CAO Operations Resume Samples

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A Armstrong

Aletha

Armstrong

1440 Rohan Crescent

San Francisco

+1 (555) 923 4596

1440 Rohan Crescent

San Francisco

Phone

p +1 (555) 923 4596

Experience Experience

Los Angeles, CA

CAO Operations

Los Angeles, CA

Robel, Nienow and Gorczany

Los Angeles, CA

CAO Operations

Developing process flows for strategic initiatives and assisting in the development of target operating models
Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes
Responsible for talent development, including: recruiting, on the job training, coaching, performance management and issue resolution
Assist with UAT planning; write and review test scripts, manage UAT testers; manage the defect resolution process and participate in testing at times
Provide the Technology input to create User Stories as they build their Agile development plans
Provide Technology input to create User Stories as they build their Agile development plans
Analyze processes and workflows to improve existing and implement new process/flow solutions

Chicago, IL

CAO Operations Analyst

Chicago, IL

McKenzie-Terry

Chicago, IL

CAO Operations Analyst

Assist clients with GEMS process and content, develop and execute test plans / test scripts, assist in managing the overall project governance
Develop, track, analyze, and publish project reports, resource management reports, project summaries, scorecards and program/project performance trends
Manage the WRM process, create op models for the process, and lead the monthly operate release process
Provides Control and Compliance Support
Maintains and provides Training
Assists with RDI Onboarding
Assists with SDM Admin duties

present

New York, NY

CAO Operations Specialist

New York, NY

Swift, Koepp and Beer

present

New York, NY

CAO Operations Specialist

present

Relationship Management
Manage business partner expectations and build a good rapport
Knowledge of external reference data providers –BLOOMBERG, REUTERS, etc. will be an advantage
Create new instruments for various Equities, Fixed Income and Equity Derivatives products in Reference Data system
Participate/Coordinate in special projects such as; data clean up, process improvement analysis, metrics reporting
A proactive approach to problem solving, taking ownership of issues and having the determination to follow things through
Flexible and willing to stretch

Education Education

Bachelor’s Degree in Confidentiality

University of Memphis

Bachelor’s Degree in Confidentiality

Skills Skills

Strong documentation skills to clearly articulate alert disposition
Proficiency in MS Word and Excel
Adaptable, flexible, and willing to work in a dynamic environment
Able to meet goals and quotas
Document proposed target state offering; coordinate with Vendor Management, Operations and Tech partners to ensure all gaps vs. the current offering are comprehensively documented
Strong analytical/time management skills
Strong sense of accountability and ownership over “quality” and end-to-end best practices
Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up
Ability to understand the Corporate standards with respect to the identification of our direct clients and related parties; socialize these adopted standards into the holistic WCOB KYC due diligence process
Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control

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CAO Operations Resume Examples & Samples

Understanding of ACCM products, services and markets
Highly motivated, energetic self-starter who takes ownership
Good organizational skills - manages & prioritizes multiple tasks across different time horizons within deadlines
Understanding of the end to end product (Clearing and Collateral) life cycle
Investigative mindset, able to see issues at both a high-level and in detail, and understand applicability across the business
Strong analytical, problem solving & process re-engineering skills
Excellent Excel, Word, PowerPoint skills
Strong team player with excellent partnering and influencing skill

CAO Operations Resume Examples & Samples

Lead the global Desktop Procedures team for the development of KYC On-boarding, KYC File Renewal and Remediation procedures
Ensure all procedures are complete, correct and fully communicated to all KYC on-boarding teams globally
Provide guidance and direction for questions from on-boarding teams regarding how to execute/complete the KYC standards as required for all client on-boarding’s, renewals and remediations
Develop a strong working relationship with COB Global team members, AML Compliance and Quality Assurance
Liaise with internal teams discuss AML/KYC requirements and convey KYC approval status
Assist with audits and AML/KYC related issues
Assist with departmental projects as needed

Business Management, CAO Operations Resume Examples & Samples

Manage Real Estate requirements in all regions; tracking footprint and seats, organizing and executing moves, documenting strategy and progress towards the location strategy in a fast-paced, quickly changing environment
Track headcount and financials and develop reports for senior management
Assist in driving overall strategic agendas and prioritization process
Help to develop materials and drive town halls, off-sites, and weekly management meetings
Support creation of executive level presentations on strategy, budget, project delivery, controls, risks, etc
Provide senior manager management reporting, communication and client reporting, focusing on the overall business unit performance against objectives; proactively highlight issues and risks to the objectives, derive solutions and drive remedies to completion
Department Logistics - coordination for administrative functions within the CAO Operations organization
Vendor Strategy -participate in vendor strategy for CAO Operations working with sourcing team to lead contract initiation, bidding, RFP reviews, selection criteria and vendor selection; coordinate the review and approval of vendor statement of works
Special Projects - participate in initiatives as assigned by senior management team including presentations, ad-hoc analysis, and support
3+ years of related experience; finance, business management and/or compliance related
Clear communication skills, and the ability to articulate complex issues concisely
Strong Excel and PowerPoint skills are essential
Leadership, relationship-building and influencing skills to drive agenda’s across a number of functions

CAO Operations Resume Examples & Samples

Management of Accounts Receivable/Payable spreadsheet
Monthly manual depository reconciliations to 3rd party statements
Chasing non receipts of funds
VAT/Corporate tax team partnership and build out tax logic workflows
Regulatory/Insurance reporting
Monthly YTD Income and Expense reporting for actuals/accruals
Future plans - Drive strategic delivery of target state billing system, working closely with the commodities project /tech leads and providing our ‘build’ requirements
Good knowledge of UK/Swiss Tax laws
Nostro / GL / Depository reconciliations
Strong excel skills (advanced)
MIS /Reporting preparation and distribution
Control mindset
Good client service skills
Expected to be able to work under pressure in a fast paced environment for extended periods and meet deadlines
Be flexible and adaptable in working hours, especially for month end tasks

CAO Operations Resume Examples & Samples

Financial Benchmarks: Driving development of a global and firm-wide governance,
Oversight and control framework that covers a broad range of financial benchmarks
Beyond LIBOR and Foreign Exchange rates. This requires working with Senior
Business Sponsors, Compliance, Legal, Business Control Officers and external advisors
Conflicts of Interests: Driving the on-going development and evolution of the global and firm-wide Conflicts of Interest control framework, by working with senior business sponsors and business control officers across the entire range of CIB businesses
Office of Legal Obligations: Support the definition and rollout of a framework to create and maintain a sustainable mapping of policies functional owners and supporting documentation of the firm’s legal obligations. Any new or unforeseen project or programme that may be tasked to the group
Provide support to the programme lead across large scale CIB wide programs addressing key concerns raised by regulators. Examples include: supporting the required formal governance frameworks, alignment of resources, issue management etc
Active engagement and partnership with senior LOB and Functional stakeholders impacted to ensure execution of deliverables is successful
Presentation and communication of keys program status updates ( and supporting details) to Senior Management or Control forums
Demonstrate thought leadership in area program is addressing
Fostering a culture of collaboration and information sharing to ensure silos are broken down and synergies can be created and best practice shared
Detailed knowledge and experience of at least one LOB within CIB (ideally Markets given current portfolio of work), preferably in Business Management, Control Office or Compliance functions
Working knowledge of control infrastructure (e.g. RCSA) and exposure to regulatory concerns in the LOB’s
Proven execution skills and experience on complex business focused programs demonstrating excellence and efficiency
Excellent communication skills both written and verbal with the ability to convey complex messages simply
Ability to work autonomously and take the initiative to develop proposed solutions where there may be an element of ambiguity
Energetic, self motivated and effective under pressure - must enjoy the challenge of working within a fast-paced, changing and demanding working environment
Good judgment, maturity and poise to enable interaction with senior level staff
Strong ability to prioritise, organise and project manage
Expertise in Excel and PowerPoint

CAO Operations Resume Examples & Samples

Performs quality evaluations on defined samples of completed KYC recrods
Partner with AML Compliance to build a strong understanding of regulations that outline how the KYC process is designed
Build strong working relationships with Quality Control Team, Compliance, Audit, KYC Officers and business segments
Track and review Quality Assurance observations with the Line of Business and Quality Control management team
Manage multiple deadlines in a fast paced environment
Formulate recommendations to further enhance the overall Due Diligence process
Perform root cause analysis and identify solutions and best practices to support quality of KYC Due Diligence in alignment with Global KYC Standards and guidance
Assess the need for process/ procedural changes and escalation as appropriate
Assist in the implementation of new policies and procedures as appropriate
Maintain a continuous improvement philosophy, conceptualizing the vision for future enhancements to the Quality program
Participate in and Lead team discussions on the calibration of findings and build consensus prior to finalizing records
Review QA Testing results with appropriate management on a regular basis as prescribed by the function
Maintain/escalate QA/Testing reporting metrics for inclusion in monthly reporting requirements
Self motivate and partner with the QA team to maintain high performance
Maintain confidentiality of sensitive client information
Commitment to performance management
Contribute to meeting quality and production results as a member of a high performing team in a fast paced dynamic environment
Possess strong analytical skills, high level of verbal and written communication skills
Possess the ability to successfully build internal and external relationships with individuals of all levels
Comfortable with handling difficult conversations in a pragmatic but direct fashion
Challenge and influence stakeholders to ensure decisions are well thought out and can be executed from an operations perspective
Understand the regulatory and legal landscape related to AML / KYC
Relevant experience in AML/KYC, Compliance, and/or Risk Management
Strong understanding of AML/KYC regulatory requirements
Ability to meet quality and performance metrics and service level agreements
Demonstrated ability to raise issues or information to relevant stakeholders or management with respect to the control environment and to present the issue or information in a concise and effective manner
Builds a sense of community, contributing to a positive team environment and modeling a global, diverse mindset and inclusive behavior
Strong interpersonal skills and ability to influence others for results
Strong project management skills and ability to meet deadlines in a fast paced environment
Proven ability to communicate effectively both verbally and in writing
Experienced in providing innovative and proactive solutions
Proficient with Microsoft Office including Microsoft SharePoint

CAO Operations Resume Examples & Samples

Analysis and planning of the Markitwire enhancements, including testing & global co-ordination
Governance& reporting of Markitwire related projects, tracking to internal and external deadlines
Global co-ordination and tracking of Markitwire testing cycles
Progress, issue tracking & resolution
Communication to stakeholders including - technology, operations, legal, compliance, treasury and other support groups

CAO Operations Resume Examples & Samples

Business Requirement Documentation based on the relevant business analysis
Review and approve Functional Specification Documentation
Definition of testing strategy
UAT management
Release management
Business Analyst skill is a must
Project Management skill is a plus
Knowledge on various regulation is a plus
Experience in technology business analysis is a plus
Product knowledge on Equities and derivatives is a plus
Experiences in a line role is a plus

CAO Operations Resume Examples & Samples

Assist with strategic direction for asset pricing across the firm and ensuring requested changes are aligned with the strategic vision
Maintain the Global Asset Pricing policy and recommend best practice pricing methodologies & hierarchies, e.g. the recommended ‘Gold’ vendor hierarchy
Review change initiatives to ensure compliance with Global Accounting & Regulatory changes, e.g. IFRS7, FRS29, FAS157, SSAE16 etc
Represent Asset Pricing in client due diligence overviews and in completion of RFP’s for potential new clients
Partner with business and tech leads to explore existing requirements and offerings
Document proposed target state offering; coordinate with Vendor Management, Operations and Tech partners to ensure all gaps vs. the current offering are comprehensively documented
Build network of relationships within the pricing community across the firm
Assess pricing treatment & vendor coverage for new instrument types
Actively participate in the Global Pricing Committee monthly meetings
Strong communication skills and proven ability to develop collaborative relationships with business partners are essential
Business Analysis and Requirement Writing experience is essential
Demonstrated Subject Matter Expertise in pricing of exchange traded products, debt instruments, Funds, Fx and Interest rates
Strong knowledge of and experience with data vendor pricing products and capabilities
An experienced individual who has held previous roles in Middle and or Back ideally in an environment where Pricing was performed
Strong data management skills
Prepare presentations and reporting for Senior Management and clients
Ability to think strategically but have strong attention to detail
Proven analytical, organizational and planning skills
Ability to interrogate data, draw conclusions and present recommendations
Strong written and presentation communication skills
Demonstrated problem resolution skills and ability to assess and prevent Operational Risk

CAO Operations Resume Examples & Samples

Perform ongoing formal testing of completed KYC records to ensure standards are met
Review the quality of completed KYC records using pre-defined test scripts which are based on KYC and Quality Assurance standards
Question and investigate the reliability and integrity of data, the validity of conclusions and the appropriateness of assumptions made (where appropriate)
Identify key issues, risks, trends, observations and provide reporting of results to key stakeholders
Perform root cause analysis and make recommendations for addressing identified deficiencies or improvements to business processes
Present findings via formalized feedback loop process, track and monitor corrections to identified critical defects
Present complex and sensitive issues to senior management in a persuasive manner
Work with Global Partners to ensure consistency with the Global QA framework and governance approach
Consider regulatory requirements and best practices to implement changes to process
Effectively communicate with key points of contact to ensure the fluid sharing of information and feedback across pertinent teams
Maintain the highest level of confidentiality throughout the QA process, disclosing only pertinent information to key stakeholders
Review discrepancies or newly discovered trends with QA Managers in CAO for proper disposition and potential amendments to procedures
Experience within Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
Knowledge of JPMC KYC standards, guidelines, policies and procedures and CIB KYC requirements
Strong research, analytical and comprehension skills, with ability to analyze large amounts of data
Proven ability identifying issues/defects and recommending solutions
Demonstrated experience adhering to controls and compliance standards
Bachelor’s degree in Finance, Economics, Forensic Accounting, Criminal Justice (focusing on financial crime) or equivalent work experience
Strong Communication skills including written, verbal, and interpersonal
Results-oriented Team Player
Ability to multi-task and meet deadlines against a high volume work schedule
Must be detail oriented, well organized, and a self starter
Intermediate level skills working with the MS Office suite of tools, with an emphasis on Excel and PowerPoint
Working knowledge of MS office & MS SharePoint

CAO Operations Resume Examples & Samples

Analyse, investigate and research alerts comparing our account holders and their transactions against Global Screening Lists
Conduct review to determine if a true match to a suspect name
Disposition and fully evidence all alerts, including supporting data and rationale within the case management system in a timely manner
Build relationships with global partners, GFCC (Global Financial Crimes Compliance) and Lines of Business
Function as a key contributor with demonstrated knowledge of screening issues, as well as broader functional knowledge
Participate in the development of goals and execution of strategies within the function or department
Support testing to ensure operational readiness for new feeds/projects
Contribute to development and update of procedural documentation
Experience of banking processes, products and systems preferred
Prior knowledge/experience of Sanctions, PEP’s and Negative Media would be an advantage
Good research and analytical skills
Strong interpersonal and verbal/written communication skills
Proficient in MS Office (with a focus on excel, word and power point)
Adept at multi-tasking and meeting deadlines in high-pressure environment, driven by regulatory requirements
High level problem solving ability coupled with the ability to recommend and make decisions autonomously
Excellent documentation skills to clearly and accurately articulate alert disposition
Familiarity with the firm's internal systems and processes would be a plus
To work effectively as part of a team and to contribute to key deliverables

CAO Operations Resume Examples & Samples

Ensure the accurate collection, storage and reconciliation of all registration related records, new and withdrawn, for covered individuals in the EMEA region, for CF30 FCA registration and Certification
Liaise closely with HR, Global Security and Exam vendors in respect to new joiners, leavers & transfers
Inquiry management & Investigation process for in flight requests
Collation, analysis and distribution of Operational Metrics / Key Performance Indicators
Interact and collaborate with internal support groups (Tech, Ops, Compliance, Legal, HR) to achieve business priorities
Support business resiliency & contingency process across regional department
Assist in the development and enhancement of processes to deliver highly effective services through best practices and training
Business Control Committee/Stakeholder Governance
Project / Change Management support
Documentation of controls / procedures /process flows
Some experience in either, Operations, Legal, Compliance or Risk within the Financial Services industry is preferable
Client centric focus - Work as a trusted client partner and advocate
Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape and always maintain high standards of control
Exceptional standards of data organization and maintenance – must be detail oriented
Able to work to high standards of accuracy and efficiency
Able to work both independently and as part of a team at all times
Comfortable user of Microsoft Office (i.e. MS Excel; Word, Visio, PowerPoint )
Strong and positive personality
Execution skill – Able to deliver results/ meet deadlines under pressure
Build effective relationships quickly & able to influence at all levels – role often requires individuals to communicate and liaise with senior individuals
Must be detail oriented and able to produce high standards of work under pressure with a desire to become subject matter expert
Some experience in the legal, Compliance, Operations or Risk within the Financial Services industry is preferable. Understanding of the SUP10a FCA supervisory framework an advantage
Due to tight reporting deadlines, candidates must be prepared to sometimes work outside normal business hours or on public holidays to meet obligations

CAO Operations Resume Examples & Samples

Participating in execution of a strategy; implementing tactical solutions to meet goals for a functional sub-group or a department
Developing process flows for strategic initiatives and assisting in the development of target operating models
Contributing to the translation of business requirements into functional design
Communicating issues effectively with Business Leads and Project Managers through project implementation
Engaging with the line operations team throughout implementation of projects
3-5 years experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance/AML and KYC subject matter
Proactive, strong attention to details
Proven project management experience with documenting and writing business requirements and project plans
Experience with facilitating meetings among stakeholders on various levels within the organization

CAO Operations Resume Examples & Samples

Relevant experience in either a Risk and Controls, AML, Compliance, operations or project management organization
Advanced understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls by considering business, inherent and IT risks in an integrated manner
Inquisitive and proactive in identifying risks and proposing solutions
Proven experience working well individually and in teams across geographical locations, sharing information, supporting colleagues and encouraging participation
Proven ability in meeting deadlines in high-pressure environment
Demonstrated ability being proactive in identifying risks and proposing solutions
Ability to adapt to a rapidly changing business environment, quickly assesses situations, and capitalizes on change
Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner and keeping colleagues apprised of your progress
Proficient in MS Office (Outlook/Word/Excel/PowerPoint)

CAO Operations Alert Operations & Client List Screening 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 initial investigation
Analyse, investigate and research CLS alerts comparing our account holders and their transactions against Global Screening Lists and conduct a review to determine if a true match to a suspect name
Review and analyse underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear the alert
Build relationships with GFCC and GSC units, and effectively communicate and transfer information for case investigations
Function as a key contributor with demonstrated knowledge of Sanctions/AML/KYC issues, as well as broader functional knowledge
Contribute to development and update of procedural documentation and risk/efficiency initiatives
Experience of AML, Sanctions, PEP’s and Negative Media would be an advantage
Experience of private banking processes, products and systems is preferred
Working knowledge of BSA/AML, and other AML regulatory policies, with a good understanding of AML typologies as well as the ability to apply and explain regulatory concepts
Exceptional research and analytical skills with the ability to analyse large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately
Strong documentation skills to clearly and accurately articulate alert disposition outcome
Strong problem solving ability coupled with the ability to recommend and make decisions autonomously
Adherence to controls and standards
English required. French would be highly desirable

CAO Operations Resume Examples & Samples

Identifying and translating the needs of the Business into structured and quality centric Business Requirements
Liaising with Technology groups to deliver the requirements in the required format to facilitate both Agile and Waterfall developments
Supporting the Program and Project Managers in the management & delivery of the associated plans
Effectively communicate the Holistic Program aims and objectives with stakeholders to help ensure joined up planning & strategy
Liaise with business and project stakeholders, key business users and subject matter experts to understand, document and prioritise business requirements across impacted areas
Lead/Participate in meetings, offering constructive options to ensure information is shared and issues addressed
Develop complete and accurate 'As Is' business models and determines the impact of the requested changes
Identify & deliver opportunities for technology improvements as part of developing the future state model
Own the technology definition & solution design for the end to end Holistic Operating Model
Understand from a technology perspective the capabilities, linkages, risks & challenges associated with the current and the future state model
Participate in workshops and presentations where required, including overseas travel
Provide the Technology input to create User Stories as they build their Agile development plans
Support User Testing, PVT and Live Monitoring as and when enhancements are deployed
Track key issues and risks; provide transparency to management and business partners
Hold Business Requirements Document tollgate reviews with key stakeholders
Obtain signoff of documented business requirements from key sponsors and stakeholders
Collaborate with business owners and Technology / delivery workstreams to ensure clear communication of business objectives and requirements and develop optimal solutions and target business model
Actively identify opportunities to improve and streamline business processes and then drive process re-engineering
Partner with UAT and Technology on Issue Management in relationship to Business Requirements and impact to business if issues cannot be remediated
Work with other related projects to understand and manage project dependencies
Assist in the preparation of user acceptance test plans; analysis and resolution of issues
Lead Ops Readiness activities - development / updating of Standard Operating Procedures, Controls, Business Metrics, Training and service documentation
Post implementation - manage any operational issues through to resolution; hold post implementation review with all functional groups to identify lessons learnt and drive continuous improvement in process
Proven analysis skills evidenced by previous successful project completions
Proven experience interacting directly with business stakeholders and end users - strong verbal and written communication skills; strong meeting facilitation skills
Strong ability to analyse and document complex business processes
Ability to lead, influence and motivate cross-functional teams and interact with all levels
Ability to be flexible, follow tight deadlines, organize and prioritise work
Ability to identify the business' strengths and weaknesses, and recommend areas for improvement
Result oriented attitude with strong track record of high quality deliverables
End to end experience of the project lifecycle
Good technical knowledge of business
Ability to adapt tools and processes to project needs and changing expectations
A good understanding of KYC processes and the associated KYC Systems Application Flows
Bachelor’s degree or equivalent, professional certification or equivalent work experience

CAO Operations Resume Examples & Samples

Liaise with business and project stakeholders, key business users and subject matter experts to understand scope and prioritise business requirements across impacted areas
Lead/Participate in meetings, at the operational and project level, providing continuous feedback on project status; ensure information is shared and issues addressed; offering constructive options to ensure project tracks to original expectations
Produce detailed project plans that will be the base document to define roles, responsibilities and milestones; ongoing management of the phases of the project and maintenance of the plan and other reporting documentation
Identifying resources and/or scheduling conflicts; including the management of change control
Functioning as an escalation point to keep all parties aware of overall project impact, facilitating management decisions at the earliest opportunity. Also, recognizing key issues and risks and facilitating teams to solution or escalate to senior management
Supporting business units in the development and execution of plans for a successful implementation
Managing post-conversion support functions
Provide Technology input to create User Stories as they build their Agile development plans
Collaborate with business owners and Technology/delivery workstreams to ensure clear communication of business objectives and requirements and develop optimal solutions and target business model
Support Ops Readiness activities - development /updating of Standard Operating Procedures, Controls, Business Metrics, Training and service documentation
Proven Project Management skills evidenced by previous successful project completions, leading and supporting complex projects through the full life cycle
Thorough understanding of project requirements, project delivery process, testing success factors, and implementation guidelines
Ability to lead, influence and motivate cross-functional teams and interact with all levels; ability to recognize issues and influence and implement change
Very experienced in the use of Microsoft Power Point
Good knowledge of Microsoft Project

CAO Operations Alert Operations Operations Controls Manager Associate Resume Examples & Samples

Positive self-starter with pro-active approach, strong analytic and problem solving skills, excellent time management and prioritization skills
Previously worked as an Associate within a line of business, risk, compliance operations, or a project organisation
Recent experience working in a corporate Audit, Regulatory, Risk and Controls environment including risk identification, control evaluation, testing, and controls substantiation
Proven ability in meeting deadlines in high-pressure environments
Demonstrated ability to be proactive in identifying risks and proposing solutions

CAO Operations Specialist Resume Examples & Samples

Regular maintenance of securities that require coupon, rate fixing and/or factor updates on a daily basis from sources like Bloomberg, Reuters etc
Monitor rejects Queue and clears them on a timely basis
Relationship Management
Perform research through Bloomberg and Reuters to find missing or additional information required to complete set up or maintenance while providing support from 8am to 8pm EST
Knowledge of external reference data providers –BLOOMBERG, REUTERS, etc. will be an advantage
Focus on quality and controlled environment

CAO Operations Client List Screening L Operations Manager Resume Examples & Samples

Lead daily meetings with staff to provide updates on operational developments, product enhancements, system improvements and/or issues
Represent CCB & AM programs on weekly operations metric reviews
Represent the CCB stream on weekly escalation calls with the business
Maintain a high level of understanding of line-of-business-specific guidelines and ensure analysts apply the appropriate logic to the alert dispositions
Develop strong partnership with business and operations teams
Demonstrate a strong operations and client service mindset
Communicate with VP and ED on all staff and operations developments
Ability to exercise sound judgment and make effective decisions; strong written and verbal communication is essential
Ability to prioritize, handle multiple tasks simultaneously, and work well under pressure in a team environment
Provide ad-hoc coverage to inquiries from both the business and operations teams as needed
Effective problem-solving skills with ability to solution challenges with minimal supervision
Work closely with analysts to develop and harness their respective contributions to the success of the team
Oversee the performance of each team member; guide and direct analysts to achieve maximum productivity levels while simultaneously producing high quality levels
Establish strong relationships with team members and provide support for their growth and development

CAO Operations Resume Examples & Samples

Kick-off remediation / renewal and liaise with LOB Case Lead organization / Sales Officers for required documents and sign-off
Complete remediation / renewal efforts and projects to clean up data and documentation and coordinate with other areas as needed (COB, Compliance, Sales, Client Service)
Analyze processes and workflows to improve existing and implement new process/flow solutions
Chinese language (Simplified & Traditional) reading and writing skills are mandatory
Minimum 2-4 years of KYC experience, preferably in Corporate Investment Banking
Experienced in client Due Diligence, risk assessment and vetting of negative news
Knowledge of screening and research tools such as World-Check, OFAC, LexisNexis and Factiva
Strong working experience with Microsoft Office Suite including Word, Excel and PowerPoint

CAO Operations Resume Examples & Samples

5+ years of Project Management & Business Analysis experience in a combined business, operations and technology environment within the Financial Services industry
Flexible individual who can easily and efficiently transition across topics and disciplines. Adept at multi-tasking and meeting deadlines in high-pressure environment
Advanced communication skills and the ability to synthesize work products into executive summaries and/or briefs and reports
A proven ability to take the initiative while building partnerships
Experience in tracking and ensuring implementation of lessons learned on a firm-wide basis
Strong change management capabilities with experience in both tactical and strategic programs
Ability to define and track project deliveries through to implementation
Controls/Risk management focus - Ensure we remain adaptable and responsive to the changing regulatory landscape
Adept at data organization and maintenance – must be detail oriented
Able to deal with ambiguity and work to high standards of accuracy and efficiency
Strong working knowledge of Microsoft Excel; Word, Visio, PowerPoint, Project and other reporting tools

CIB CAO Operations Manager Spain VP Madrid Resume Examples & Samples

Coordinate, in the location, the CIB and the non-CIB Operations team partnering with the Business and the CIB and non-CIB Operations regional management
Ensure the operational environment supports the execution of the Business strategy effectively and efficiently, meeting service delivery and financial goals
Maintain control of the environment in respect of JPM policies and the local regulatory rules

CAO Operations Resume Examples & Samples

Due Diligence case request set up and delivery into the case management system for research consumption
Properly identify risks and escalate derogatory/high risk findings to Senior Management; risks include but not limited to – PEP, High Risk Global Jurisdictions and Specially Designated Nationals (SDN) / Office of Foreign Assets Control (OFAC) matches
Perform reconciliations of incoming requests between source systems and case management application
Must have at least one year of experience in a professional work environment
Ability to consistently meet production goals while maintaining high quality standards
Strong verbal and written communication skills to articulate and document alert dispositions, report summarizations and escalations
Advanced skills with Microsoft Word and Microsoft Excel
Legal background

CAO Operations Resume Examples & Samples

Current need REQUIRES written and verbal fluency in Spanish and/or Portuguese Language for the Latin American team
Strong verbal and written skills to clearly articulate and document alert disposition
Strong verbal and written communication skills for report summarizations and escalations
Proficient in MS Word and Excel; strong typing skills

CAO Operations, Due Diligence Operations Resume Examples & Samples

Research, document and analyze background information on JPMorgan’s prospective and existing clients through public record databases primarily in China, Taiwan, Hong Kong, or Malaysia and Indonesia; research includes: negative media, PEP & sanctions, court records and filings in English and Chinese/Bahasa
Ability to identify & deem relevancy of public records, as it relates to customer information
Chinese language (Simplified and Traditional) reading and writing skills is mandatory
Must have at least 1-3 years work experience in professional work environment
Knowledge of Compliance, Anti-Money Laundering, KYC/Due Diligence and/or investigations preferred
Research, analytical and comprehension skills, with ability to analyze and summarize large amounts of data
Knowledge of “Boolean Search” logic techniques and familiarity with public records is a plus
Detailed, well organized, self-starter, capable of working under minimal supervision
Able to multi-task and meet deadlines in high-pressure environment while maintaining quality output
Proficient in MS Office. Strong typing skills
Prior project management experience helpful
Bachelor’s degree preferred; relevant course work in criminology, law or logic a plus

CAO Operations Resume Examples & Samples

Interpretation of SAR QT standards, guidelines, policies and procedures
Based on interpretation of FinCEN, Filing Unit and SAR QT standards, make risk based determination through QA (quality analysis) whether cases were properly closed by filing unit investigators
2-4 years of experience conducting AML investigations, SAR filings and analysis and review of financial transactions across multiple lines of business

CAO Operations Resume Examples & Samples

Collect and document data, including alert, investigation, or Suspicious Activity Report (SAR) history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information to assist the investigation
Build relationships with AML Investigations units, effectively communicating and transferring information for case investigations
Participate in individual and department goal development and execute on tactical strategies for goal attainment
Previous experience in AML, compliance or related position preferred, or relevant course work in criminology, law, logic as well as auditing and other business courses
Adept at multi-tasking and meeting deadlines in high-pressure environment
Results oriented team player

CAO Operations Resume Examples & Samples

Act as a key liaison with various groups, including GFCC, Corporate KYC Operations and the LOB
Act as a resource to team and other stakeholders on AML/KYC due diligence matters
Review testing results of QA team to ensure accuracy and completeness
Manage team KPIs (key performance indicators) to ensure consistency in quality and timeliness of completion
Track and analyze team quality control issues related to testing and guide to resolution accordingly; escalate as appropriate
Perform ongoing formal testing of completed work cases to ensure controls / standards are met
Review the quality of completed work cases to pre-defined test scripts which are based on quality assurance standards
Consider regulatory requirements and best practice to implement changes to process
Review of all discrepancies or newly discovered trends with QA Managers in CAO for proper disposition and potential amendment to procedure
7+ years of experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
Strong knowledge of JPMC KYC standards, guidelines, policies and procedures and due diligence requirements across all regions

CAO Operations Resume Examples & Samples

Evaluating J.P. Morgan client’s KYC files to develop a substantial understanding of the entity structure, business and risk profiles, expected activity and account history
Conducting real-time and ongoing screening of Negative Media, Politically Exposed Persons and/or Sanctions
Determining unusual account activity through transaction analysis and monitoring transactions flagged by Mantas or manual referrals
Reviewing potential reputational or transactional risks to the firm and escalating them to the LOBs and/or Global Financial Crimes Compliance (GFCC)
Working in partnership with all LOBs, country MLROs and regional GFCC Investigations teams
Participating and leading initiatives on behalf of CAO Operations and the Singapore Corporate Centre
Operate in collaborative team environment, conducting both client screening or transaction monitoring as required and assigned by the team
Utilize cross-functional exposure for comprehensive reviews and decision making when disposing or escalating potential risks and function as a key contributor with demonstrated knowledge of AML/KYC
Identify opportunities for improvement and drive the implementation of initiatives and operational process changes with a focus on innovation
Strive to maintain individual and team throughput and quality targets and ensure work meet deadlines
Follow and promote a strong controls mindset

CAO Operations Resume Examples & Samples

Collect and document data, including alert, investigation, or Suspicious Activity Report history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information to assist the investigation
Function as a key contributor and demonstrate knowledge of AML issues as well as broader functional knowledge; and
1+ years experience in back-office broker dealer required with the ability to read and interpret statements and account activity
AML, KYC or related experience preferred
Ability to consistently meet service level agreement quotas and deadlines is required
Exceptional research and analytical skills, with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc.) and disposition appropriately
Proficiency in MS Word and Excel. Experience with Pivot tables and VLOOKUPs preferred

CAO Operations Resume Examples & Samples

CAO Operations – Disclosure Of Interest Operations is a corporate utility function
The group performs daily monitoring of the firm’s positions and trades in Equity and Equity linked products, and prepare disclosure filing forms where pre-defined threshold limits are crossed
DOI analyst’s key book of work are both business as usual jurisdictional monitoring / filing and change management initiatives focusing on moving from a legacy (DOI 1.0) to strategic (GPAS) processing platform which will carry control and efficiency saves
All staff need to maintain an agreed average throughput for daily BAU production with less than 5% monthly supervisory repair rate and less than 4% monthly Quality testing defect
On daily basis, Analyst work with supervisory reviewer who reviews the accuracy and quality of the analyst’s monitoring and filing reports. On weekly basis, Supervisory reviewer work with the analyst on the quality and throughput trending and work together for further improvement. On Monthly basis, Manager review the analyst monthly performance. All the current and future initiatives will be progress tracked and discussed in the monthly meeting. Ad-hoc meeting to discuss the progress of initiatives is scheduled as needed
This role requires doesn’t require previous regulatory reporting experience
Strong analytical skills, attention to detail with a willingness to learn are essential to succeed in the role
Strong excel skills to perform data analysis and detailed investigation is advantageous
Product knowledge of equity products is helpful as is understanding of trading / settlement flows in APAC markets
The ability to question the status quo of the existing process and suggest changes will differentiate performance

CAO Operations Resume Examples & Samples

Perform testing to ensure Alerts/SAR filing quality by reviewing SARs sampled and testing the SARs against internal standards
Assist in the reviews of Non-SAR cases, Transaction, Client and Corporate streams
Identify and document issues to QA senior reviewers and/or management who will in turn provide to the respective filing units
Help identify up and downstream controls to help design test scripts for execution
Identify trends and quality testing observations and effectively report summary results to management
Function as a key contributor with demonstrated knowledge of AML/Fraud investigative and SAR experience, as well as broader functional knowledge
Partner with colleagues and stakeholders to ensure global testing practices and documentation are consistent
Participate on special ad-hoc projects as needed
3+ years experience in Compliance, Anti Money Laundering and Investigations
1-2 years of quality testing experience in a financial services environment
Knowledge of the laws applicable to money laundering in Asia Pacific countries/territories and Suspicious Activity Report (SAR)/Suspicious Transaction Reports (STR) requirements
Familiarity with the Bank Secrecy Act (BSA), The USA Patriot Act, OFAC, FinCEN and regional regulatory requirements
Proven experience assisting in the design of quality testing scripts
Strong documentation skills and the ability to articulate clearly the results of testing activities
General understanding of the financial markets, and specific equities and derivatives knowledge
Excellent analytical, written and verbal communication skills with a proven ability to explain QT review findings to both senior managers and analysts
Proven record of time management
Proficient in the Microsoft suite of products (Word/Excel/Access)
Strong interpersonal skills & team player
Adapt to a rapidly changing environment and multi-tasking
Results and deadline driven

CAO Operations Resume Examples & Samples

Coordinate and prepare meeting materials, documenting minutes and ensuring clear ownership of action items
Provide full-time, dedicated support to multiple reference data domains in their efforts to define and certify CDEs to drive adoption of strategic reference data across LOBs/functions
Develop new or leverage existing metrics to track progress of the CDE lifecycle for individual CDEs across all reference data domains
Liaise with Reference Data Technology and other Technology partners to share updates on overall adoption progress, best practices, and tools/capabilities to support adoption
Collaborate with the Reference Data CDO Data Analysis & Remediation Team (DART) to understand domain-specific data quality issues; assess implications for pace of progress on CDE Lifecycle within or across data domains
Minimum 3-4 years project management experience
Exceptional reporting (PowerPoint) and analytical (Excel) skills
Attention to detail and ability to work independently
Ability to prioritize and manage expectations
Ability to thrive in a changing work environment

CAO Operations Resume Examples & Samples

Support RCSA projects, prioritize and identify key messages to present to management to drive change
Ensure GCO Controls programs are executed holistically and that critical handshakes between processes are identified and assessed for risk
Provide strong thought, leadership and communication in relaying GCO Controls information to global colleagues, stakeholders and staff
Execute against GCO Controls workstreams: risk and control self assessments, change management program across process migration, system migration, and document management (e.g. procedures and guidance documents, SLAs, IAS charters, and Resiliency Plans)
Understand and comply with regional and regulatory requirements pertaining to GCO when executing the testing of resiliency plans, SLAs, IAS charters, and system access management
Identify control gaps within GCO wide programs and implement effective controls to close the gaps identified
Conduct gap analyses between differing GCO processes, at both a high and detailed level
Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to
RCSA leads and LOB stake holders
Effectively partner with GCO stakeholders, Oversight and Controls and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements
Share information, support colleagues and encourage participation
Bachelor’s degree and or relevant work experience require
7+ years of relevant experience in AML, Compliance, operations, and project organization
Advanced understanding of internal control concepts
Ability to evaluate and determine the adequacy of controls
Experience in assessing end to end processes to identify operational risk
Ability to work independently or within teams
Proven ability in meeting deadlines in a high-pressure environment
Must be proactive in identifying risks and proposing solutions
Ability to adapt to rapidly changing business environments
Experience meeting project deadlines
Strong interpersonal and verbal/written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Proficiency with MS Office (Outlook/Word/Excel/PowerPoint) advanced user knowledge of excel required

CAO Operations Resume Examples & Samples

Perform analysis on completed reports to verify controls/standards are met
Understand OFAC and AML standards and guidelines to determine whether control issues have been satisfactorily addressed or require escalation for further review by management
Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance and make recommendations for addressing process and procedure-related deficiencies
Evaluate regulatory requirements against departmental resources, goals, and objectives to identify effective alternatives that are practical and appropriate
Verify accuracy related to current OFAC/AML process and investigate reliability of data related to the Quality Assurance Process
Review quality of completed cases/reports, based on quality testing standards, the goal of the operation process, and the nature of the cases
Deliver detailed analysis of findings to senior management
2-4 years of experience reviewing and analyzing data or reports for accuracy and adherence to procedures

CAO Operations Resume Examples & Samples

Perform ongoing formal testing of completed reviews to ensure standards are met
Review the quality of completed reviews using pre-defined test scripts which are based on KYC standards and FCRR procedures
5+ years of experience with Financial Services industry, AML/BSA, KYC, Sanctions, Compliance, Investigative or Quality Assurance background preferred
Strong knowledge of JPMC KYC standards, guidelines, policies and procedures and due diligence requirements
Preferred experience/background with FCRR Operations process & procedures

CAO Operations Resume Examples & Samples

5+ years of related experience including finance, business management and/or compliance related
Demonstrated experience forecasting, tracking and planning financials (headcount, expenses, P&L)
Ability to multi-task and prioritize competing demands
Leadership, relationship-building and influencing skills to drive agenda's across a number of functions

CAO Operations Resume Examples & Samples

Reviewing alerts around regulatory/non regulatory internally directed Enterprise-wide searches of our accountholders and their transactions looking for known or suspected money launderers, terrorists or drug dealers
Performing due diligence on Politically Exposed Persons (PEPs) and Special Persons of Interest (SPOIs) in addition to screening clients against sanction and negative media profiles
Internal/external written and verbal communication of issues, directing searches, reviewing, reporting upon and documenting the results
Reviewing alerts to determine if a true match to a suspect name will include: the results of periodic systematic accountholder screenings, real-time review of online transactions and the review of specific issues escalated from business units
Reviewing, inputting and triage of internal referrals of suspicious customer activity
Perform at a 100% quality rate while balancing high-throughput requirements
Will perform additional duties as requested
Adhere to SLAs; escalating any quality or timeliness issues with Manager for follow-up
Must be a current Year-Up intern
1-3 years experience in financial compliance, customer contact or service operations preferred
Individual must be results driven and have attention to detail, maintain a sense of urgency and ability to prioritize/multi-task
Strong sense of accountability and ownership over “quality” and end-to-end best practices
Strong analytical/time management skills
Able to meet goals and quotas
Strong communication skills are a must – verbal and written
Adaptable, flexible, and willing to work in a dynamic environment
Proficiency in MS Word and Excel
Knowledge of AML/KYC compliance including the USA Patriot Act, Bank Secrecy Act, OFAC and related AML regulations preferred

CAO Operations Resume Examples & Samples

Manage a project team tasked with defining and ensuring implementation of established objectives
Partner with colleagues across lines of businesses to plan and manage strategic and tactical projects and change initiatives
Communicate issues and progress effectively with Senior Management through project implementation
Coordinate and direct cross-functional team activities
Research and document current environment and applying appropriate changes to support the business request/needs
Managing work streams, small projects or other program initiatives, with moderate to low supervision
Contribute to the translation of business requirements into functional design
Escalate project issues and risks appropriately
Participate in execution of a strategy; implement tactical solutions to meet goals for a functional sub-group or a department
Apply independent thought and action on important department activities
Capture and communicate lessons learned from a project and applying them to future business requirements
Bachelor’s degree, plus 5-8 years of operations, technology, financial or risk management experience
Minimum 3-5 years Program Management work experience or experience in managing a team or group of Project Managers & Business Analysts
Anti Money Laundering, Compliance or Regulatory experience a plus
History of success working in a team environment
Strong decision making capabilities and the ability to identify problems and propose solutions, while acting with a sense of urgency
Ability to influence and drive organizational change, and effectively escalate and resolve issues
Strong analytical, interpersonal and presentation skills, including oral and written communication skills and attention to detail

CAO Operations Resume Examples & Samples

10-12 years’ experience in the Financial Services industry with a demonstrated track-record of delivery and/or relevant experience in Compliance, KYC and Screening
Outstanding client management, partnership building and leadership skills
Direct experience of dealing with multiple stakeholders at one time
Ability to deep-dive and investigate issues to see a successful resolution and broker the solution to management
AML/OFAC or Compliance experience highly desirable
Ability to speak and write proficiently in Spanish and/or Portuguese a plus

CAO Operations Resume Examples & Samples

Bachelor’s degree in Business Administration, Finance, Accounting or related discipline
5-7+ years of experience in Controls, Compliance, Data or Risk position, preferably in the financial services industry
Experience in data analysis, metrics design/development and reporting
Management experience leading teams – includes people and performance management
Excellent verbal, interpersonal and written communication skills and the ability to present to any level of management
Self motivated individual that demonstrates initiative
Experience in process improvement
A high-level of attention to detail and quality assurance
Proven ability to be able to multi-task, as well as assess and change priorities
Able to deliver projects consistently, problem solve and think strategically under pressure
Team player with ability to build strong cross-business relationships – proven flexibility, adaptability, and reliability
Highly organized, extremely detailed and control orientated
Excellent PC Skills including MS Excel, Word, and PowerPoint
Understanding of regulatory and compliance environment and lifecycle is a positive

CAO Operations Resume Examples & Samples

Relevant proven training management experience is essential, preferably in the financial services industry
Significant training project management experience required of running similar program
Proven record of successful of development and delivery of training courses and materials
Proactive, independent, self managing and self-motivated
Good leadership skills and demonstrated accountability for delivery and decision making
Excellent communication and personal skills with ability to clearly convey information and adjust style to intended audience
Team player with strong interpersonal and influencing skills
Enthusiasm with ‘can-do’ attitude essential
Knowledge of Compliance, Regulatory, and Firmwide Data is preferable

CAO Operations Resume Examples & Samples

Interpret KYC and AML standards and guidelines to determine whether control issues have been satisfactorily addressed or require escalation for further review by management
Verify accuracy related to current KYC/AML process and investigate reliability of data related to the Quality Assurance Process
Review quality of completed cases, based on quality testing standards, the goal of the operation process, and the nature of the cases
Interface with senior management

CAO Operations Resume Examples & Samples

1 to 2 years working experience in a professional environment
Interest in Compliance, Anti-Money Laundering, KYC/Due Diligence and/or investigations with Anti Money Laundering, Compliance or Regulatory experience a plus
Keen sense of corporate awareness with an understanding of banking operations, business and corporate support structures
Aptitude to understand different business models, product sets, and risk factors across the various lines of business including Private Banking and Investment Banking
Research, analytical and comprehension skills, with ability to analyze and summarize data
Detailed, well organized, self starter, capable of working under minimal supervision
Asian language reading and writing skills (e.g. Chinese, Bahasa, Japanese or Korean) strongly preferred

CAO Operations Resume Examples & Samples

Interpretation of AML Risk standards, guidelines, policies and procedures
Make risk based determination through Quality Analysis (QA) whether alerts were properly cleared by CAO Operations Alerts Analysts
2-4 years of experience in Alert Operations

CAO Operations Resume Examples & Samples

2-3 years experience in Financial Services
KYC/Due Diligence/AML knowledge with expertise in Compliance, Risk, Fraud and/or Investigative research background preferred
Knowledge of public data research including Lexis Diligence & internal systems & applications
Understanding of Due Diligence practices as they relate to negative media, PEP & Sanctions
Ability to translate technical data and information into business reports and presentations
Exceptional research and analytical skills with the ability to analyze large amounts of data and disposition appropriately
Excellent organization, written and oral communication skills
Strong documentation skills to clearly articulate results of testing
Proficiency in MS Office, documentation and metrics
ACAMS certification is a plus
Spanish/Portuguese language is a plus

CAO Operations Resume Examples & Samples

Producing detailed plans for the all phases of projects utilizing Microsoft Project that will form the base document to define roles, responsibilities and milestones; on-going management of these phases of the project and maintenance of the implementation plan and other reporting documentation
Leading/participating in meetings at the operational and project level, providing continuous feedback on project status; offering constructive options to ensure project tracks to plan and on target expectations
Identifying resources and/or scheduling conflicts; changing and control of project scope
Functioning as an escalation point to keep all parties aware of overall project impact, facilitating management decisions at the earliest possible time. Also, recognizing key issues and risks and facilitating teams to solution or escalate to senior management
Supporting business units in the development and execution of plans for successful implementation
Produce Executive Reporting to update Steering Committees, various Risk and Compliance Committees, and for the individual work-streams to report progress against key project milestones, risks, issues, and comprise the dashboard view at a program level of how the program is performing against its overarching strategy
Ensure that any requirements for technical build are initiated, prioritised, and tracked through the appropriate line of business Application Development teams to meet program objectives and target dates
Manage and monitor the project’s funding and its actual and forecasted financial performance against budget as appropriate
Managing post-implementation support functions post-implementation to ensure smooth transition and customer satisfaction
Business Travel – while not expected to be frequent or extensive, geographic boundaries are unlimited and will be based on business need whether for off-sites or due diligence reviews
Knowledge of Compliance within a complex financial institution desirable
Must have successful history in delivery of complex, cross line of business projects
Expertise in managing project resources
Expertise in project management discipline and techniques (PRINCE2 / Six Sigma / PMP)
Knowledge and proficiency of the JPMorgan Project Delivery Framework (PDF)
Strong team building and management / influencing skills
Expert verbal and written communication skills
Ability to influence and motivate cross-functional teams and interact with all levels
Ability to think and act globally, seeking harmonisation and consistency but with appreciation of local and line of business needs
Ability to recognize issues and influence and implement change
Advanced knowledge level of Microsoft Project
Advanced knowledge of Microsoft PowerPoint, and the ability to develop and deliver presentations to all levels of management; as well as the ability to perform ad hoc analysis and produce meaningful operational metrics to help drive performance and achievement of business objectives
Thorough understanding of project requirements, project delivery processes, success factors, and implementation guidelines
Experience with implementation planning, scheduling, and reporting

CAO Operations Resume Examples & Samples

Demonstrate strong independent responsibility and extensive knowledge in working with international AML compliance-related issues, including foreign correspondent banking clients, and products/services employed by such entities and country specific nuances
Possess an in-depth understanding of AML transaction typologies inherent in such clients and large multinational corporations and exercising sound judgment and observe the highest degree of confidentiality in handling the information received while discharging their responsibilities
Investigate & resolve strategic Money Laundering/Terrorist Financing (ML/TF) risks, including typology, geography, product, customer/entity type and other ML/TF risk categories by independently interpreting data, understand the nature of activity and potential risks in client transactions and exercise independent and sound judgment in their decisions & conclusions
Overcome investigatory challenges and be resourceful when dealing with international languages, and limited public source information or data
Conduct periodic internal account/customer reviews, complete analysis of transactional information to identify potentially unusual or high risk activity and comprehensively document steps taken throughout the investigative process
Using public source search resources, determine risk levels associated with top transactors and their beneficiaries and originators (taking into account various risk factors such as jurisdictional, industry, relationship with client etc.). Based on their experience and judgment, determine if additional sources of data should be reviewed
Conduct a thorough investigation to establish the presence of AML transactional typologies through an extensive review of transactions, determine any correlations or anomalies in the data based on reasonable expectations and prior experience and ascertain if activity between originators and beneficiaries have valid economic purpose based on their investigation & findings
Review & interpret transactional activity to determine if the activity is high risk, which requires analyzing the relationship between JPMC client and originators & beneficiaries of transactions and highlight the presence of indirect correspondent banking activity
Make a judgment on the risk, based on all findings (such as the nature or location of the business, the dollar values or transaction volumes involved, historical information and other pertinent information sourced through public sources); Determine if any unusual or high risk activity needs to be referred to AML Investigations for further review and assessment if it is reportable to regulators
Review transactions to establish if these client accounts are being utilized for activity conducted on behalf of Politically Exposed Persons
Independently produce complete and accurate reports of their investigations, findings, decisions and recommendations for use by LOB and KYC Officers
1-3 years of experience in AML, KYC, Due Diligence, Risk, Fraud, Compliance, or similar operational areas in Financial Service preferred
Knowledge of BSA/AML, and other AML regulatory policies, with a strong understanding of AML typologies, geography, products, customer type and expected type of activity in order to effectively identify risk and unusual activity
Proficiency in investigative techniques and pattern recognition and previous success in complex analysis and investigation with unstructured data populations
Understanding of the banking industry, especially correspondent banking
Exceptional research and analytical skills with the ability to analyze large amounts of data, decipher higher risk attributes (transactional, geographical, product, customer type, etc) and to identify trends and potential high-risk activity, and to document conclusions appropriately
Language skills preferred
Strong and adaptable team player, driven and willing to work hard in order to achieve objectives
CAMS or equivalent certification preferred

CAO Operations Analyst Resume Examples & Samples

Provides Control and Compliance Support
Works on SharePoint Requests/Needs
Answers Level 2 Help Desk questions
Assists with RDI Onboarding
Facilitates the daily Production call
Maintains the Open Issue Log tracker
Assists with the Annual Business Unit and General Ledger Account Purges
Supports Business Resiliency
FRD/GEMS Website Support
Maintains and provides Training
Supports Certifications
Assists with SDM Admin duties
Represents the team in group client meetings to facilitate issue resolution
Position has the authority to implement operational changes to resolve issues. This activity encompasses gauging the severity of the issue and its impacts, determining an appropriate solution, and implementing the resolution
Independently assess when and what type of messaging is needed for issues, changes to the system, or other system details and craft communications to key parties
Manage the WRM process, create op models for the process, and lead the monthly operate release process
Conduct significant data mining and analysis to support recommendations and necessary action items
Develop, track, analyze, and publish project reports, resource management reports, project summaries, scorecards and program/project performance trends
Assist clients with GEMS process and content, develop and execute test plans / test scripts, assist in managing the overall project governance
Support management of projects on an ongoing basis, evaluating progress and quality, managing the issue resolutions process and taking corrective action or escalating the issue when appropriate
Bachelors degree in MIS, Finance or Accounting
3 plus years professional experience with at least 1 year of related finance and accounting experience
Strong problem solving ability and analytical skills required
Strong technical skills such as Access, Excel, PowerPoint, Visio, SQL and SAP knowledge desired
Must be flexible (capable of team work and independent effort) within a virtual team that encompasses different locations, countries, and time zones
Proactive, independent and self-managing
A team player and adaptable to changing environment with good interpersonal skills

CAO Operations Resume Examples & Samples

Minimum Five years of relevant work experience
Experience/understanding of business process reengineering and business modeling concepts, business systems development and analysis
Strong analytical skills and writing skills, to include solid experience in writing functional and technical specifications
Program/Project management
Securities Industry knowledge a plus
Working in an Agile Environment
MS Word, Powerpoint and Excel
Working knowledge of SQL and relational databases

Associate Client Reference Data CAO Operations Resume Examples & Samples

Lead various reporting initiatives within Client Reference data team end to end
Play a key role in supporting data management initiatives within Firmwide Data Office
Support ad-hoc requests from senior managers, effectively communicating key messages and articulating meaningful insights digested from large datasets
Act as a partner to senior business heads, anticipating needs and providing value add insights; understand the context in which analytics are being requested and provide thought leadership rooted in a deep understanding of the underlying data
Leading meetings with senior stakeholders and subject matter experts to define and gather requirements
Understand and identify appropriate systems and processes through close liaison with process owners and technology partners, and ensure development of solutions in line with business requirements by working closely with the end state technology team
Production and execution of Daily, Weekly and Monthly MIS as a BAU process
Drive automation of current reporting process via available tools (e.g. SharePoint, MS Access, Excel VBA, Business Objects, SQL Server and Qlikview)
Help with External Party data Domain Book of Work including Data Quality Management, Data Book Administration
Bachelor’s degree with 7-8 years’ experience in Business Intelligence and MIS reporting with a minimum of 1-2 years in operations or reference data
Strong technical skills as relates to business intelligence tools (SQL, Business Objects, Excel, MS Access) and experience in creation of management reports utilizing Business Objects
Strong analytical and problem-solving skills, with the ability to understand business and technical functions, process information quickly, and assess impacts to requirements presented
Excellent relationship management skills, with strong communications and interpersonal skills. History of success working in a team environment
Experience in agile methodology and liaising with technology to deliver Change (from requirements documentation though testing and release of the change)
Analyzing large data sets to identify trends and present findings to Sr. management and stakeholders
Flexibility to handle multiple tasks, changing priorities and track record of
Strong organization and prioritization skill with ability to monitor tight deadlines or unexpected requirement changes
Ambition to succeed and continue to grow in a change function
Work to tight deadlines, and deliver high quality products

Associate Client Reference Data CAO Operations Resume Examples & Samples

Support various reporting initiatives within Client Reference data team
Drive automation of current reporting process via available tools (e.g. SharePoint, MS Access, Excel VBA, Business Objects, SQL Server and/or Qlikview)
Bachelor’s degree with 5-7 years’ experience in Business Intelligence and MIS reporting with a minimum of 1-2 years in operations or reference data
Strong technical skills as relates to two or more business intelligence tools (SQL, Business Objects, Excel, MS Access) and experience in creation of management reports utilizing Business Objects
Flexibility to handle multiple tasks, changing priorities and track record of delivery under pressure

CAO Operations, Reference Data, CDO Associate Resume Examples & Samples

Manage communication of status updates to stakeholders and Senior Management through scorecards, and reporting of RAG ratings, key messages, issues, risks and open decisions
Attend Domain Working Group (DWG) meetings and pre-meetings with select DWG stakeholders to understand progress; provide a cross-domain view to DWG stakeholders to ensure consistency in decisions and definitions across data domains
Attend relevant Firmwide Data Management (FDM) and Reference Data Operations (RDO) meetings; communicate FDM and RDO targets, definitions, milestones, and timelines to DWGs and their stakeholders
Provide guidance to Data Domain Managers, Data Domain Leads, and/or Data Stewards within individual reference data domains on how to use the DataBook tool to define and track certification of CDEs and other relevant definitions
Identify potential issues/roadblocks within DWGs and escalate to relevant stakeholders, including the Data Domain Program Head, for resolution
Bachelor’s degree and experience managing relationships and collaborating with multiple stakeholders across LOBs/functions to achieve set targets
Strong program management and communication skills, especially in a cross-LOB/function role
Familiarity with reference data, end-to-end reference data flows, and reference data domain-specific expertise is preferred but not mandatory

CAO Operations Resume Examples & Samples

Execute the delivery of a wide variety of metrics and scorecard reports for the Alert Operations & Client List Screening organization within tight, clearly defined timelines
Truly understand the data in order to drive new ad hoc report development and generation
Propose, develop and lead the implementation of quality improvement ideas designed to enhance the speed, efficiency and accuracy of the Alert Operations & Client List Screening metrics reporting process
Analyze large sets of daily, weekly, and monthly data for emerging trends
Generate value adding reporting for country, regional, and global stakeholders
Monitor the health and stability of data flow from various data sources into the global strategic tool
Bachelor's Degree or relevant financial sector experience
Strong ability to translate business requirements into systematic metrics reporting requirements
Superior Microsoft Excel skills are mandatory, including proficiency in the writing and use of macros
Capable of working with large data sources and ability to consolidate into concise, easy to understand charts/tables/graphs which can be used by senior management
Ability to identify issues, seek solutions and gain consensus regarding problem / issue resolutions
Accuracy and a strong attention to detail is essential
Strong communication, influence and relationship building skills. Ability to work with line of business and colleagues in different regions
Aptitude for working under high pressure and to deliver the requested reports on time with 100% accuracy

CAO Operations Resume Examples & Samples

Significant Minimum 2 years experience in AML/KYC. Expertise should include Compliance, Risk or Fraud
Strong knowledge of public record databases, including Lexis-Nexis
Detailed, well organized, self starter, capable of working under minimum supervision

CAO Operations Resume Examples & Samples

Perform analysis on completed KYC Due Diligence reports to verify controls/standards are met
Question and investigate the reliability and integrity of data, the validity of conclusions, and the appropriateness of assumptions made
Review quality and compliance of completed cases, based on quality testing standards, the goal of the Due Diligence process, and the nature of the case
Identify key issues, cause and effect relationships, and gaps in the process that impact quality, accuracy, and/or compliance. Report results to management
Make decisions based on audit principles, risk management practices, verifiable data, professional standards, internal policy and governmental guidelines
Consider regulatory requirements, departmental resources, and Due Diligence goals and objectives to identify alternatives that are practical and appropriate, in addition to effective
Pave the way for continuous improvement in the Due Diligence process, and serves as a change agent
Escalate control issues to management
Interface with internal Audit as appropriate
Experience with Financial Services industry. AML/BSA, compliance or investigative background preferred
Knowledge of public data research including Lexis-Nexis & internal systems & applications
Understand Due Diligence practices as it relates to negative media, PEP & Sanctions

CAO Operations Resume Examples & Samples

Develop an in-depth understanding of KYC technologies and strategies
Liaise with business partners to understand the KYC Operations process in order to drive internal technology and development initiatives
Work with key stakeholders from the KYC Ops Team as well as LOBs to draft Business Requirements; Engage with the line operations team throughout implementation of projects; Research and document current environment and apply appropriate changes to support business needs
Partner with Technology teams to assist in translating business requirements to functional requirements
Contribute to prioritization calls, advocating for enhancements to benefit the KYC Ops Teams
Think strategically about enhancements to the process, driving changes to promote efficiency, quality, controls and governance
Assist with UAT planning; write and review test scripts, manage UAT testers; manage the defect resolution process and participate in testing at times
Draft or update procedures and job aids
Create training materials and conduct training
Communicate progress effectively with Senior Management on status calls
Actively engage in project requirement meetings
1-3 years experience as a Business Analyst/Project Manager in reference to business requirements, enhancement of programs, and quality testing
Experience in KYC subject matter a plus
Experience with Agile project management framework as well as knowledge of JIRA
Strong ability to identify problems and propose solutions, while acting with a sense of urgency
Strong PC Skills including Microsoft Excel, Project, Access, Word, PowerPoint, Visio and other reporting tools

CAO Operations Resume Examples & Samples

Manage a team of investigators with responsibility for all aspects of production, including: case assignment, supervisory review, analysis of individual and team quality production and other metrics, as well as oversight and team readiness for new, or updated, transaction monitoring
Critically assess investigator skill sets, production throughput and quality as well as evaluate composition of current and future case inventory to ensure that cases are completed within standard timeframes
Responsible for talent development, including: recruiting, on the job training, coaching, performance management and issue resolution
Bachelor degree or equivalent experience required
Expertise: Demonstrable, in-depth knowledge and experience with high production BSA, AML, OFAC and other AML Investigative processing with strong
Retail banking knowledge, particularly experience with branch referral and bank deposit product processing
Analytical: Exceptional research and analytical skills, with experience in collecting, analyzing, and synthesizing information
Communication: Excellent written and verbal communication skills
Strong PC Skills including MS Office (Outlook/Word/Excel/Access/PowerPoint)
Experience managing ten to thirteen person operational investigative teams
Relevant AML/OFAC certifications a plus

CAO Operations Resume Examples & Samples

Gather and analyze all pertinent client information identified from the screening unit/screening Results
Ability to understand the Corporate standards with respect to the identification of our direct clients and related parties; socialize these adopted standards into the holistic WCOB KYC due diligence process
Complete the CLS Level 3 templates using public and internal sources
Ensure due diligence system is updated properly based upon information sourced
Enter completed template repository to monitor relationships as well as associated country summaries
1+ years previous experience in financial compliance or related position preferred
Bachelor's degree or equivalent work experience (3+ years in compliance)

CAO Operations Resume Examples & Samples

Ensure CAO Ops Controls programs are executed holistically and that critical handshakes between processes are identified and assessed for risk
Support the CAO Ops Issue and Action Plan closure process by evaluating appropriateness of Control remediation
Provide strong thought, leadership and communication in relaying CAO Ops Controls information to global colleagues, stakeholders and staff
Execute against CAO Ops Controls work streams: risk and control self assessments, change management program across process migration, system migration, and document management (e.g. procedures and guidance documents, SLAs, IAS charters, and Resiliency Plans)
Understand and comply with regional and regulatory requirements pertaining to CAO Ops when executing the testing of resiliency plans, SLAs, IAS charters, and system access management
Identify control gaps within CAO Ops wide programs and implement effective controls to close the gaps identified
Conduct gap analyses between differing CAO Ops processes, at both a high and detailed level
Synthesize large amounts of information efficiently and effectively into clear and concise messages to be relayed to RCSA leads and LOB stake holders
Effectively partner with CAO Ops stakeholders, Oversight and Controls and firm subject matter experts so as to effectively understand firm standards, polices and regional regulatory requirements
3+ years of relevant experience in AML, Compliance, operations, and project organization

CAO Operations Resume Examples & Samples

Partner with the various functions including Compliance, Operations and Technology to document data issues and perform analysis of data needs
Work across various businesses - such as CIB, Asset Management, CCB -partnering with technology & operations contacts responsible for source feeds to determine root cause of data issues, obtain corrected data and determine action plan to correct issue going forward
Assist in driving the agenda to build out a strong data management presence across the APAC region
Experience in Data Management, Operational or LOB Middle Office function with a key focus on ensuring data quality
Experience in project management / change management
Experience in defining/documenting new processes ensuring the appropriate level of controls in place
Strong problem solving and decision-making skills. The candidate must be able to identify issues, seek solutions and gain (near) consensus regarding outcome
Strong data analytic skills with ability to dive into details and understand the data provided by the LOB to the Compliance Infrastructure
Ability to take a step back and view the bigger picture, ability to balance strategic objectives with the need to make interim tactical choices in order to sustain progress
Strong communication, influence and relationship building skills. Ability to work with line of business and technology staff
Team player adaptable to changing environment, with good interpersonal skills
Knowledge and experience using Microsoft Project, Excel, Microsoft PowerPoint, Visio etc

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CAO Operations Resume Examples & Samples

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CAO Operations Resume Examples & Samples

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CAO Operations Resume Examples & Samples

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CAO Operations Resume Examples & Samples

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