Monitoring & Testing Resume Samples

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R Rippin

Rashad

Rippin

268 Jamison Ports

Los Angeles

+1 (555) 737 2423

268 Jamison Ports

Los Angeles

Phone

p +1 (555) 737 2423

Experience Experience

Detroit, MI

IB Compliance Monitoring & Testing Branch Reviews

Detroit, MI

Kris Inc

Detroit, MI

IB Compliance Monitoring & Testing Branch Reviews

Lead and motivate junior members of the Americas IB Compliance M&T team, assisting the Americas Head with developing and building bench strength
Plan for, manage, and at times lead on-site compliance reviews at IB Branch office locations to
Responsible for managing delivery against the annual IB Compliance M&T Branch Program review schedule, including direct oversight of scope, budget and travel spend, and testing approach. Both completion of reviews against plan and the level of issues raised are key metrics on the scorecards of Compliance Management Team members
Develop recommendations for corrective actions based on review findings
Present and report review results to Branch, Business and Compliance management
Contribute as a thought-leader in evaluating and refining the IB Compliance M&T testing program and review methodologies, coordinating with regional and global colleagues to determine and implement firm-wide and industry best practices
Initiate and maintain constructive relationships with senior stakeholders across Branch, Business, and Compliance management in the Americas to keep abreast of current business developments and regulatory issues that may impact the risk environment of the Firm

Detroit, MI

Senior Manager RC Monitoring & Testing

Detroit, MI

Cronin-Bruen

Detroit, MI

Senior Manager RC Monitoring & Testing

Lead or oversee cross business programs, projects and initiatives related to Regulatory Compliance Testing, management strategy and project management
To liase with Lines of Business and provide updates on CMAT issues and regiews
Execute assigned responsibilities from the Dynamic Rolling Plan, at the direction of the Canada Regional RCMAT Head
To liaise with Lines of Business and provide updates on RCMAT issues and reviews
Be aware of the Business Regulatory Risk associated with the business. Monitor in accordance with the Principal Accountabilities set out above
Continually review and optimise the Test strategy to eliminate redundancy and duplication, identify process gaps
Coordinate organisational structure, budget and other administrative functions related to the Canada CMAT organization

present

Phoenix, AZ

Senior Manager FCC Monitoring & Testing

Phoenix, AZ

Kilback, Satterfield and Jaskolski

present

Phoenix, AZ

Senior Manager FCC Monitoring & Testing

present

Lead or oversee cross business programs, projects and initiatives related to Compliance Testing, management strategy and project management
Lead or oversee issue resolution, to include the initiation, development and delivery of products, programs and strategies responsive to the issues
The position routinely interacts with senior management for assigned businesses, division and country executives, other Group senior managers, regional and local compliance functions, peers throughout the organization and senior examination officials conducting regulatory examinations
This position is only to be used in areas where the organizational structure has (Senior) Managers reporting into a level between the (Senior) Manager and Director
Coordinate the governance of the Annual Plan, in conjunction with the Canada Region CMAT head and Functional Leads
Keep Compliance, Business and Functional management informed of significant matters and oversee a governance process designed to communicate timely and relevant information to Senior Management as well as Local/ Regional Management, via both established dashboards and other vehicles
The position directs compliance activities for the largest and/or most complex businesses in North America and is considered a senior compliance position within the business unit and/or function

Education Education

Bachelor’s Degree in Business

Temple University

Bachelor’s Degree in Business

Skills Skills

Ability to learn new topics quickly
Good documentation skills
Strong written and verbal communication skills in English, fluency in Mandarin
Good judgment of issues and risk
Attention to detail
Confidence and ability to interview business managers to gather relevant information
Structured and analytical approach
Analysis of businesses and risk e.g. for regulatory compliance, due diligence or auditing
The ideal candidate will have at least 6 years of relevant experience in the industry
Experience in internal or external audit will be

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VP IB Compliance Monitoring & Testing Resume Examples & Samples

Responsible for managing the Quality Assurance, Tracking & Management Information ('QA/Tracking/MI') function of the IB Compliance M&T Branch Program in the Americas
In the Quality Assurance, Tracking & Management Information role, the successful candidate must be able to coordinate effectively with colleagues both within the IB M&T Americas team, as well as with other Compliance functions (notably the IB Compliance Delivery & Execution team, other regional M&T teams, and Product Compliance Advisory), Barclays Internal Audit, Front Office areas under review, and other control function colleagues
Assist the Americas Head of IB Compliance M&T with managing delivery against the annual IB Compliance M&T Branch Program review schedule, helping to track completion of reviews against the team's annual plan and all open/overdue action points raised through the reviews undertaken
Contribute as a thought-leader in evaluating and refining the IB Compliance M&T testing program and review methodologies, coordinating with regional and global colleagues to determine and implement firm-wide and industry best practices
Conduct QA reviews of final draft reports and review documentation
Prepare regular management information on behalf of the Americas region for the IB Compliance M&T Leadership Team, wider IB Compliance Management Team and other governance bodies such as the IB ExCo as requested
Assist Global Head of IB Compliance M&T QA/Tracking/MI with the build out of the IB Compliance Monitoring & Testing QA / Tracking /MI capabilities, in addition to ensuring that the build out accords with the harmonization with other Barclays Compliance M&T functions
Further establish the already created pan-IB Compliance capability for maintaining/ensuring the quality of the team's output
Support the development and ongoing administration of the Compliance Testing System ('CTS') to facilitate efficient review and annual planning processes
Lead and motivate junior members of the Americas IB Compliance M&T team, assisting the Americas Head with developing and building bench strength
4-year Bachelor's degree or international equivalent
6+ years of relevant compliance, regulatory, audit or operational risk management experience in a global investment bank or with a regulator

AVP, Compliance Monitoring & Testing Resume Examples & Samples

Draft preliminary recommendations and work with responsible owners to agree on corrective action based on review findings
Follow-up on action plans to verify that corrective action has been effectively implemented
Work with Compliance and Business colleagues to prepare for regulatory examination

IB Compliance Monitoring & Testing Resume Examples & Samples

4 year Degree
2+ years of compliance, regulatory, audit or operational risk management experience in a global investment bank including experience with investment banking products, experience with Federal banking rules and regulations a plus
Knowledge of FINRA, SEC and other regulatory rules and regulations
Ability to analyze and interpret regulatory rules and their impact on the business
Enforcement experience with FINRA, SEC or other regulatory agency a plus
Industry affiliations
Energetic, detail-oriented, organized, articulate, willing to take responsibility, and comfortable speaking and responding to comments and questions regarding review work
Self motivated, proactive and able to manage multiple priorities
Ability to anticipate and provide solutions to complex problems

IB Compliance Monitoring & Testing Branch Reviews Resume Examples & Samples

4+ years regulatory, audit or operational risk management experience in a global investment bank or with a regulator
4+ years of branch exams experience, including extensive in-depth knowledge of FINRA, SEC, and other the relevant regulatory rules and regulations
Ability to analyze and interpret regulatory rules and their impact on the business areas reviewed
Good understanding of core investment banking business lines and products, including equities, fixed income, commodities, banking and financing activities
Enforcement experience with FINRA, SEC or other regulatory agency a plus Industry affiliations
Energetic, detail-oriented, organized, articulate, willing to take responsibility and comfortable speaking and responding to comments and questions regarding review work
Demonstrated analytical skills
Demonstrated written and oral communication skills
Constructive and positive approach to challenges
Ability to represent and enforce compliance while considering the needs of the business
Experience managing/leading teams

Senior Manager FCC Monitoring & Testing Resume Examples & Samples

This position is only to be used in areas where the organizational structure has (Senior) Managers reporting into a level between the (Senior) Manager and Director
Positions designated as “general compliance” are typically focused on one or more major lines of businesses within the Company (i.e. Consumer Lending, Retail & Commercial Banking, Card Services, etc.). Many of the businesses entail a high degree of regulatory compliance and reputational risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and may result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts
The position directs compliance activities for the largest and/or most complex businesses in North America and is considered a senior compliance position within the business unit and/or function
The position routinely interacts with senior management for assigned businesses, division and country executives, other Group senior managers, regional and local compliance functions, peers throughout the organization and senior examination officials conducting regulatory examinations
Significant travel may be required, as appropriate
Experience required in
Internal audit experience covering Global Banking and Markets
Compliance experience in Global Banking and Markets
Monitoring and testing experience in Global Banking and Markets
Minimum of ten years proven and progressive financial services operations, compliance and/or legal management experience or equivalent
Bachelor’s degree in business, related field or equivalent experience; Master’s degree preferred
Strong managerial, communications, analytical, organizational, project management and planning skills
Strong knowledge of assigned businesses, products, operations, systems and organization and full understanding of all significant regulatory compliance requirements applicable to the business

Monitoring & Testing, PCB Compliance Resume Examples & Samples

The monitoring visits may include any of the business areas covered by the team and any of the technical compliance areas
Assist with and/or lead the production of formal reports identifying compliance issues and recommending changes to management controls and processes. Input to discussions with management and agree findings and recommendations
Where relevant, assist with theme-based reviews across the business
Adhere to the Monitoring & Testing procedures including recordkeeping and documentation requirements
Ad-hoc reviews, with appropriate written or verbal reports as requested by compliance management
Practical experience of an appropriate risk based approach to monitoring/testing (gained either in Audit or Compliance monitoring)
Sound knowledge of Monetary Authority of Singapore, Hong Kong Monetary Authority or other regulatory body rules and regulations with specialist technical knowledge as above
Extensive experience, preferably in private client or investment management businesses
Fluency in Cantonese and English is required
Proficiency in other languages would be a plus, mainly Mandarin

VP, Monitoring & Testing Resume Examples & Samples

Work to establish a risk based review plan to meet review cycle requirements
Perform testing of compliance and regulatory related controls to evaluate effectiveness
Provide necessary training and assistance to other members of the team to ensure they are able to plan and conduct compliance reviews
7+ years of experience in financial industry 5+ years of general Compliance experience or 4+ years of experience in a testing, branch examination position or working for a Regulator
Analysis, planning and problem solving skills
Superior organizational skills
Series 7, 66 and 24 a plus
High level attention to detail
Knowledge of complex products a plus

BSA Compliance Monitoring & Testing Officer Resume Examples & Samples

Communications test results to management, the BSA Quality Assurance Lead, the BSA Compliance Program Manager and the BSA Officer. Prepares and presents written testing report of testing results and recommendations
LI-JB1
ACAMS certification preferred
5 - 7 years internal audit, compliance, or regulatory
Strong writing skills for composition of reports
Strong knowledge of the Bank Secrecy Act, USA PATRIOT Act, OFAC Sanctions and FFIEC Examinations Manual
Independent worker, analytical and critical thinker; ability to multi-task and work in a fast-paced environment
Computer literacy required (Word, Excel, etc)

Director, Monitoring & Testing Resume Examples & Samples

Develop and maintain a Compliance Monitoring Schedule based on ongoing risk assessments and the Visa risk scoring and rating methodology
Demonstrate ability to exercise good judgment in assessing the significance and relevance of identified compliance risks and perform timely escalation to CCO
Assist the business in developing first line of defense in establishing controls to ensure regulatory compliance and implementing monitoring for assurance
Develop and manage strong working relationships with the Business Areas to facilitate on-going communications to assess changes in risk profiles and assist them with improvements in their QC/test plans
Draft reports of the results of monitoring & testing projects, which are clear, concise, and provide value to management
Communicate findings and recommendations to management, determine root causes, obtain management’s action plan for remediation in a timely manner and track findings through resolution
Minimum 7 - 10 years of audit/compliance testing experience
Substantive / current knowledge of building / managing U.S. regulated banking monitoring and testing programs
Strong communication skills (written, verbal, and listening)
Solid organizational, analytical and problem-solving skills, along with attention to detail
Providing hands on supervision to team members assigned to the project and reviewing their work for sufficiency of scope, ensuring accuracy and quality work in adherence to department and professional standards
Ability to work on multiple projects at one time
Assist the Senior Director with the strategic direction and effective management of the group. Ensure that all teams within the group work as a team to meet the department goals
Sound understanding of business management principles
Develop Business Partnerships. Develop a strong working relationship with line managers responsible for the assigned lines of business. This relationship is predicated on developing continuous, proactive communication lines with management
Being viewed as a leader, management consultant and internal controls expert as part of building and maintaining ongoing business/compliance relationships with management
Must be self-managing and able to work with minimal day-to-day guidance
Must enjoy being a member of a cohesive team. Competent in using Microsoft Office

VP of Monitoring & Testing Resume Examples & Samples

7+ years of experience in financial industry, 5+ years of general Compliance experience, or 4+ years of experience in a testing, branch examination position or working for a Regulator
Series 7, 66 and/or 24
Knowledge of complex products

Intern, Risk-fcc & RC Monitoring & Testing Resume Examples & Samples

Launch of new Thomson Reuters system, in particular the audit module
New MI templates and reporting infrastructure
Internal quality assurance exercise over compliance reviews
Be immersed in HSBC’s culture and the Financial Crime and Regulatory Compliance function
Gain a better understanding of financial crime and how financial institutions work to protect against financial crime
Learn to work in a dynamic, team-based environment
Available to work maximum 12-14 week internship (May 18 or 26 – August 29, 2014)
Applicants have finished their 2nd or 3rd year of a BA degree or 1st year MBA
Overall minimum GPA of 3.0
Eligible to work in Canada
Well developed communication skills
Passion to share your opinions and ask relevant questions
Strong leadership capabilities
Active in the community/university
Organizational, planning, quantitative, analytical, problem-solving and leadership skills with an attention for detail
Strong interpersonal skills and enjoys working in a team environment
Ability to collate data; Strong command of software programs (Excel and Powerpoint)

Analyst Fcc & Rc Monitoring & Testing Governance Resume Examples & Samples

Provision of management information (MI) on the outcome of monitoring for the local and regional compliance officers and business unit governance committees
Updating procedures and guidance in line with Group standards, regulatory requirements, and industry standards
Liaising with team members and business partners to perform quality assurance to check compliance with CMAT policies
Preparation of MI and escalation of any issues related to CMAT activities to the Head of Monitoring (HOM) to share with Business Lines, for example, monitoring falling behind schedule or non-adherence to processes and procedures
The position addresses legal compliance matters in daily activities to ensure regulatory requirements and operating practices are followed in assigned areas. Ultimate authority for compliance risk management and policy decisions rest with higher management
Many of the businesses supported entail a high degree of regulatory compliance and reputational risk, particularly with respect to risks arising out of non-compliance with extensive and complex regulations. Failure to comply with these regulations would have significant negative effects on relations with regulators, the reputation of the Company with the public and may result in regulatory impediments to mergers and acquisitions and significant regulatory sanctions, including regulatory fines of material amounts
The position routinely interacts with management for assigned businesses, regional and local compliance functions, peers throughout the organization and examination officials conducting regulatory examinations
Travel may be required, as appropriate
Minimum of three years proven audit, compliance, financial services operations and/or regulatory experience, or equivalent
Bachelor’s degree in business, finance, accounting, related field or equivalent experience
Good interpersonal, organizational, communications, analytical and project management skills
Proficiency with personal computers and pertinent mainframe systems and software packages, especially MS Excel

Compliance Cass Monitoring & Testing Resume Examples & Samples

Assist the senior members of the CASS MT with the delivery of the CASS monitoring and testing programme including CAP validation
Lead or be part of a team on CASS MT reviews which includes planning, executing and completing reviews
Assist in other tasks within the CASS MT remit
Experience in banking and/or operational risk and control
Significant experience with data extraction, analysis and monitoring of MI/KPI/KRI
Experience with identifying process improvements and controls enhancements
Practical audit experience in a Big 4 or other top tier accounting firm an advantage
Practical knowledge of accounting preferred
General understanding and knowledge of the practical application of the rules set out in CASS preferred
Experience with application of CASS rules for global financial services companies preferred
Demonstrable ability to manage teams an advantage
Strong analytical skills and ability to summarise information to focus on key messages
An understanding of CASS rule requirements and their application to operational processes preferred
Reasonable working knowledge of Investment Banking and Private Banking, both products and operational processes
Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with senior business/compliance partners
Have good organisational skills with an ability to manage, prioritise, work under pressure and meet tight deadlines
Demonstrate ability to build and maintain relationships with businesses and other stakeholders at different levels of seniority
Expect to travel to other location on occasion as required

Compliance Monitoring & Testing SVP Resume Examples & Samples

At least 10 years experience in Audit, Compliance or Testing in multiple areas of banking
Strong regulatory knowledge
Excellent planning and execution abilities
Ability to build strong realtionships internally

Associate GIM Regional Compliance Monitoring & Testing Resume Examples & Samples

Research, plan and lead monitoring reviews, in accordance with the Firm’s Compliance procedures to provide an independent assessment of compliance with applicable rules and regulations
Organize and prepare management information relating to monitoring reviews completed, issues identified, outstanding action plans and progress against plan
Work with line of business management to develop appropriate action plans to remediate issues identified
Work to enhance the visibility of the monitoring program and establish key business relationships. Interact with all levels of business management and staff. Meet regularly with key business stakeholders to remain informed of risks within the business and issues arising
Work with the Compliance Advisory teams/Subject Matter Experts to ensure up to date and comprehensive understanding of business areas. Use this knowledge to develop and execute the monitoring program
Coordinate with other team members globally to ensure a consistent approach where appropriate, and assist in various ad hoc projects as necessary
Establish a process of continuous development of both individuals and the test program; and
Undertake ad-hoc projects
Analytical and good interpersonal skills required
Minimum 5 to 7 years of financial services experience, preferably in Audit or Monitoring/Testing related roles
Ability to manage multiple projects simultaneously with minimal supervision
Understanding of risk and control frameworks
Good knowledge of the regulatory framework for global banking and securities institutions, with an overall understanding of regional regulations relating to retail brokerage, registered investment advisors, alternative investments and other complex financial products and/or consumer banking related requirements (e.g., mortgages, deposits, trust and estate services)
Fluent in English, working knowledge of Cantonese/Mandarin and other Asian languages will be an advantage
Strong written and verbal communication skills, as well as influencing abilities; and
Knowledge of Microsoft Word, Excel and PowerPoint. Experience with Visio preferred, but not required

VP GWM Compliance Monitoring & Testing Resume Examples & Samples

Testing of businesses and processes impacted by regulatory changes
Co-ordination with global Compliance teams in order to ensure that APAC GWM test program is aligned with global objectives and meets the firm’s standards
Co-ordination and engagement in audit, regulatory and client enquiries and reviews relating to compliance testing
Involvement in Compliance Practices departmental projects
Approximately 8 to 10 years relevant Compliance experience or other related experience such as legal, risk management and audit
A strong leader with between 3-5 years management experience
Excellent written skills with an ability to produce and oversee the production of well written reports and present findings to senior management
Strong communication, interpersonal and influencing skills. The candidate should have the ability to establish credibility and strong partnerships with senior business leaders, control functions and corporate partners globally
Good organizational skills with the ability to oversee the workload and prioritize in order to meet tight deadlines
Has a good appreciation of the regulations applicable in APAC and GWM
Expect to travel to other locations as required

Director Compliance Monitoring & Testing Resume Examples & Samples

CPA or CIA preferred
Excellent written, oral and presentation skills and ability to synthesize information to make clear, concise recommendations
Excellent knowledge of Legal and Regulatory requirements for Payment Card Industry and a Public Company, such as Antitrust, FCPA, GLBA, BCM, PCI-DSS, and AML and the ability to discern the practical application of legal and regulatory requirements
Significant experience in evaluating the Policies / Programs associated with complex business and Operational processes
Excellent data analysis skills and demonstrated experience developing and executing compliance control validation program within a complex operational, IT, and/or regulatory environment
Minimum 7- 10 years of audit/compliance risk assessment experience, preferably with a large financial institution or Big 4 firm
CIA, CRCM, CISA, CISM, or other relevant professional certification highly desired
Strong skills in Microsoft Suite, i.e. Outlook, Access, Excel, Power Point, and Microsoft Word
Excellent organizational and project management skills and the ability to execute on multiple projects simultaneously
Must be self-directed and possess a results orientation
Knowledge of the Financial/Banking industry preferred

Monitoring & Testing Resume Examples & Samples

Running the Risk Assessment framework
Carrying out in-depth reviews
The ideal candidate will have at least 5 years of relevant experience in the industry
Experience in the following areas is required
Investment banking (particularly securities trading)
Analysis of businesses and risk, (e.g. for regulatory compliance, due diligence or auditing)
Experience in internal or external audit will be a plus

Monitoring & Testing Resume Examples & Samples

Running the Compliance Risk Assessment framework
Carrying out in-depth Compliance reviews
The ideal candidate will have at least 6 years of relevant experience in the industry
Analysis of businesses and risk e.g. for regulatory compliance, due diligence or auditing
Structured and analytical approach
Confidence and ability to interview business managers to gather relevant information
Strong written and verbal communication skills in English, fluency in Mandarin a plus

Compliance Monitoring & Testing Resume Examples & Samples

Conduct field reviews in line with the firm's methodology and document findings
Recommend remedial actions based on findings and track them forward for within specific timelines
Write reports that present review results, articulate the rationale for findings, the risks posed and actions required to address those risks
Work with Business Line Compliance Officers and management to agree on appropriate action plans
Track agreed actions through to conclusion and report on progress upon completion of reviews
Develop good working relationships with key stakeholders including Business Line Compliance Officers, Business Divisions and other Infrastructure / Control functions at all levels including senior stakeholders
Develop and maintain a broad knowledge of the Firm's business and regulatory framework in which it operates

Senior Manager RC Monitoring & Testing Resume Examples & Samples

When unsure, guidance would be sought from Canada Head of RCMAT. The jobholder is expected to act pro-actively in identifying issues through regulatory compliance testing. Individuals should have the ability to quickly assess information through analysis and knowledge of business structure as well as showing leadership in an unstructured environment and keeping up-to-date with changes in the HSBC Group and applicable regulatory requirements
To liaise with Lines of Business and provide updates on RCMAT issues and reviews
Minimum of 7 years of proven Banking / business, Solid audit and/or accounting experience in HOST Functions, CMB, RBWM and GBM or equivalent. Experience in Back Office Operations reviews
CA, CPA, CIA or CISA and Bachelor degree in business, law, accountancy or related field or equivalent experience. Masters, MBA preferred
Ability to manage conflicting priorities effectively and proven ability to meet challenging deadlines
Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data and complete assignments timely
Confident interaction with stakeholders at all levels throughout the organization
Ability to influence, build consensus, and handle challenges independently and appropriately
Ability to work with different cultural groups and accept different points of view

Compliance Monitoring & Testing Program Manager Resume Examples & Samples

Assist with designing and implementing a comprehensive Compliance Monitoring and Testing Program, including conducting compliance reviews, coordinating with business units and support functions, assessing existing policies and procedures and testing business processes as they relate to LexisNexis Risk Solutions’ compliance and regulatory obligations
Identify potential gaps during testing and coordinate remediation efforts between the business unit, legal and the Regulatory Compliance Group
Design, enhance and review exception reports
Collaborate with the business units and technology to design internal controls, methods and procedures, and make quality observations. Develop internal controls including methods and procedures
Assist in the development of test plans for compliance testing. Partner with internal stakeholders for the definition and development of controls, monitoring programs and reports
Manage, resolve and escalate, as appropriate, issues to the Regulatory Compliance Group attorneys and if necessary, the business unit attorneys
Identify and propose solutions to inefficiencies and redundancies, and engage in constant process improvement
The role reports into the Regulatory Compliance Group and involves alignment and coordination with business units and technology
Bachelor's degree or equivalent work experience required
5-7 years’ experience with 3-5 years in compliance or audit experience
Excellent analytic and organizational skills. Ability to work independently
Strong time management and prioritization skills, able to demonstrated ability to execute multiple projects and excel in a fast-paced work environment
Demonstrate a general knowledge of applicable laws and regulations and industry trends
Skilled in industry research and benchmarking, performance assessments and development programs
Working knowledge of MS Office
Certifications preferred (e.g., CPA/CA, CIA, CISA, CFE, etc.)

VP Monitoring & Testing Governance Resume Examples & Samples

Testing Program and Methodology: Take a managerial role in the implementation of program standards. Contribute to continuous improvement and update of the overall process
Quality Assessment and Improvement Program: Assist in the design a program focused on promoting quality and consistency. Ensure continued execution of the process. Identify areas for improvement and contribute practical, innovative, and value-added solutions. Assist in development of training and other performance management initiatives to drive excellence
Governance and Reporting: Assist in the design, coordinate and aggregate reporting for the Americas/Countries. Implement consistent reporting methodologies for the Region. Ensure all local, regional and global reporting objectives are maintained
Annual Plan/Risk and Review Prioritization (Test Plan Development): Maintain ongoing awareness of key factors that affect the compliance risk environment from an internal and external perspective. Analyze and understand how these key factors affect CMAT testing and department planning processes. Manage the development of the annual testing plan and ongoing prioritization of reviews
Program Quality: Provide guidance over creation and maintenance of the testing program library. Manage the deliverables of the program quality process
Minimum of a bachelor’s degree in business, accounting, finance, related field or equivalent experience or professional certification (CPA, CA or CIA)
Excellent communication skills both oral and written
Ability to exercise discretion, work independently within broad guidelines, tactfully handle sensitive and confidential data, and complete assignments timely
Ability to travel as needed

Senior Financial Crimes Independent Monitoring & Testing Officer Resume Examples & Samples

Serve as tester-in-charge for full scope and/or risk-based, critical and complex testing assignments
Assign and supervise the activities of the Monitoring and Testing team who participate on the assignment
Assist in planning, scoping and developing test plans; using resources effectively to complete assignments within time goals
Facilitate meetings related to issues, rating and testing details with business unit (BU) and senior management
Write testing reports, ensuring test procedures are followed; make risk determinations and overall report rating decisions
Lead kick-off and closing meetings with BU and/or senior management
Develop and deliver tactical training to new team associates, as needed, to complete assignments
Make appropriate recommendations and risk ratings of issues and findings during the testing process
Address material issues with senior management, including technical discussion of root cause and evaluation of corrective action plans
Develop strong, auditable work papers, including documented support for all areas in scope and any issues noted in the testing report
Play a key role in validation of corrective actions by lines of business
Six years of compliance experience in AML compliance, AML regulatory, AML audit or related experience
Advanced knowledge and experience with compliance testing or compliance auditing and complex banking compliance requirements
Very good analytical and problem solving skills that will be used in addressing issues that may appear, and often times are, overly complicated
Ability to evaluate the adequacy and effectiveness of the systems or processes that are compliance controls and make recommendations for improvements, as necessary
Excellent understanding of risk dynamics, risk management and process concepts
Established verbal, written, facilitation and consulting skills
Excellent ability to communicate and interact with all levels of management; demonstrate and be recognized as having strong knowledge and procedural skills
Master’s degree in a Legal or Business-related field
Eight years of AML compliance experience at medium to large financial institution(s)
Five years of experience in compliance management/audit or examination fields
Two years of strong performance in a compliance testing position, demonstrating the ability to lead large/complex testing events, enterprise perspective, strong attention to detail, and expert level compliance knowledge/skills
Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), or other specialized compliance education/professional designation

Financial Crimes Independent Monitoring & Testing Officer Resume Examples & Samples

Ability to analyze and understand Bank Secrecy Act (BSA)/AML/OFAC Sanction regulatory requirements
Review ongoing monitoring activities of assigned review areas
Perform validation of BU self-monitoring
Develop strong, auditable work papers, including documented support for all areas in scope and any issues noted in monitoring and validation reviews
Make appropriate recommendations for risk ratings of issues and findings during the monitoring and validation process
Address material issues with business unit senior management, including technical discussion of root cause and evaluation of corrective action plans
Assist Senior Financial Crimes Independent Monitoring and Testing Officer, as needed
Play a key role in validation of corrective actions by lines of business. Assist the Financial Crimes Independent Monitoring and Testing Manager with the following as needed
Four years of compliance experience in AML compliance, AML regulatory, AML audit or related experience
Advanced knowledge and experience with compliance testing or compliance auditing
Very good analytical and problem solving skills that will be used in addressing issues that may appear and often times are overly complicated
Ability to evaluate the adequacy and effectiveness of the systems or processes that are compliance controls
Ability to communicate and interact with business unit management
Five years of AML compliance experience at medium to large financial institution(s)
Three years of strong performance in compliance-related role
Two years of experience in compliance management/audit or examination fields
Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor

Senior Analyst RC Monitoring & Testing Resume Examples & Samples

Work with the team to provide a highly professional, competent and skilled service to the Business
Strong interpersonal skills with the ability to communicate effectively at all levels and to engage with senior HSBC staff within the functions
Ability to foster relationships whilst providing adequate challenge and effecting change
Ability to work under pressure and within tight time-lines
Excellent verbal and written communication skills – ability to communicate complex regulatory issues in writing

Senior Manager, Monitoring & Testing Resume Examples & Samples

The role conducts AML monitoring reviews throughout all BMOFG lines of businesses. The role has a deep understanding of review and monitoring techniques along with knowledge of AML legislation. The incumbent assists in the development of the methods and standards used to be used when conducting reviews of AML Program requirements
The incumbent executes multiple simultaneous review engagements and identifies areas for improvement in the AML program. The role has accountability to make recommendations to close gaps to Senior Executives within the lines of business, and identify best practices from within BMOFG and throughout industry. The role is capable of executing end to end control reviews with limited oversight by the Senior Manager, including defining the engagement scope, communicating with Line of Business Partners and presenting results to Senior Management. The role will execute monitoring in highly complex areas in the line of business, including International Financial Institutions, Trade Fianance and Private Banking
The incumbent develops standardized monitoring and testing procedures which are used by AML Monitoring staff to conduct their reviews. Monitoring and validation procedures are created to formalize the monitoring program across all lines of business. The incumbent provides guidance to international locations to ensure consistency of the monitoring program
The incumbent is responsible for developing and enhancing the AML monitoring strategy. This includes, updating the program for new assurance and risk methodologies, identifying new testing for new or altered lines of business and establishing testing for areas of weakness. The role is expected to manage the annual planning process, which identifies the areas to be tested for the upcoming year
The incumbent is responsible for providing advice and direction to AML Enterprise Operations and all Lines of Business to educate them on AML requirements. The role will assist in co-ordinating testing with Internal Audit and will advise internal audit on findings
The role is expected to have at least 7-10 years of related work experience in Compliance, Audit or Operational Risk
Organizational Understanding - Knowledge of Enterprise processes and operations, including all LOB/Pillars and T&O
Risk management - Knowledge of AML regulations and regulatory expectations
Analytical Thinking - Knowledge of Audit, internal controls and/or similar oversight procedures would be an asset
Communication - Ability to communicate with cross functional groups and senior levels of management and clearly document the results of work performed
Problem Solving - Ability to identify potential solutions to systemic issues in consultation with senior management
Auditing - Ability to examine the work of others to ensure compliance with requirements

Head of RC Monitoring & Testing Resume Examples & Samples

Minimum of a Bachelor’s degree in business, related field or equivalent experience
10 years in the financial industry with a minimum of 7 years in Compliance testing and monitoring or possibly relevant audit / regulatory experience covering a wide range of business areas
Knowledge of key current rules and regulations governing the bank activities and its subsidiaries
Highly motivated self starter with proven ability to work collaboratively within teams and to deliver on time

Monitoring, Testing & Training Manager Resume Examples & Samples

Intellectual and analytical skills of a high order. He/she is likely to be a graduate and / or have a professional qualification
Ability to use initiative and work with minimum supervision but ensuring, at the same time, that the line reports are kept fully informed at all times
Ability to work on different reviews at the same time, meet all deadlines and work under pressure
Ability to communicate effectively, orally and in writing, with senior internal and external audiences – to educate, persuade, negotiate, gain decisions, enforce
The strength of character, credibility and personal presence and the communication skills to operate confidently and effectively at senior levels both internally and externally
The flexibility to appreciate the commercial objectives of the business, coupled with an ability to challenge, independently and constructively, senior management, peers or other staff where appropriate, to insist upon adherence to the highest standards of business practice and to the requirements of relevant authorities. Tact and sensitivity as well as strength and authority are important
Ability to consider issues from a range of angles and propose creative solutions that assist the business in achieving its goals in a safe, compliant and controlled manner
Displays familiarity and knowledge of relevant banks product/services/markets/policies
Demonstrates a good understanding of functional areas within banks. e.g. finance, markets, risk, treasury, corporate, retail, IB
Displays willingness and initiative to learn about new products
Understands the control, regulatory and risk issues of the financial institutions
Improve technical knowledge through self-learning or training
Effective communication skills, both written and verbal
Audit/Monitoring experience in a financial services environment
He/she is likely to be a graduate and / or have a professional qualification
Experience in negotiation/influencing
A bachelor’s degree in finance or ACCA or any related qualifications
A minimum of three years experience in the financial sector

Compliance Monitoring & Testing Resume Examples & Samples

Leading and conducting APAC and Global M&T Compliance reviews to
Validate compliance against established policies and procedures and applicable regulations
Develop recommendations for corrective action based on review findings
Work with advisory compliance colleagues and management to agree on appropriate action plans
Present and report review results to Business and Compliance Management
Satisfy standards for delivering high quality value added monitoring & testing reviews
Bachelor Degree or equivalent
Significant compliance experience, preferably with a global investment bank
Regulatory and/or advisory compliance experience preferred
Working knowledge of relevant rules and regulations
The candidate must be detail-oriented, organised, articulate, willing to take responsibility, and comfortable speaking and responding to concerns and questions regarding review work
Takes constructive and positive approach to challenges
Able to work independently and in a team environment
Able to represent and enforce compliance while considering the needs of the business
Able to support point of view when challenged
Proven ability to anticipate and provide solutions to complex problems

Head of RC Monitoring & Testing Resume Examples & Samples

10 years in the financial industry with a minim of 7 years in Compliance testing and monitoring or possibly relevant audit / regulatory experience covering a wide range of business areas
An excellent understanding of the regulatory environment and expectations, interpretation of Canadian Regulatory rules and guidance together with and other relevant regulations, codes and HSBC Group Standards
Strong interpersonal skills with the ability to communicate effectively with both Compliance and Business Senior Management

Director of Monitoring &testing Resume Examples & Samples

Maintaining Global Procedures and Monitor Plan execution according to the established review schedule and on an ad hoc basis, as necessary
Review and verify compliance with applicable policies and procedures leveraging existing risk assessment processes and other drivers of the annual plan
Review compliance testing results, evaluate internal controls and identify deficiencies and anticipate and provide solutions to improve the program
Direct Compliance review testing teams cross divisionally. This will include, but not limited to, close review of the Global standards
The successful candidate will have experience interacting with knowledgeable and demanding audiences at all levels of management
He/She is expected to demonstrate integrity, flexibility, versatility and an ability to shepherd multiple concurrent priorities to completion without significant guidance
He/She should have proven success in coordinating large scale initiatives involving geographically and functionally diverse stakeholders

Manager, CB Compliance Monitoring & Testing Resume Examples & Samples

Provide assistance to staff in their development of monitoring and testing activity procedures, designed to detect and mitigate regulatory violations and control gaps using a risk-based approach
Perform detailed review of working paper files and supporting documentation related to all Compliance monitoring activities and select testing engagement files, including an assessment of whether appropriate conclusions have been made and adequately supported
Prepare the final report to management, discuss the report with management, and ensure that appropriate remediation plans and dates are obtained from management on a timely basis
Proactively deliver regular updates to the Senior Manager regarding program status and issues identified
Establish and maintain strong working relationships with key stakeholders in order to meet challenging deliverables within stringent timelines
Provide support for stakeholders with respect to their understanding of the Compliance monitoring activities program framework

AML Compliance Risk Assessment Monitoring & Testing Supervisor Resume Examples & Samples

Individual should have 6+ years of self-testing and/or audit experience
Strong working knowledge of banking products
Clients and geographical locations
BSA/AML and OFAC regulatory requirements
Team player with strong interpersonal skills, strong analytical skills, and verbal/writing skills
Ability to multitask and work under pressure

Senior Manager, Monitoring & Testing Resume Examples & Samples

Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge
Establish a risk based second line regulatory compliance testing program to identify areas of regulatory compliance risk and continuously provides feedback on enhancements to the M&T methodology which includes the compliance universe, risk prioritized assessments, testing cycles, reporting results and more
Oversees the Canadian Banking Compliance second line M&T team and work closely with the Directors of Canadian Banking Compliance, Trusts, Tangerine, and Insurance, as well as with senior employees of the various businesses to develop, support and execute the Canadian Banking M&T program
Provides advice and counsel to Canadian Banking Businesses with respect to the first line M&T program and procedures
Identifies trends and/or gaps across businesses and reports findings with recommendations on how to improve the effectiveness of first line controls to the Director and Senior Management
Liaises with Canadian Banking businesses to implement changes to processes or procedures, as required based on testing results
Pro-actively identifies potential violations of regulatory requirements, internal policies and procedures, in a timely manner and makes recommendations to mitigate business, compliance and operational risk
Works closely with counterparts in Compliance to ensure consistency and alignment on the M&T program and best practices across the organization
Builds a high performance environment and implements a people strategy that attracts, retains, develops and motivates their team by fostering an inclusive work environment; communicating vison/values/business strategy and managing succession and development planning for the team
Ability to drive success in a high performing, flexible and small team environment
Excellent knowledge of Canadian Banking business regulatory compliance requirements
Proven experience deploying compliance solutions
Strong analytical and communication skills, results orientation and data driven approach in decision making
Experience with providing insights to and interacting with the business
Experience using analytics to identify areas of risk and opportunities for improvement
Understands M&T standards, tools and methodologies behind creating valuable compliance programs

IB Compliance Monitoring & Testing Resume Examples & Samples

The UK-based IB Compliance Monitoring and Testing (M&T) team is primarily responsible for risk-based regulatory compliance and conduct testing across Barclays Corporate banking. Outcomes of reviews are focused on business practice improvements and not just on routine identification of areas of inconsistency against internal or external requirements. The M&T team is also responsible for validating, reporting and tracking of progress against action plans established to mitigate findings
M&T tests the supervisory, administrative and operational controls associated with policies and procedures and independently assesses and reports on areas of potential reputational or regulatory risks. M&T conducts desk reviews, branch/office reviews and thematic reviews
Plan for and manage the execution of compliance reviews according to the established review schedule and in accordance with the established review procedures
Supporting the development of an annual schedule of reviews based on inputs such as the outcomes of the annual Compliance Risk Assessment, discussions with Product Compliance, MI from previous reviews and own view of risks
Identifying the scope and testing approach for reviews, including articulating sampling and test methods
Performing compliance reviews to include the following aspects
Good knowledge of UK and/or European regulatory rules and regulations and their practical application
Good understanding of core Corporate Banking business lines and products
The candidate must be motivated, resourceful, detail-oriented, organised, articulate, willing to take responsibility, and comfortable with speaking and responding to concerns and questions regarding each of the areas within the span of responsibility
The ability to represent and enforce compliance while considering the needs of the business
Proven ability to anticipate and provide pragmatic solutions to complex problems
Bachelors Degree or equivalent work experience
Compliance experience, regulatory experience or operational risk management/audit experience, ideally with investment banking experience