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Compliance Consultant Resume

Boston, MA

S KILLS:

Financial Systems: Bloomberg, Compliance Systems (Investment Compliance Engine, Regulatory Limit Engine, COMET and AS400), Performance Systems (B - One and WebPV), Confidential, Perform, Smart and PACE.

Computers: Microsoft Word, Excel, PowerPoint, Oracle Business Intelligence, SharePoint, Skype, Teams and Zoom.

Languages: English and Cantonese.

PROFESSIONAL EXPERIENCE:

Confidential, Boston, MA

Compliance Consultant

Responsibilities:

  • Play a significant role in the multi - year project to convert existing and legacy systems into a new compliance program to streamline business processes.
  • Serve as a subject matter expert for the aggregate system.
  • Contribute to enhancing rule automation and improving effectiveness.
  • Analyze, convert, consolidate and test compliance rules using new methodologies for migration to the new compliance system.
  • Escalate issues for resolution, test defect fixes and perform parallel testing.
  • Coded and tested compliance rules to prevent and detect potential violations.
  • Managed rule requests and ensured timely updates.
  • Analyzed results to determine reasonability, accuracy and completeness.
  • Set up new funds. Reviewed and translated account documentation into compliance rules.
  • Established regulatory, prospectus, client, board and internal limitations on compliance systems.
  • Updated monthly metrics to track rule statistics and changes for management reporting.
  • Efficiently coordinated and completed the process for client certifications, managing multiple deadlines.
  • Managed the rule testing of a large-scale joint venture transition program. Exhaustively reviewed all compliance aggregate rules and attributes (1,800+ items) to assess impact. Created metrics, tracked rule analysis and reported status to senior leaders. Successfully executed program objectives, collaborating with compliance, technology and business partners, implementing rule changes (600+ items) and migrating to the production environment.
  • Engaged in the new sourcing of fund holdings and provided subject matter expertise in filter logic.
  • Applied logic updates, performed validation and effectively completed the process using an efficient approach requiring less time and effort (updates reduced from 100+ to 10 items).
  • Enhanced the aggregate tool for monitoring futures contracts. Performed data and rule analyses. Created complex rules (100+) for testing and production use. Documented rule procedures.
  • Played a vital role in the pre- and post-implementation of a new compliance system. Performed manual and user acceptance testing and validation for rule automation. Reviewed business requirements and prioritized backlog. Consulted on improvements to system performance and user experience. Collaborated with internal and external stakeholders to define the business processes, identify problems and solutions and ensure a successful outcome.

Confidential, Boston, MA

Senior Analyst

Responsibilities:

  • Supported all aspects of a key initiative to implement a new performance system replacing the existing tool. Contributed to the successful completion of project deliverables by working autonomously.
  • Performed research, analysis, functional validation and user acceptance and parallel testing. Attended stand-up meetings. Communicated findings, issues and defects appropriately to multiple levels of the project team.
  • Built working relationships with senior management, business partners and outside vendor to facilitate effective communication of test results and to identify opportunities for improvement during the project lifecycle.

Confidential, Boston, MA

Quality Control / Audit

Responsibilities:

  • Reviewed exception reports. Identified and analyzed issues related to cash, trades, corporate actions, pricing and security set up.
  • Researched issues for validity, communicated findings to the appropriate operations teams and recommended solutions.
  • Improved audit workflow by streamlining work processes.
  • Refined reports and developed a standardized approach for completing reviews.
  • Minimized errors and potential operational risks by maintaining accuracy and consistency of manually posted transactions and ensuring adherence to internal procedures.
  • Successfully completed a project for private bank accounts migrated to Confidential .
  • Set up securities and maintained security master file.
  • Managed and responded to requests in an accurate and timely manner.
  • Documented procedures.
  • Maintained accurate portfolio accounting records for complex fixed income and equity accounts.
  • Provided oversight of income, paydown, corporate actions and trade bookings.
  • Researched, analyzed and reconciled discrepancies.
  • Resolved issues with internal operations teams, portfolio managers and external custodians in a timely manner.

Confidential, Boston, MA

Reconciliation Analyst

Responsibilities:

  • Performed reconciliations for the Confidential .
  • Identified and researched root cause of discrepancies.
  • Notified the appropriate operations areas and external custodians for adjustments.
  • Reviewed adjustments to ensure accuracy and completeness.

Confidential, Boston, MA

Assistant to the Executive Director

Responsibilities:

  • Successfully managed a rigorous and complex cycle of projects, events and administrative support duties throughout a fiscal year cycle.
  • Coordinated cross-departmental projects involving internal and external stakeholders, challenging deadlines and limited resources.
  • Ensured goals and expectations were met and exceeded.
  • Developed a system to track research results for the Confidential capital campaign launches taking place in numerous cities throughout the U.S.
  • Created new ideas in managing and presenting data in different ways for better utilization.

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