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Yyyyyy x. yyyyyy
- 274 Las Brisas Cir. Weston, XXXXXX xxxxxx ( (xxx-xxx-xxxx * abc@xyz.com
Compliance Officer (FINRA-Regulated Bank/Broker Dealer)
Qualifications Profile
Highly self-motivated and results-driven management professional with more than 9 years providing high-performance client service, compliance and QA management, IT systems and business analysis, and database administration in the banking/financial services, private lawyering, aerospace, and technology solutions businesses.
Detail-oriented, analytical and methodical with critical thinking to resolve work issues even under stress.
Xxxxxxexible and adaptable with quick learning abilities to achieve high productivity in fast-paces work environments.
Well-organized and resourceful with multitasking skills that optimize limited resources to achieve outstanding results.
Strong people management and interpersonal communication skills that inspire confidence while forging teamwork synergies with colleagues across diverse ethnicities and demographics.
Key Expertise
Planning & Execution
Policies & Regulatory Compliance (i.e. KYC, AML, FATCA, BSA, Bank Secrecy Act, etc.)
Relationship Management (Clients,, Stakeholders, Public, & Government)
Immigration Laws / Family Laws
Financial Services Management
Fiscal & Budget Management
Due Diligence Administration
Court Litigations
Extra-Judicial Arbitration, Mediation & Settlement
Case Management
Financial Risk Management
Business Needs Analysis
Total Quality Management
Customer Service Management
Retail Sales Management Support
Negotiations & Diplomacy
Records & Document Management
Multilingual in English, French, Spanish,& Portuguese
Technical
Database Administration (multiple platforms)
Basic JavaScript
SAP/R3 ERP
MS Office (Word, Excel, PowerPoint, Outlook & Access), Visio, Lotus Notes, & Photoshop
Email/Webmail, Web Research, Social Networking, & Online Collaborative Computing
Professional Experience
Ita Private Bank Miami, XXXXXX
Compliance Analyst (Fiscal Amnesty Project) Apr 2016 Present
HSBC International Private Banking (Brazil Region) Brickell, XXXXXX
Compliance Analyst (KYC Remediation Project) Dec 2015 Present
Verify KYCs of existing accounts and client on-boarding for Global Standard (KYC/AML/FATCA).
Assist account officers and relationship managers in analyzing KYC, EDD and Enhanced Annual Review (EAR).
Analyze hierarchies of business accounts, private investment vehicles, and trusts to ensure data accuracy.
Provide Enhanced Due Diligence on companies, suppliers, 3rd parties, and partners involved in mergers and acquisitions using various online tools and databases.
Coordinate efforts of numerous business units involved in the certification accounts profiles and KYCs.
Review account activity for AML/BSA purposes and Suspicious Activity reporting.
Request, update and upload identification/corporate papers in consolidating and appraising Assets under Management.
Assist account officers in preparing memos in executing account dispensations below the Product Under Management threshold, among others.
Mercantil Commercebank N.A Coral Gables, XXXXXX
Compliance Quality Assurance Specialist II Jun 2015 Dec 2015
Assisted account officers in analyzing KYC, EDD and Enhanced Annual Review (EAR), including the preparation of weekly and monthly status progress reports for the QA manager, as well as weekly reports of new account applications including its EDD s and KYC s. Interacted with customers to obtain KYC, EDD and EAR information.
Assessed commercial account activities and provide appropriate recommendation to the Risk committee.
Conducted compliance reviews to ensure quality assurance and AML Audits.
Compiled and organized data from multiple agents for reporting purposes
Harnessed knowledge of the procedures and risks involved in conducting KYC/AML procedures, processes, technology and tools for various financial products and services, along with familiarity with FATCA, CRS and other relevant laws and regulations (e.g. Dodd Frank, US Patriot Act, Bank Secrecy Act, etc.)
Leveraged skills in several functions such as Know Your Customer, Enhanced Due Diligence, Negative News, Client Reference Data and Client Documentation to support financial institutions operating in several jurisdictions.
Yyyyyy x. yyyyyy
- 274 Las Brisas Cir. Weston, XXXXXX xxxxxx ( (xxx-xxx-xxxx * abc@xyz.com
Professional Experience (continued)
Legal Assistant to Susan Ramirez LLB Miami, XXXXXX
Immigration and Family Law Jun 2014 May 2015
Reviewed, translated and organized filing and archiving of foreign documents including passports, education records, police records, and other legal documents in providing administrative support to legal cases.
Conducted research on case law and applicable regulations in preparing for and handling court litigations.
Prepared, drafted and finalized court pleadings, legal notices, petitions, protective orders, subpoenas, legal documents for immigration related issues, applications, and affidavits in providing paralegal support in several legal cases.
Prepared clients and witnesses for interviews and trial court hearings, ensuring that all exhibits and trial notes were accurate, thorough, and properly coordinated for a successful court case closure.
Organized mediations, arbitrations, and documentation for extra-judicial case resolutions and settlements.
Prepared non-official translations from Portuguese and Spanish into English or French.
Google / Telus Montreal, Quebec, Canada
Business Analyst Oct 2013 Jun 2014
Delivered and managed customer service and technical assistance for Google s operations in Brazil.
Managed technical support to small and medium-sized Brazilian enterprises over email and telephone in Portuguese.
Analyzed documents and supported requests, inquiries, and trouble reports in addressing client business requirements.
Resolved first level client issues and promptly escalated unresolved issues, including incomplete problem descriptions, and documentation of all actions performed to senior management for adjudication.
Prepared reports and memos on account activities and translated important information into Portuguese.
Apple, Inc. Montreal, Quebec, Canada
Family Room Specialist - Retail Nov 2012 Oct 2013
Provided outstanding customer service in on-site repairs of mobile devices through Apple s renowned Genius Bar in French, Spanish, English and Portuguese, and performed data entry in incident records systems as necessary.
Served multiple roles that included assisting team members, maintaining visual merchandise, and setting up new products, cellphone activations, and merchandise inventory management.
Bombardier Aeronautics Montreal, Quebec, Canada
Data Base Administrator/IT Analyst Aug 2007 Jan 2011
Education & Credentials
UNIVERSITY OF MONTREAL (2013)
Bachelor of Laws,
UNIVERSIT DE MONTR AL Montreal, Quebec, Canada (2008)
Bachelors 120 Credit program (Special mention in Science- Completed
VENEZUELAN NAVAL ACADEMY Vargas State, Venezuela (2002-2003)
Bachelors in military sciences (Degree not completed)
COLE TH OLOGIQUE VANGELIQUE DE MONTREAL Montreal, Quebec, Canada. (2007)
Certificate in Religious Sciences
Professional Training/Certification
Marine Corps- Junior Reserve Officer Training Corps. (2000-2002)
Paralegal Advanced Competency Exam (PACE)
Google Apps for Business Certified Administrator
Apple iOS Certified Technician
Professional Affiliations
Member: Associations of Certified Anti-Money Laundering Specialists (ACAMS) (until Oct 2016)
Member: Association des Jeunes Avocats du Qu bec (Young lawyer association of Quebec)
Black Belt Member: Judo Canada | Judo USA
Participant: Institute de mediation et de l arbitrage du Qu bec, 4th Annual Symposium On Meditation, Quebec
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