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Compliance Manager Resume

Chicago, IL

Object

Looking to break into a project management position that will utilize my vast experience and education, and that will provide a progressive and challenging environment with room to grow.

Work Experience

AML Investigator II

05/2011-Present , Chicago, IL

  • Conduct file reviews on high risk clients to determine level of risk and conduct mitigation of said risk.
  • Investigate suspicious activity, and file SAR when appropriate.
  • Perform enhanced due diligence on increased risk clientele. 
  • Work with OFAC and SAR units as well as the Line of Business to ensure compliance.

Compliance Manager

06/2006-05/2009, Chicago, IL

  • Investigate suspicious activity and follow up on reports from monitoring to investigation to filing.  Responsible for Transaction Filtering & MANTAS Money Laundering Detection investigations. 
  • Approve account openings for increased risk clients as well as perform required enhanced due diligence, created tracking spreadsheet for all increased risk clients within the bank which is used bank-wide in reporting to upper management.
  • Responsible for composing and updating AML Policies Manual as well as Standard Operating Procedures Manual, educating and coaching bank employees on BSA, Patriot Act, and AML requirements.
  • Create Lexis Nexis system enhancements and production testing for CIP and risk assessing clients.
  • Responsible for tracking OFAC filter hits as well as FinCEN 314(a) search requests.
  • Monitor CIP exceptions and approve extensions. 

Assistant Manager

11/2005 – 06/2006, Mount Prospect, IL

Manage operational functions within the branch including loss control, compliance, and customer retention and audit standards.  Responsible for branch audit as well as regional audit team.

Supervise, coach and develop a team of Tellers, Senior Tellers, Lead Teller(s), Sales and Service Associates and Personal Bankers regarding compliance policies, procedures, products, systems, and banking transactions.

Act on behalf of Branch Manager in his or her absence. Have knowledge of branch operations, paying and receiving

transactions, regulatory compliance, and internal policies and procedures. Possess excellent interpersonal, verbal and written communication skills.  Chosen to travel interstate for teller conversion and training.

Assistant Manager

7/2003 - 11/2005, Mundelein, IL

  • Oversee daily operations in the branch and supervise a staff of 6 employees. Responsible for assisting the Branch Manager in meeting monthly branch goals.
  • Consistently meet and exceed personal sales goals. Assist the Branch Manager with monthly promotions and design marketing material.
  • Responsible for effectively scheduling employees to optimize productivity. Consistently provide outstanding service to customers. Responsible for providing sales and customer service training to new and current employees. 
  • Assisted in reducing account attrition and preventing losses to the branch.
  • Highly skilled in identifying fraudulent items and suspicious activity.  Responsible for monthly branch and teller audits. 
  • Assisted branch manager with developing a successful team of professionals who consistently meet or exceed their individual and team sales/performance goals.
  • Education

    01/2012-12/2013

    • Masters in Business Administration, Anticipated Graduation 2013
    • Concentrations in Project Management and Leadership/Change Management

    03/2009-06/2009

    • Masters in Business Administration
    • Cumulative GPA 3.7

    9/2005 – 09/2007, Chicago, IL

    •   B.S. Business Administration/Finance
    • Dean’s List
    9/2005 – 09/2007, Chicago, IL
    • B.S. Business Administration/Finance
    • Dean’s List

    01/2002 – 12/2003, Lake Forest, IL

    • Biology/Chemistry double major
    • Richter Scholar for Biology Research
    • Merit Scholarship

    Certifications and Achievements

    • CAMS Certified (Certified Anti-Money Laundering Specialist)
    • CFSA  Certified (Certified Financial Services Auditor),
    • CIA Candidate
    • Trustee Merit Scholar
    • Richter Scholar
    • Phi Theta Kappa

    Skills

    • Bilingual – Russian
    • Employee Development Training
    •  Advanced in MS-Office XP (including Word, Excel, Powerpoint, Access) 

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