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Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 xxx-xxx-xxxx ●


Management Executive

Compliance ~ Ethics ~ Anti-Money Laundering (AML) ~ Best Practices

International Organizations ~ Risk Management ~ Financial Crime Investigations




         Proficiency in regulatory compliance, risk management, internal controls, bank account reviews, investigations, due diligence, and report preparation.

         Excel in researching, uncovering, and analyzing complex data, choosing appropriate course of action, and reporting findings to top-level leadership and government authorities.

         Advanced knowledge and understanding of BSA/AML (Bank Secrecy Act/Anti-Money Laundering) and KYC (Know Your Customer) regulations.

         Efficiently coordinate forward-moving projects and investigations while fostering an environment of accountability, compliance, continuous quality improvement, data security, and process automation.

         Consummate strengths in international relations, collaboration, monitoring, documentation, and analyzing problems, trends, and risks associated with compliance-related rules and regulations.

         Bilingual (English & Spanish); adept at building unified relationships with colleagues and external parties to maximize financial crime prevention and detection.


Professional Experience


HSBC International Private Bank, Miami, Florida, 2012 Present

AVP, Financial Crime Compliance Officer - Advisory

         Contribute seasoned background in AML operations to provide influential guidance to businesses and local compliance officers to avoid reputational risk and ensure adherence to laws and guidelines.

         Identify compliance breaches or gaps and advanced investigative support for complex due diligence reviews on special client categories and international/regional high-risk wire transfers.

         Actively support investigative due diligence to identify suspicious activity, structuring, and informal value transfers surrounding potential and existing customers or partners.

         Respond to adverse negative media reviews, refer investigative findings to AML team, and assemble metrics based on suspicious activity report (SAR).

         Leverage significant knowledge of Venezuelan regulations to serve as SME.


Compliance Officer Transaction Monitoring

  • Administered portfolio of high-risk, special-category client risk, medium-risk, and standard-risk accounts in North America and LATAM region.

         Critically evaluated compliance monitoring reports and other related source documents to distinguish suspicious or unusual patterns of activity.

         Assessed, prepared, and delivered high-impact staff training across multiple business segments and unit groups to fortify regulatory compliance regarding foreign transactions and best practices.


Senior Compliance Analyst / KYC Team Leader (Consultant)

         Spearheaded comprehensive account portfolio of all risk levels in LATAM Region.

         Project-managed crucial compliance initiatives specific to Bank Secrecy Act (BSA), Office of Foreign Assets Control (OFAC), and AML.

         Orchestrated financial crime investigations for potential and existing customers as well as business partners, and presented findings to senior management.

         Mentored Relationship Managers and Relationship Officers in KYC account recertification based on bank guidelines and Foreign Account Tax Compliance Act (FATCA) requirements.




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Citigroup, New York, NY, 2011 2012

Graduate Associate Analyst, Citi Transaction Services (CTS) Securities Fund Services (SFS)

         Examined, defined, and strategically aligned business requirements of Citigroup North America with Citibank LATAM offices to enhance and achieve cohesive operations.

         Trained and educated Relationship Managers and Relationship Officers of LATAM offices in KYC best practices, and ensured ongoing compliance.

         Closely monitored financial transactions, and translated documents, policies, and procedures to be used in LATAM offices.


World Bank Group, Washington, DC, 2009 2011

Consultant, Global Partnership on Output-Based Aid (GPOBA) Unit

         Reviewed, standardized, and documented anti-money laundering and fraud guidelines, and established feasible and proactive due diligence strategies.

         Enhanced information monitoring and transparency by formulating database to precisely track agreements and expenditures for bank-financed projects.

         Championed monitoring of 13 World Bank Group trust accounts, verified balances, investigated suspected financial crimes by stakeholders, and scrutinized transaction risks associated with bank-financed projects.


Organization of American States (OAS), Washington, DC, 2006 2007

Legal Intern, General Secretariat of the OAS, Dept. of Legal Services / Permanent Mission of Venezuela at OAS

         Methodically investigated financial fraud and corruption including allegations of internal fraud and improper use of funds.

         Conducted extensive research encompassing financial records, purchasing forms and databases, and prepared reports of findings.

         Authored memorandum regarding staff educational expenditures to explore and verify compliance with OAS policies.


Nicolosi And Associates, Barquisimeto, Lara, Venezuela, 2003 2005

Assistant Lawyer

         Drafted legal opinions associated with Bancaribe Bank clients in Venezuela.

         Prepared broad-scope legal documentation for litigation related to civil, labor, and banking procedure cases.

         Researched Venezuelan legislation and other legal cases, and participated in resolution of foreclosure cases.




Master of Law in International Law, Howard University School of Law, Washington, DC, 2009


Bachelor of Arts in Political Science, University of Maryland Baltimore County, Baltimore, MD, 2009


Bachelor of Law (Juris Doctor equivalent), Ferm n Toro University School of Law, Venezuela, 2006


Licensure & Certification


Licensed to practice law in Venezuela


Anti-Money Laundering Certified Associate (AMLCA) Florida International Bankers Association




Microsoft Office (Word, Excel, PowerPoint, Outlook), Lotus Notes, SAP, Westlaw,

World-Check, Norkom, LexisNexis, WebEx



Yyyyyy x. yyyyyy

0000 xxxxxx xxxx , xxxx , xxxxx 00000 xxx-xxx-xxxx ●


















I am currently exploring executive-level career opportunities in the regulatory compliance arena and am submitting my resume for your review. In advance, thank you for your time and consideration.

In addition to exceptional academic qualifications including a Master of Law, I offer significant experience in conducting anti-money laundering investigations, and excellent skills in risk management, business ethics, staff development, investigation leadership, and corporate governance. I am certified in Anti-Money Laundering and my ability to work effectively with global counterparts will enable me to effortlessly transition into your environment. To complement these qualifications, I offer polished communication, collaborative, investigative, and analytical skills which are paramount in enforcing regulatory compliance within the banking and financial services industry.

As a proactive contributor to your organization, you will find me to be a stellar leader committed to supporting you in achieving your objectives through an outstanding blend of credentials and experience. I am confident that I could be an asset to (INSERT NAME OF COMPANY), and look forward to interviewing with you soon.






Yyyyyy x. yyyyyy

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