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Fraud, Financial Crime & Compliance - Manager Resume

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New York, NY

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COMPUTER SKILLS:

Proficient in: Word, Excel, PowerPoint, Project, Visio, Outlook, Access, Encompass, SQL, and SharePoint. Strong in CRM Applications, Clarity, Jira, Westlaw, LexisNexis, Concordance, and Database Systems.

PROFESSIONAL EXPERIENCE:

Confidential, New York, NY

Fraud, Financial Crime & Compliance - Manager

Responsibilities:

  • Program manage client engagements with responsibility for resourcing, budgeting and quality assurance.
  • Work with internal and external stakeholders including product development, services, and sales to ensure client commitments are correctly communicated and meets expectations.
  • Ensures financial objectives by forecasting requirements, preparing and monitoring annual budgets.
  • Provide coaching, supervision, staffing, management proficiency, process improvement, self- development and performance management of assigned employees.

Confidential, New York, NY

Principal Consultant - Manager & Subject Matter Expert

Responsibilities:

  • Subject Matter Expert (SME) and Manager for the initial organization and setup of the Governance Risk & Compliance (GRC) division within banking and capital markets.
  • Provided consulting and advisory services to senior executives in regulatory risk & compliance.
  • Coordinated with sales and marketing management to prepare delivery documents for new clients (statements of work, rate cards, project scope, business cases, vendor agreements & project plans).
  • Managed engagements and consulting teams for financial services pre-sales engagements.
  • Prepared GRC framework and go to market plan for submission to senior management & delivery.

Confidential, New York, NY

Governance Risk & Compliance - Manager

Responsibilities:

  • Managed plans, monitored and administered large implementation projects independently to ensure client customer satisfaction.
  • Utilized and managed resources and coordinated effectively with stakeholders and colleagues in the risk and compliance domains.
  • Ensured project plan obligations were met regarding specifications, quality, costs & timeframes.
  • Managed IT projects regarding systems integration, systems architecture, new product development, and custom systems development while utilizing established project management methodologies.
  • Delivered project management responsibilities within a matrix environment.
  • Completed simultaneous projects of varying complexity according to standards, while meeting or exceeding expectations.
  • Managed projects for multi-faceted delivery spot and follow-up business opportunities in order to generate business.

Confidential, NY

Regulatory Risk Architecture - Lead Manager

Responsibilities:

  • Met risk requirements by driving the successful completion of technology projects.
  • Developed project plans, and managed deliverables for tracking and budgeting purposes.
  • Assessed risk on projects (CCAR, Basel, & FDIC) and provided solutions to senior executives.
  • Advised and trained project teams on retail risk guidelines and procedures.
  • Analyzed technology initiatives to ensure the timely delivery of all phases of the software development life cycle.

Confidential, Jersey City, NJ

Senior Business Analyst

Responsibilities:

  • Performed enhanced due diligence on special projects (PEP’s/High Risk Clients) using investigative software.
  • Reviewed investigations, determined materiality and submitted metrics for regulatory submissions.
  • Engaged in fraud compliance procedures regarding internal KYC policy.
  • Confirmed internal standard operating procedures were applied for high risk projects.
  • Provided recommendations for business process improvements in compliance policy and risk mitigation.
  • Advised and trained investigative staff on best practice for AML and OFAC regulatory guidelines.

Confidential, New York, NY

Project Management

Responsibilities:

  • Managed long and short term special projects for Finance, Taxation, and other legal practice groups.
  • Ensured projects stayed within budget, and deadlines for deliverables were timely met.
  • Coordinated with international stakeholders and project team members to ensure tasks were completed.
  • Prepared Request for Proposal’s (RFP’s) to generate new business.
  • Trained global staff to achieve project objectives, and developed procedures to meet best practice.
  • Worked closely with clients to clarify business requirements and strengthen client relations.

Confidential, New York, NY

Loan Department - Supervisor

Responsibilities:

  • Monitored risk management and resolved issues pertaining to credit.
  • Processed loan applications, and determined credit worthiness of applicants.
  • Engaged in compliance procedures and KYC policy during the loan application process.
  • Designed loan cycle documentation for processing agents outlining all steps for new loans.
  • Advised customers on loan programs to improve client relations and business development.
  • Trained staff on loan processing procedures and supervised funding staff.

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