecting and exploring activity of interest
Understanding different AML regulatory requirements in jurisdictions where PPB is licenced and regulated in
Maintain learning of both local and global AML policy, therefore enabling you to contribute to debate to ensure that PPB’s policies and procedures meet local and global anti-money laundering standards
Support the AML and Integrity team in implementing an AML and Integrity training to ensure that all relevant staff receives appropriate training and guidance
Support relationship building with regulatory bodies and law enforcement
Liaise with Legal, Regulatory Affairs and Compliance team as and when required
Professional AML qualification (ICA or similar)
A strong understanding of money laundering and threats to PPB and betting/gaming industry
Strong understanding of FATF and European Money Laundering directive
Understanding of anti-bribery legislation UK and international
A strong academic record in a relevant discipline, preferably at degree level
Prior experience in analytical role and the ability to demonstrate strong data interpretation capabilities with logic/analytical skills and excellent attention to detail
Understanding of sports and the betting environment
Experience of external and internal stakeholder management
Good understanding of databases and generally good IT skills
Highly desirable fluent in a second language
Must be team player but also demonstrate an ability to work on their own
Able to accept responsibility and make decisions
Experience in detecting and investigating financial crime
Project management and business process improvement experience

AML Analyst Resume Examples & Samples

May work independently when interacting with internal stakeholders
Employee can identify intermediate ML and TF typologies and identify key controls in financial institutions to detect and deter ML and TF
Basic knowledge of applicable CIP/KYC rules and regulations within the U.S
Ensures effective compliance with all regulatory bodies
May deal with complex analytical initiatives and interact with TDBG businesses
Supports in providing direction and guidance and assists staff with most complex aspects of work as necessary
May work independently through the analysis and business intelligence process
Supports the assigned process/procedure analysis in terms of financial, regulatory and risk management requirements
Analyzes assigned process/procedure considering current economic environments and forecasts impact
Researches and evaluates methodologies for analyzing risk exposures. Quantifies and analyzes risk exposure characteristics for assigned processes
Researches and recommends standards for internal/external systems used to calculate and measure risk exposures
Recommends changes to policy and guidelines resulting from observations made during risk analysis process
Supports the business lines with compliance/risk controls and periodically evaluates risk mitigation efforts to make adjustments as risk/department influences change. Ensures TD maintains successful audits and exams within all areas
Supports in other risk management related duties or special projects and performs additional duties as necessary
Contributes to and supports achievement of department/business unit goals
Maintains professional knowledge of techniques and developments in the field of portfolio analysis
Maintains industry knowledge and industry awareness
Participates in peer groups and leverages information and experiences to improve analysis
Assists in escalating issues and problems by conferring with management, staff in other internal departments, outside contacts and others as necessary
Responsible for the successful delivery of key AML reporting supporting TD Bank's Risk Appetite
Subject matter expert for all AML key risk indicators and key performance indicators
Lead and develop AML analytics and business intelligence initiatives
Prepares and delivers management reporting necessary to ensure accurate and thorough measurement of risk factors

AML Analyst Resume Examples & Samples

Possess strong analytical, organizational, and communication skills and be able to multi-task, adhering to specific quality and productivity guidelines
Strong research skills, advanced skills in the use of Microsoft Word, Excel, PowerPoint, PRIME Compliance Suite, and experience with online research systems including web-based tools
Knowledge of multi-cultural situations and languages with the ability to apply them efficiently to the AML surveillance field
Experience in assisting with AML/OFAC special projects or AML/OFAC implementation of new/updated procedures

100

Senior AML Analyst Resume Examples & Samples

The selected candidate may also assist in the on-boarding and training of new associates, as well as being a mentor to less experience teammates
Demonstrated success articulating and delivering findings on AML high risk behaviors and KYC data
High level analytical research and investigative skill set including experience with background checks/intelligence/customer research/transactional analysis

101

AML Analyst Resume Examples & Samples

Ensure all compliance reviews/reports are being performed timely, are adequate and appropriately documented
Monitoring compliance with regulatory and internal policies, processes and procedures by staff in the branch/cluster
Daily resolution of compliance issues in line with all applicable regulatory requirements and internal policies and liaising with the AMLCO as necessary
Conduct AML investigations and bring to the attention of the AMLCO any suspicious transaction/activity
Work closely with the Business and other key stakeholders such as Operations and Technology to identify and mitigate the risks associated with existing and new customer relationships with emphasis on higher risk customers and transactions
Assist with completion of AML Risk Assessments and compliance testing for the franchise
Manage ad hoc AML compliance related projects as required
Perform AML compliance reviews and AML investigations, when escalated
Review and approve high risk customer KYC/due diligence and Perform enhanced due diligence on targeted customers
Undertake AML related investigations arising from internal monitoring as well as ad hoc referrals
Assist in responding to regulatory search requests by local Regulators (s27), Law Enforcement and other Governmental Bodies
Respond to sanctions related escalations and investigations
Minimum of 3 years work experience in the Banking sector
Knowledge of relevant regulations
Experience in compliance monitoring reviews, e.g. account opening or periodic reviews
Undergraduate qualification in Finance, Accounting, Economics, Law or degree in any other discipline
Relevant higher degree or professional qualification
Operations, Control, risk related experience, though not compulsory, will be an added advantage
Ability to manage and facilitate multiple projects
Ability to work individually and in teams
Proficiency in Microsoft office applications
Ability to embrace new technologies

102

AML Analyst Resume Examples & Samples

Provides daily support to the Bank’s BSA Officer by assisting with the interpretation and implementation of the Bank’s BSA/AML procedures and related Compliance Programs, and inputting required data to the Bank’s various BSA/AML software systems
Reports promptly to the Bank’s BSA Officer, regarding any known or suspected violations to the Bank’s BSA/AML programs, policies or procedures
Serves as liaison when necessary, with the Bank’s BSA Officer, as applicable, between Tri Counties Bank and the Financial Crimes Enforcement Network (FinCEN), the Federal Deposit Insurance Corporation, and/or any other appropriate financial institution supervisory agencies
Notifies the BSA Officer, in a timely manner, of any recommended procedural or policy changes. Cooperate, respond, and in a timely manner, implement any necessary corrections found either by independent testing or by compliance examiners, as approved by the Bank’s BSA Officer, or Senior Management
Assists branches as needed, in determining exemption status for business customers. Maintain and document, all additions or deletions to the Bank’s “master list” of BSA exempted customers
Compiles and/or reviews completed Forms 104 (CTRs), TDF 90-22.53 (Designation of Exempt Persons) and SAR (Suspicious Activity Reports) when needed to ensure they are prepared completely and accurately, and all completed forms are filed with the appropriate government agency within the time frame mandated by Regulation
Retains copies of the completed Forms 104, TDF-90-22.53, all Bank issued SARs, as well as the Bank’s Master Exemption List and any other BSA records required by Regulation, which are to be stored electronically or centrally at the Operations Center
Prepares SOC 341 Report of Suspected Dependent Adult/Elder Financial Abuse Forms when needed to ensure they are prepared completely and accurately, and all completed forms are filed with the appropriate reporting agency within the time frame mandated by Regulation
Provides appropriate documentation and/or information when communicating with Law Enforcement and/or IRS Criminal Investigates Division regarding SAR filings
Supervises the daily input and reporting output derived from the Bank’s BSA, AML and SAR monitoring software systems to ensure those systems properly identify any reportable transactions
Ensures that the 314(a) requests are completed and notifications to FinCEN are completed within the time frame mandated by regulation
Trains Department and/or Branch employees, as needed, to ensure proper and timely completion of the required various reporting forms
Maintains current understanding of and complies with regulations that include but not limited to Bank Secrecy Act (BSA/AML), OFAC compliance, Suspicious Activity Report (SAR), fraud, identity theft protection and Unfair, Deceptive or Abusive Acts or Practices (UDAAP)
May include other miscellaneous duties as assigned by the BSA Officer
Maintains a current understanding of Bank procedures and policies
Minimum of three years banking experience and knowledge of Bank Secrecy Act regulatory requirements
Previous BSA/AML, fraud, loss prevention or corporate security investigative experience, or experience analyzing customer financial activity for unusual behavior is preferred
Basic knowledge of Bank services and products
Ability to utilize personal computers and Windows driven programs
Excellent reading, comprehension and problem solving skills

103

Gf-icg AML Analyst Resume Examples & Samples

Supports and assists ICG AMLCO in the implementation of the Citi AML & Sanctions Policy, and the various Global AML Directives for the Markets and Securities Services business in Singapore
Perform BAU activities as well as Markets and Securities Services Projects driven by Region / Global and/or by Country. Examples of BAU activities include, and are not limited to, SAR investigations, AML advisory, EDD, AML & Sanctions program review, management reporting, Compliance Monitoring, Regulatory reporting and other AML & Sanctions related tasks
Ensures Citi’s adherence to applicable AML laws and regulations in Singapore with the development and implementation of a business-specific Global / Regional / Country AML Program
Assist the Markets and Securities Services business in developing effective AML programs, including programs to provide AML training to appropriate personnel within the business
Participates meaningfully in regional / country AML initiatives to enhance and/or improve AML controls in the relevant business and/or across Singapore Citi businesses, as applicable
Coordinates and consolidates timely, complete and accurate MIS / Dashboard reporting of Singapore ICG-specific AML issues, and any other reports as may be required
Keeps abreast of new trends and developments in the field of AML / CTF, as well as of legal/regulatory changes
For AVP - Minimum five (5) year of the working experience with at least (2) years in AML Compliance
Experience in Markets and Securities Services business would be useful
Strong verbal and written communication and presentation skill in English and Mandarin
Relevant professional qualification in financial services or audit

104

AML Analyst Senior Resume Examples & Samples

Partners with AML management and IT partners to ensure the data flows meet Service Level Standards
Will serve as System Administrator for transaction monitoring, case management and SAR filing software platform. To include data management and retrieval for metric reporting and management reports
Provides AML assistance to IT Database Management and Architects for data quality and data mining initiatives
Provides technical support and assistance to AML Analysts, helping to troubleshoot, and determine how and when to escalate issues
Monitors and reports on Service Level Standards performance and other KPI’s
Assists Financial Crimes Compliance with activity reports, audit material preparation, and special projects. Supports FCC management in the development of new and revised procedures, methods, and forms that related to KYC, AML, and other Bank Secrecy Act functions
Bachelor’s degree from a four-year college or university and 5+ years in AML data governance -- analysis, Business Intelligence and quality management processes, or a high school diploma and 8+ years of related experience, education and/or training
Expert knowledge of SQL
Familiarity with Master Data Management and Machine Learning models
Advanced knowledge of BSA/AML regulations, best practices, etc. Knowledge of customer, product and transaction types across the spectrum of commercial and consumer products (e.g., deposit, lending, ACH, ATM, RDC, and correspondent banking). Experience with FX transactions, wire transfers, and trade financing preferred
Strong level of communication and project management discipline to support and provide technology solutions for compliance monitoring requirements
Strong oral and written communication, and interpersonal relationship and consensus building skills
Must be a self-starter, learn quickly, and work productively with minimal direction under tight deadlines
CAMS preferred

105

AML Analyst With Arabic Resume Examples & Samples

You are degree qualified - will be an additional asset
You are fluent in English and Arabic
You have strong analytical and investigative skills
You have excellent MS Office knowledge

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