Consultant - Compliance Officer Resume
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SUMMARY
- Experienced financial analyst with investigative skills who has extensive understanding of OTC Derivatives Products and Regulatory Framework.
- This includes Private Equity, Credit Default Swaps, Interest Rate Swaps, Foreign Exchange Swaps and Commodity Derivatives.
- Have demonstrated financial and Confidential expertise, general ledger reconciliation and variance reporting.
- Prepared to take education and key skills to oversee daily operations and make sure that restrictions and key guidelines are followed.
TECHNICAL SKILLS
- Policy Design
- Cross - Functional Collaboration
- Strategic Planning & Analysis
- Bilingual: English-Spanish
- Documentation
- Regulatory Compliance
- Consensus Building
- Relationship Building
- Due Diligence
- Business Advice
- Auditing
- Complex Problem Solving
PROFESSIONAL EXPERIENCE
Confidential
Consultant - Compliance Officer
Responsibilities:
- Perform Anti Money Laundering and Know Your Client analysis for new and existing accounts in Latam, AsiaPac & EMEA.
- Interact with Investigations, Document Review and other areas of the Financial Crime Compliance Unit as necessary.
- Perform Due Diligence, including Source of Wealth (SOW), and research financial databases for relevant documents.
- On-board new High Net Worth and Ultra High Net Worth Clients, both Individuals and Entities.
- Work with Front Office to obtain necessary AML Documentation.
Confidential
Consultant-Compliance Analyst
Responsibilities:
- Perform Anti Money Laundering and Know Your Client analysis for new and existing accounts in LatAm Region.
- On-board new High Net Worth and Ultra High Net Worth Clients, both Individuals and Entities.
- Work with Front Office to obtain necessary AML Documentation.
- Interact with clients and offices throughout Latin America, utilizing bilingual skills.
- Perform Due Diligence, including Source of Wealth (SOW), and research financial databases for relevant filing documents.
- Compile all necessary AML Documentation, such as Company Formation Documents
Confidential
Consultant, Citigroup Global Operations and Technology
Responsibilities:
- Verified and processed intercompany legal and accounting documentation required by vital Regulatory Agencies.
- Executed various ad-hoc reporting requests.
- Provided troubleshooting and came up with key solutions.
Confidential
Consultant/Operations Manager
Responsibilities:
- Managed the processes used for Anti Money Laundering and Know Your Client procedures within the compliance function, involving the verification of deal related documents as well as the use of World-Check to investigate client identities.
- Directed four operations analysts on a regular basis.
- Charged with the responsibility for escalating issues encountered during the on-boarding process.
- Effectively managed the communication of all potential reputation risk matters to upper management. Both within the United States and globally.
- Coordinated the approval and release of all electronic money transfers using JPMorgan Chase Access funds transfer system within the treasury function.
Confidential
Consultant
Responsibilities:
- Coordinated the User Acceptance Testing process for an automation project designed to facilitate the external reporting of derivative products booked within Oasys.
- Managed the reporting of User Acceptance Testing findings used to incorporate changes and/or corrections to system output.
- Employed Excel Vlookup formulas extensively to compare current reporting data to test data in order to determine accuracy.
- Participated in the quarterly reporting of off-balance sheet derivatives used for both internal and external reporting within the Basel I framework.
- Improved overall efficiency by 20 percent.
Confidential
Vice President
Responsibilities:
- Oversaw the Risk Weighted Assets calculation for various Over the Counter derivative products including Credit Default Swaps, Interest Rate Swaps, Foreign Exchange Swaps and Commodity Derivatives.
- Provided variance analysis and substantiation of all financial reports related to on balance sheet and off-balance sheet assets.
- Prepared monthly and quarterly Risk Based Capital reports used in both internal and external financial reporting, as well as Confidential within the Basel I framework.
- Managed quarterly Risk Control Self-Assessment Process for the Risk Based Capital Reporting Group.
- Coordinated Sarbanes Oxley §404 compliance for the Risk Based Capital Reporting Group.
- Prepared and analyzed balance sheet and income statement activity from Investran accounting system for the media and telecom portfolio.
- Ensured accuracy and consistency of valuation metrics and other financial and non-financial information during bi-annual portfolio reviews.
- Managed the creation of specialized investment vehicles for tax and other purposes.
- Ensured that Investment Accounting Department properly recorded securities purchases in the Investran general ledger.
Assistant Treasurer
Confidential
Responsibilities:
- Prepared Quarterly FRY 12 and Annual FRY 11 Financial Statements of Non-Bank Subsidiaries for the Federal Reserve Bank and Quarterly Risk Based Capital Calculations within the Basel I framework.
- Compiled public securities data for quarterly 13 D & G reporting to the Securities and Exchange Commission.
- Member of Special Purpose Entities Committee and Six Sigma special projects team.
- Led team of consultants that created an electronic archive of documentation for SBICs.
- Handled large compilations of ownership data requested as due diligence by potential third party investors.
- Fielded questions on ownership and other compliance related matters from both internal and external sources.
- Participated in team initiatives that enhanced overall control procedures.
- Participated in effort that resolved Confidential issues associated with a $17 billion asset acquisition
- Completed non-discrimination tests for Defined Contribution plans employing the provisions of IRS Code Sections 401(k), 401(m), 402(g) and 415(c). Prepared Form 5500 for Defined Contribution plan clients
- Managed and implemented the design and implementation of a five-week training program for newly hired Compliance Administrators
- Reported to management on the status of all aspects of Institutional Market Operations Compliance
- Reviewed the work of Regulatory Specialists to ensure accuracy.
- Completed Nondiscrimination Tests and Form 5500 for Defined Contribution plan clients on a timely basis