Transaction Monitoring Resume Samples

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N Monahan

Nikita

Monahan

65895 Mackenzie Island

Detroit

+1 (555) 872 1098

65895 Mackenzie Island

Detroit

Phone

p +1 (555) 872 1098

Experience Experience

New York, NY

AVP Transaction Monitoring Systems

New York, NY

Torp, Kuvalis and Hammes

New York, NY

AVP Transaction Monitoring Systems

Solid project management/work flow management will be viewed positively
Participate in AML optimization across multiple LOBs (including correspondent banking, retail, commercial, brokerage, and trade finance) and multiple Transaction Monitoring Systems, ensure sound risk coverage, adequate quantitative model assessment and validation, and data quality completeness and integrity
Perform pilot projects to analyze and establish new algorithms and rules
Strong knowledge of Microsoft Word, Excel, and PowerPoint... Access and Project Manager a plus
Support all review and audit functions; create a model inventory list and ensure all models are reviewed
Act as SME in AFC technology related projects
Design and implement risk-based alert scoring, creating a data quality process

Boston, MA

Manager, AML / ATF Transaction Monitoring

Boston, MA

Frami-Rath

Boston, MA

Manager, AML / ATF Transaction Monitoring

Staffing model design including maintaining a model to measure and track team activity; development of case to hire when necessary
Management of the Unusual Activity Committee
Team performance standard setting and monitoring and metrics reporting
Develop and maintain team documentation – procedures, operating standards, etc
Participate on AML industry committees/working groups
Watchlist program alert handling and case management (country alerts, sanctions, PEFPs)
Transaction rule design to identify unusual activity requiring review or investigation including for new products/new channels and changing/new typologies

present

San Francisco, CA

AML Transaction Monitoring Team Lead

San Francisco, CA

Lockman, Towne and Cremin

present

San Francisco, CA

AML Transaction Monitoring Team Lead

present

Assisting in the development and implementation of improvement plans with quality assurance personnel
Line management responsibilities for analysts, including performance management, coaching, hiring and training
Providing operational expertise to internal working groups, teams and committees focused on enhancing current procedures and creating efficiencies
Generating workflow reports pertaining to analyst activity, scheduling and resource planning
Strong performance record with a history of increased responsibility, and task / project delivery
Operating within agreed business SLAs and confidentiality standards
Reporting unusual client activities which might relate to money laundering

Education Education

Bachelor’s Degree in Regulatory Compliance

Georgia State University

Bachelor’s Degree in Regulatory Compliance

Skills Skills

Strong attention to detail and ability to multitask
Advanced knowledge of MS Excel, including pivot tables, macros, filtering, and sorting
Strong knowledge of Microsoft Word, Excel, and PowerPoint... Access and Project Manager
Excellent time and work organization management with the ability to manage personal workload
Strong interpersonal skills and good team player
Working knowledge of AML laws (USA PATRIOT Act), Regulations (Fed, SEC, FINRA) and their application to the supported products/business lines
Ability to communicate issues to management in an effective and succinct manner
Excellent writing and communication skills
Ability to work independently and within teams
Advanced knowledge of effective internet search techniques

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AML Transaction Monitoring Tuning Resume Examples & Samples

Critically assess the rules to monitor corporate and institutional banking business within automated monitoring platforms (Mantas), in close collaboration with compliance, to ensure their ability to capture the risks modelled
Identify weaknesses in rules and advise how rules can be tuned/optimised to provide a more effective and efficient operating environment
Undertake statistical analysis on monitoring data to establish initial proposals for tuning
Work closely with system management to execute tuning test cycles and assist in analysing the results
Training of System Management analysts
Subject matter expertise in Mantas tuning/Data Analytics
Good knowledge of AML risks on International banking products
Experience of Mantas Transaction Monitoring systems and rules
A deep understanding of statistical analysis techniques and applicability to transaction monitoring tuning
Working knowledge of SQL

AML Transaction Monitoring Business Analyst Resume Examples & Samples

Assistance in establishing the global tuning function, primarily for the automated monitoring of the International banking business performed on the Mantas platform
Maintenance of the global library of rules and thresholds with close collaboration with system management function
Liaison with multiple groups in the bank to develop tuning plans, and then to monitor their execution
Conducting of analyses to review the effectiveness of rules and support the AML SME in the team
Development of thorough understanding of the rules and appreciation of data quality required for the rules to be effective
Lead in driving through data quality improvement initiatives, primarily with source system owners
Maintenance of tuning procedures and supporting docs
Working knowledge of transaction monitoring domain
Good knowledge of front-to-back transaction flows
Experienced within change control processes
Knowledge of automated transaction monitoring systems, including Mantas and Actimize

Transaction Monitoring & Verification Entry Associate Resume Examples & Samples

Bachelors Degree in Business or related field required
High School Degree will be accepted in lieu of a Bachelors Degree with 5+ years of relevant experience
Strong working knowledge of fraud mitigation preferred
Excellent phone skills required
Demonstrated customer service skills a must
Must possess the ability to analyze, interpret and communicate technical/detailed information

Transaction Monitoring & Verification Senior Analyst Resume Examples & Samples

Identifying large currency activity not in accordance with the Bank Secrecy Act such as willful structuring, blindness, or money laundering
Independently reconciling outstanding currency transaction items via the LCR system and department reports to meet mandatory IRS deadlines
Interacting with the branch network and money rooms regarding the communication of issues related to the timely and accurate filing of CTRs and MILs (monetary instrument logs)
Investigating and balancing daily reports, and notifying management of irregularities
Independently researching and analyzing potential reportable cash transactions to determine the final decision to report to the IRS; whether reportable, suspicious, or eligible for exemption status
Performing additional research for transactions rejected by the IRS

Transaction Monitoring & Verification Entry Associate Resume Examples & Samples

Bachelor’s degree required or high school with 5 plus years of experience
3 to 5 years of banking experience and knowledge of Bank Fraud preferred
Proficient computer skills (i.e. Word, Excel, Access) are preferred
Demonstrated research, problem solving and analytical skills preferred
Must be detailed oriented and the ability to multitask is critical
Strong documentation management and organizational skills

Transaction Monitoring & Verification Intermediate Associate Resume Examples & Samples

Performs research on potentially unusual or suspicious transactions/activities through analysis of internal systems, AML databases, communication with bank personnel, and open source research
Demonstrates proficiency in writing, proactively adapting writing style to meet varying objectives
Documents alert research/decision regarding unusualness of the transactions within the monitoring system. Adheres to internal policies and investigative and documentation protocols
Applies functional and technical knowledge, professional standards and techniques to deliver high quality work
Uses basic industry knowledge and own skills to make decisions independently and accurately based on readily available information to determine whether the transactional activity merits further review
Assists in alert tuning exercises to enhance the effectiveness of the automated system
Bachelor's Degree in a business or related field required
2+ years of relevant work experience required. Experience directly related to AML/BSA, fraud, or financial irregularities preferred
Would consider a High school diploma and 5+ years of relevant work experience in lieu of education
This position requires the ability to work under limited supervision, while maintaining productivity requirements and making quality decisions
Knowledge of and proficiency in the use of the internet, PNC systems, databases and technology

AML Transaction Monitoring Resume Examples & Samples

The right candidate will ideally have previous relevant experience in financial services in a similar position in AML, KYC, CDD/EDD or Client on Boarding; Ideally with knowledge of the Asia Banking Regulations as well as of the AML principles and its application
The right candidate will also have a strong knowledge of the current environment (FATCA, Sanctions, Tax crime etc)
In addition, the right candidate will show excellent skills, including the ability to analyse and interpret data, using Excel. Experience in banking Operations systems such Avaloq would be beneficial
Strong communication skills in English
Passionate, analytic and results oriented and will demonstrate the ability to work under pressure and to analyse information

Transaction Monitoring & Verification Intermediate Analyst Resume Examples & Samples

Typically 1-2 years of related experience or product knowledge to accomplish primary duties
Would consider a level of experience in lieu of College Degree
Strong decision making skills
Basic PC skills preferred

Transaction Monitoring & Verification Senior Analyst Resume Examples & Samples

Typically 3+ years related experience required
2 to 3 years of banking experience preferred, customer service or branch experience a plus
Good organizational tools
Ability to work independently and perform research
A working knowledge of, or ability to interpret industry regulations, bank policies, and departmental guidelines preferred
Basic PC Skills preferred

Business Engineer Mantas Aml Transaction Monitoring Application Resume Examples & Samples

Extensive knowledge of Oracle Mantas (v5.8.1 or later) scenarios, threshold optimization, alert scoring, auto-close, watch list functionality, risk derivation, aggregation-derivation workflows
Experience in Oracle Mantas Product installation/upgrades on Unix/Linux. Overall understanding of the Oracle Mantas product architecture
Hands-on experience on Mantas Scenario Developer – scenario customizations of existing scenarios, and creation of new custom scenarios from scratch
Support all the data mining activities
Work closely with business to determine requirements, perform gap analysis on existing systems, and prioritize issues
Work closely with technology units to convey and interpret requirements, analyze and evaluate data needed to meet the requirements, and QA the resultant development work
Solid problem solving, decision making and analytical skills
Solid understanding of, or the ability to quickly gain such, of applicable laws, regulations, and guidance in the subject area as well as the desire to keep up with changes in a complex environment
Solid knowledge of Oracle SQL/PLSQL (Oracle 10g/ 11g)
Exceptionally solid verbal and written communication and presentation skills
Understanding of AML concepts in several of the following areas
Clear verbal & written communication skills
Flexible in terms of working hours, depending on project needs

AML Transaction Monitoring Resume Examples & Samples

At least 3-5 years experience in financial services industry in AML related role either in compliance, KYC, or Big 4 Advisory
Good judgement with excellent collaborative and team playing skills
An inquisitive approach to practices, procedures and specific transactions
Sound working knowledge of MS Office suite particularly Word, Excel and PowerPoint
Must possess ability to assess risk, excellent interpersonal skills and multi cultural awareness and sensitivity

Analyst AML Operations Transaction Monitoring Resume Examples & Samples

Demonstrates a thorough understanding of policies and procedures pertaining to the role. Aware of what constitutes an effective control environment
Coordinates internal processes for the revision, review, approval, and publication of policies applicable to the business unit as well as internal departmental procedures to support functions that are the responsibility of Compliance
Establishes process for the distribution of Compliance related communications from the department. Partners with management to create and deliver internal training and manage special projects within the department

Head of AML Transaction Monitoring Team Resume Examples & Samples

At least 8 years of working experience with 5 years of AML/CFT Compliance experience
Good general knowledge of the AML/CFT laws, regulations and suspicious reporting standards globally and regionally in an international financial institution or a regulatory body in Asia Pacific is preferred
Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment, and preferably with some experience of dealing in multiple countries in Asia Pacific
An ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes
Must evidence an attention to detail and have an investigative and questioning nature
Ideally be flexible and have a hands-on in work style, with the ability to work independently to carry out projects
Ideally be familiar with navigating the operational tools which support AML/CFT Compliance controls

AML Transaction Monitoring Resume Examples & Samples

Bachelor's degree or equivalent from an accredited institution (e.g. ICA or ACAMS). Post-graduate degree or law degree may be a plus
At least 5 years of working experience with 3 years of post-transaction monitoring experience. Candidates with less experience may be considered Analyst role
Good general knowledge of the international financial sanctions laws and regulations in an international financial institution or a regulatory body in Asia Pacific is preferred
Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem-solving and an ability to work in a fast-paced, rapidly changing environment, and preferably with some experience of dealing in multiple countries in Asia Pacific
An ability to write concisely and clearly; and to produce clear constructive advice under pressure and within short timeframes
Must have a strong attention to detail and have an investigative and questioning mind-set
Ideally be flexible and have a hands-on in work style, with the ability to work independently to carry out projects
Ideally be familiar with navigating the operational tools which support Sanctions Compliance controls
Asian language capability, especially in Mandarin is desirable, but not essential

Team Leader AML Operations Transaction Monitoring Resume Examples & Samples

Reports directly to a US Head of Ops AML Monitoring. The position directly supports activities in the AML Operations Office
Responsible for managing all aspects of an Anti-Money-Laundering (AML) alerts investigations team including Quality Control, review and approval of alerts that are potentially suspicious
Involved in reviewing systematic AML alerts and determines if transactions occurring are valid Anti-Money Laundering risks. Performs encompassing research taking into account various AML risk factors and indicators to determine if a Suspicious Activity Report (SAR) requires completion. If a SAR is not required, the officer must rationalize why the transaction is not an AML risk. The Officer may be responsible for filing a SAR report, in less complicated transactions
Coordinates internal processes for the revision, review, approval, and publication of policies applicable to the business unit as well as internal departmental procedures to support functions that are the responsibility of Compliance. Establishes process for the distribution of Compliance-related communications from the department, and partners with management to create and deliver internal training and manage special projects within the department
Bachelor’s degree in business, finance, accounting, related field or equivalent experience

Audit Director AML Transaction Monitoring & Detection Resume Examples & Samples

Have a minimum of 10 years functional knowledge of AML Transaction monitoring & Detection functions
Background should include: Understanding of supervision functions needed for an effective AML transactions monitoring and detection program, understanding of AML Investigation principles and experience in overseeing quantitative analysis is used in the following: AML scenario model development, Model validation, predictive modeling, risk analytics, optimization techniques, AML investigations, SAR decisions, and regulatory compliance
Experience in performing oversight controls used in AML detection and monitoring programs such and understanding of complex nature of rules that can reflect a number of factors relating to that customer (e.g. aggregate transactions, type, amount, frequency, business)
Experience in managing teams and overseeing complex projects
Prior audit experience is a plus but not required
Have experience in working with AML programs that have been established to comply with the local and U.S. regulatory requirements,
Have experience in working with the second line of defence to assess policies and procedures,
Sets strategic direction within Internal Audit and develops and executes a robust Audit Plan, by reviewable entity, for assigned businesses in accordance with Internal Audit standards, relevant government statutes and regulations and Citigroup and Citibank policies
Interacts with regulators on a frequent basis. Develops effective senior line management relationships and has a strong understanding of the businesses
Frequently involved in matters that require complex judgments and solutions based on sophisticated analytical thought such as identifying solutions for a variety of complex and novel audit control issues. Analyses reporting findings; Recommends appropriate interventions where needed
PH.D in Statistics (or related quantitative field) preferred, M.S. in Statistics (or related quantitative filed) required
Experienced in Model Ongoing Monitoring/Review/Validation with following enterprise guidelines and regulation requirements. Expertise in developing Anti-Money Laundering (AML) detection models
Experienced in SAS data analytics tools and Teradata SQL in an enterprise environment

Transaction Monitoring Resume Examples & Samples

1-3 years Experience in Quantitative and Statistical Analysis
Experience as an AML Investigator in a surveillance monitoring capacity
Advanced knowledge of MS Excel, including pivot tables, macros, filtering, and sorting
Advanced knowledge of effective internet search techniques
Experience in Correspondent Banking and Asset Management businesses a plus
Experience with Mantas or other AML behavioral detection systems a plus
Strong knowledge of Microsoft Word, Excel, and PowerPoint... Access and Project Manager a plus
Experience with MS Access and Visual Analytic Tools a plus (e.g., JMP, Cognos, SAS)
Experience in Computer Science, database design, ETL processes, and data mining a plus
System and Business Analysis background a plus
Excellent analytical, judgment, and research skills
Superior decision making skills and strong problem solving skills
Strong attention to detail and ability to multitask
Excellent time and work organization management with the ability to manage personal workload
Strong interpersonal skills and good team player
Excellent writing and communication skills
Ability to communicate issues to management in an effective and succinct manner
Ability to work independently and within teams
Minimum Bachelors degree or equivalent
Minimum of 3 years working experience in Quantitative/Qualitative Analysis position, as Business Analyst, System Analyst or equivalent
Ability to interact with Infrastructure and other appropriate groups in a fast paced environment
Working knowledge of AML laws (USA PATRIOT Act), Regulations (Fed, SEC, FINRA) and their application to the supported products/business lines

SH Correspondent Banking Transaction Monitoring Resume Examples & Samples

Produce quantitative and qualitative analysis to support maintenance and enhancement of existing AML surveillance models / rules / scenarios on the Oracle Mantas platform
Assist in developing and testing new surveillance solutions, including tuning and configuration
Work closely with members of other teams (Financial Crime, Investigations, Change Management, Technology) to research issues, define and evaluate possible solutions, document decisions, support implementation of changes
Author, organize and maintain robust documentation associated with AML Surveillance Optimization analysis and related program materials/procedures
Present findings and recommendations to internal and external stakeholders
Explain analytical / statistical concepts, methodologies and data-based recommendations to a variety of audiences
Manage work tasks and deliverables in a deadline-driven environment
Plan and manage project activities with other teams; identify and resolve dependency and resource issues
3+ years corporate work experience with responsibility for conducting independent analysis, documenting findings and producing management recommendations / reports
2+ years of work experience in the Compliance function of a major Financial Institution
Master’s Degree
2 years experience working with Oracle Mantas AML platform in a Technology or Analyst role
Strong analytical skills, including fluency in statistics and expertise in using MS Excel and MS Access
Effective written and verbal communication skills, with track record of producing complex reports, PowerPoint presentations, data-based graphs and charts
Broad-based understanding of banking products/services, financial transactions, securities products
Experience with automated AML surveillance and transaction monitoring systems
This position will require considerable interaction with software technology and databases. Preferred candidates will have a general understanding of database technology and some prior exposure to software/database development
SAS and SQL programming skills are a significant plus
Comfortable working to meet project / deliverable deadlines
Commitment to quality of work product
Embraces analytical challenges and enjoys creative problem solving
Comfortable working collaboratively, taking direction and seeking out needed guidance or information

AML Transaction Monitoring Audit Manager VP Resume Examples & Samples

Execute and/or provide Audits within the context of the firm's global independent testing mandate, including robust tracking of audits, audit components, and issues
Design analytics test to support audit activities, including Audits, Continuous Monitoring, and Risk Assessments
Develop and improve current analytics service models in support of audit activities
Comply with JPMorgan Chase technology and data standards and policies
Develop requirements, design, code, test, and analyze results using tools such as Microsoft Access, Business Objects, SQL, TOAD, and ACL
Identify and implement best practices; drive change within the internal audit and the firm to strengthen to the control framework
Develop and maintain relationships with the Global AML Management team
Past experience as a bank examiner, auditor, consultant or compliance professional with a deep understanding of BSA, AML, and OFAC (8+ years)
CAMS and/or Audit Certification a plus

Transaction Monitoring Team Lead-private Banking Resume Examples & Samples

Reports directly to a US Head of Ops AML Monitoring. The position directly supports activities in the AML Operations Office
Responsible for managing all aspects of an Anti-Money-Laundering (AML) alerts investigations team including Quality Control, review and approval of alerts that are potentially suspicious
Involved in reviewing systematic AML alerts and determines if transactions occurring are valid Anti-Money Laundering risks. Performs encompassing research taking into account various AML risk factors and indicators to determine if a Suspicious Activity Report (SAR) requires completion. If a SAR is not required, the officer must rationalize why the transaction is not an AML risk. The Officer may be responsible for filing a SAR report, in less complicated transactions
Coordinates internal processes for the revision, review, approval, and publication of policies applicable to the business unit as well as internal departmental procedures to support functions that are the responsibility of Compliance. Establishes process for the distribution of Compliance-related communications from the department, and partners with management to create and deliver internal training and manage special projects within the department
Minimum of four years or equivalent experience performing investigations, international or domestic, with experience in correspondent banking, International Cash Letter and Letters of Credit, preferably related to financial crime investigations
Bachelor’s degree in business, finance, accounting, related field or equivalent experience
Strong interpersonal, organizational, communications, analytical and project management skills
Thorough knowledge of products, services, operations and systems and extensive dealing with laws, regulations and regulatory agencies related to assigned areas
Proficiency with personal computers, pertinent mainframe systems, and software packages

Transaction Monitoring Manager Resume Examples & Samples

Transaction Monitoring SME - reviewing and approving alerts that have been escalated by the team and identifying unusual trends
Ensuring new regulations are input correctly to the current system
Project Focus - Assist in the implementation of "Actimize" as a new to bank system, reviewing rules and processes as well as senior stakeholder management
Man Management- Managing one individual initially
Proven in depth transaction monitoring experience is essential to be considered for this role
Experience within "Actimize" is highly advantageous if at SME level
Strong stakeholder management skills and previous project implementation
Experience managing a small team is desirable but not 100% essential

Financial Investigation Unit Transaction Monitoring Resume Examples & Samples

Maintain and enhance the Firm’s automated surveillance programs designed to detect potential money laundering transactions, suspicious money movements, potential insider trading, potentially problematic transactions in unlisted low-priced securities, as well as other areas of potential market manipulation
Manage a VP, 3 AVPs and team of analysts who perform reviews and investigations resulting from the output of the aforementioned transaction monitoring surveillance systems
Work with colleagues, advisors and supervisory personnel to resolve these alerts, as appropriate. Identify and escalate issues
Ensure good processes are in place regarding the team’s operating procedures. Ensure the team the timely documents and resolves all alerted transactions
Manage and track the resolution of self-identified issues, as well as issues identified by regulators, corporate audit, compliance testing programs and third –party assessments
Provide key leadership and tactical support for Firm-wide BSA/AML/OFAC policies, program and procedures
Act as a delegate on AML and FIU related governance committees
Respond to information requests regarding the Firm’s BSA/AML/OFAC program, within defined guidelines
Assist management of the FIU in special projects, reports, training and/or presentations, as needed, to communicate BSA/AML/OFAC program requirements, updates and the resolution of complex issues
Bachelor’s Degree required, Master’s Degree or JD preferred
Professional certifications (i.e., ACAMS, CFE) also preferred
15+ years financial services industry or government agency/regulatory body experience
Minimum of 5-7 years of experience in a BSA/AML/OFAC compliance department preferred
Minimum of 3 years of experience in developing and managing BSA/AML/OFAC compliance monitoring, testing, due diligence, and/ or auditing programs for a financial institution preferred
Strong background in process mapping and identifying root causes and remedies
Strong working knowledge of Microsoft office skills, including Power Point and Excel
The ability to think holistically about processes that impact clients, and to continuously refine those processes, making it easier for clients to accomplish their daily business

Manager, AML / ATF Transaction Monitoring Resume Examples & Samples

Transaction rule design to identify unusual activity requiring review or investigation including for new products/new channels and changing/new typologies
Periodic Rule optimization reviews to test effectiveness and efficiency
Implementation of enhancements including introducing data analytics as a method to uncover unusual activity
Management of team activity from unusual activity alert handling through to Suspicious Transaction Report (STR) filing to FINTRAC including: timely review, case management/investigation completeness and documentation, alert and case disposition recommendations/determination, STR creation/review/filing and customer risk recommendations (e.g., to demarket)
Management of the Unusual Activity Committee
Watchlist program alert handling and case management (country alerts, sanctions, PEFPs)
PEFP determination, review and approval process
Develop and maintain team documentation – procedures, operating standards, etc
Team performance standard setting and monitoring and metrics reporting
Staffing model design including maintaining a model to measure and track team activity; development of case to hire when necessary
Manage relationship with Manulife Business Processing Services (MBPS) team in Manila, Philippines including performance monitoring and compliance checklist items
Collaborate with Manulife Bank AML team to achieve process integration and consistency where beneficial
Collaborate with Manulife AML teams in the Global Compliance Office, United States and Asia and with Global Solutions Delivery team
Participate on AML industry committees/working groups
Participate in responding to internal and external audits
Proven leadership ability – 5+ years of experience
5 to 7+ years of experience working in AML/ATF, Financial Crimes or equivalent experiences
Strong knowledge of AML/ATF legislation, regulations, guidelines and regulatory expectations
Certified Anti-money laundering Specialist (preferred) or earned within one year of hire (must)
Strong knowledge of and experience working in financial services industry
Strong insurance and wealth management products (or banking), services and distribution knowledge
Expertise with transaction monitoring applications (e.g., FISERV Financial Crime Management), systems, methods, including using data analytics for monitoring
Strong interpersonal relationship building, negotiating and influencing skills
Goal oriented, confident, decision-maker – independently exercises good judgment, problem solving and analytical skills and uses good judgement when escalating
Thrives in a large, complex, fast-paced environment

SH Correspondent Banking & Transaction Monitoring Resume Examples & Samples

Relevant AML Compliance specifically AML/transaction monitoring and Inquiries in a banking environment i.e. Investment Banking and Corporate Banking (incl. Correspondent Banking)
Experience with Bank operations -SWIFT, CHIPS, Reconciliation etc
Prior experience in Research and/or Investigations-Fraud, AML, or Risk
Well-versed understanding of core KYC Principles
Proven track record of meeting processing targets
Proficient in using internet search tools
Advanced PC skills

AML Transaction Monitoring Team Lead Resume Examples & Samples

Allocating alerts to analysts for investigation of transactional activities to detect any suspicions of money laundering activity
Validating and authorizing submissions of requests for further information, escalations or suspicious activity recommendations
Authorizing closure of cases
Using global standard policies, procedures and tools
Operating within agreed business SLAs and confidentiality standards
Generating workflow reports pertaining to analyst activity, scheduling and resource planning
Providing operational expertise to internal working groups, teams and committees focused on enhancing current procedures and creating efficiencies
Supporting the successful accomplishment of internal Risk and Control, and Self-Assessment (RCSA) policies, as they apply to the department
Line management responsibilities for analysts, including performance management, coaching, hiring and training
2 years experience in AML Monitoring
Knowledge of AML regulations and trends
Strong performance record with a history of increased responsibility, and task / project delivery
Preferred experience in managing a team
Banking / Finance / Business background
Proven background to interact with senior management
A person in this role has a passion for uncovering the truth and exposing potential criminal activities. He/she has a genuine interest in the news and current affairs with the ability of cross referencing them during investigations. He/she is methodical, analytical, open minded and have the desire to thoroughly and accurately research, extract, compile and connect information from various sources

Director Transaction Monitoring & Filtering Analytics Manager Resume Examples & Samples

Work closely with Transaction Monitoring Optimization team to ensure that the right models are in place and that they are properly tuned and optimized on a scheduled, periodic basis to comply with SR 11-7
Identify and evaluate AML risks associated with the Transaction Monitoring and Filtering program to determine the need for the development of additional models and other additional actions that must be taken to mitigate risk
Assist the AML Group’s periodic risk assessments through the analysis of data elements related to potential indicators of customer, product, or geographic risk, evaluating and enhancing the AML Group’s risk rating methodologies, and identifying new quantitative factors that can be incorporated into the risk assessment process
Serve as a the key interface working with Risk Management (Independent Review & Control) to ensure that USFS models have been implemented according to USFS requirements/SR 11-7 and are being utilized and performing as expected in accordance with supervisory requirements
Participate as an integral member of the USFS Strategic Plan team in ensuring compliance with DFS Part 504. Assist with scoping and planning, program assessment and certification protocol design, program remediation and certification protocol execution and ensure the appropriate connections are made here with SR 11-7 and other USFS Strategic Plan requirements
Conduct periodic reviews of system parameters to ensure Transaction Monitoring and OFAC filtering systems are producing quality alerts with minimal false positives

Analyst Anti Money Laundering Operations Transaction Monitoring Resume Examples & Samples

Reports directly to the Team Leader Ops AML Monitoring;Directly supports activities in the AML Operations department
Reviews systematic Anti-Money-Laundering (AML) alerts and determines whether transactions occurring are valid Anti-Money Laundering risks. Performs encompassing research taking into account various AML risk factors
Strong interpersonal, organizational, communications, analytical and project management skills

Program Lead-transaction Monitoring Resume Examples & Samples

Proactively identify situations that may pose significant compliance risk and guide management in the development/review of applicable policies, procedures and business practices
Develop transaction monitoring strategies based on applicable regulations, business and compliance risks and identify operational resources needed to execute identified strategies
Participate and collaborate in the review and analysis of new SOPs, enhancement of existing SOPs and work closely with operations in rollout of initiatives
Gather business requirements and translate them to policies and operational processes to achieve specific objectives
Report progress on key initiatives and projects to management, and focus on baselining metrics, setting goals and monitoring results
Partner with the product and engineering teams to ensure projects meet regulatory requirements and operational efficiency goals
Work closely with key functional departments to ensure proper implementation, reporting and change management
Bachelor’s degree, CAMS certification or other Compliance certification such as CRCM or CRP preferred
5+ years of compliance experience within the financial services industry
Working knowledge of financial institution, money service business, and/or banking compliance in EU, including knowledge of anti-money laundering, credit compliance and consumer protection, data protection, anti-corruption regulations
Excellent ability to analyze compliance risks in complex business processes, and recommend controls to mitigate those risks
Demonstrated ability to communicate, influence and drive decisions through the use of data
Master's degree in Risk Management, Compliance, Law
Advanced Compliance certification(s)

Associate, AFC Transaction Monitoring Resume Examples & Samples

Supports the AFC TM function, including centralized examination management, project oversight & business change management, oversight & QA
Supports the Head of Project Management in exam management, project management, execution, tracking, communications and reporting for multiple high priority, cross-functional initiatives
Support the Heads of QA & Oversight in the testing and review of alerts generated from the introduction of new scenarios and tuning of existing scenarios
Support the centralized exam management team in maintaining an efficient & timely exam management framework, including the following responsibilities

Transaction Monitoring Resume Examples & Samples

Delivery of Transaction Monitoring book of work that will consist of projects, medium size CRs and small enhancements using agile approach
Work closely with product owners / business and the dev team for smooth delivery
Help delivery teams for impact assessment and estimation of change requests against applications / products within Transaction monitoring domain
Facilitate all agile ceremonies (planning / stand-ups /review/ retro etc.) to ensure high velocity is maintained
Coach the feature teams on the mechanics of Scrum
Effectively guide team members on the mind-set changes that will optimize productivity
Help product owners (capability owners) in understanding their role and working through stakeholder conflicts and prioritization
Work with PMOs, business management, technology management and other stakeholders to understand their roles and maximize their effectiveness in working with agile feature teams
Drive the organization-wide agile adoption strategy
Coach teams and management towards improving agile process and metrics, evaluate and mentor existing Scrum teams, and deliver training classes for product owners, developers and testers
Review component designs & builds to ensure compatibility with the end-to-end system design
Responsible for high quality code that achieves consistent acceptable level of accuracy
Document all work in accordance with agreed standards, and with re-use in mind

VP Transaction Monitoring Systems Resume Examples & Samples

Enable Line of Business and Country level business to continue core banking business without excessive interruption due to inefficient detection systems
Collaborate to define KPI with LOB stakeholders, develop and implement risk-based, effective and efficient rules, lead a diverse team of systems and analytics professionals based in onshore, near shore, and offshore teams, and engage risk and audit partners to ensure ongoing review and transparency achieved
Work with the Data Mining and Analytics teams and the Risk Coverage/Governance Team to ensure the rules are reviewed on a regular basis based on the level of risk and that the systems are appropriately optimized
Oversee AML optimization across multiple LOBs (including correspondent banking, retail, commercial, brokerage, and trade finance) and multiple Transaction Monitoring Systems, ensure sound risk coverage, adequate quantitative model assessment and validation, and data quality completeness and integrity
Design and implement risk-based alert scoring, creating a data quality process
Support all review and audit functions; create a model inventory list and ensure all models are reviewed
Act as SME in AFC technology related projects
Maintain standards for segmentation methodology, scenario tuning methodology, peer grouping, BTL sampling (below the Line) methodology
May also lead a team of analytics experts to continually assess current and emerging high risk transactional activities via the utilization of innovative analytical methodologies

AVP Transaction Monitoring Systems Resume Examples & Samples

Conduct trend analysis, univariate and multivariate analysis across all measurable system results, in order to establish thresholds and parameter settings
Perform pilot projects to analyze and establish new algorithms and rules
Work with the Data Mining and Analytics teams and the Risk Coverage/Governance Team to ensure the rules are reviewed on a regular basis based on the level of risk and that the systems are appropriately optimized
Participate in AML optimization across multiple LOBs (including correspondent banking, retail, commercial, brokerage, and trade finance) and multiple Transaction Monitoring Systems, ensure sound risk coverage, adequate quantitative model assessment and validation, and data quality completeness and integrity
Design and implement risk-based alert scoring, creating a data quality process
Support all review and audit functions; create a model inventory list and ensure all models are reviewed
Act as SME in AFC technology related projects
Maintain standards for segmentation methodology, scenario tuning methodology, peer grouping, BTL sampling (below the Line) methodology
Work in conjunction with the AML Monitoring & Surveillance Team to ensure that the recommended threshold and scoring changing are tested appropriately in the User Acceptance Test environment prior to production implementation