Compliance Manager Resume Sample

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Ichabod Crane

Compliance Manager

Summary

A well qualified banking professional with an experience for nearly 9 years. Ability to handle the responsibilities and tasks handed over to me independently without any supervision or guidance and work towards being more result – oriented rather than target – oriented.

Skills

  • Financial Management
  • Financial Legislation
  • Governance Reporting
  • Compliance Management
  • Fraud investigation

Work Experience

Assistant Manager at Compliance Department

Maybank Investment Bank Berhad

Present

  • Managing daily review and clearance of Research publication and employee and directors’ trading applications.
  • Managing Watch List, Restricted List and Black-out List and providing Control Room advice and to the advisory and research departments
  • Formalizing  Handling of Customer Information Policy which was approved at the Board level.
  • Coming up with simplified declaration forms which incorporate the relevant compliance requirements for new recruits’ declaration on the on boarding stage.
  • Manage and review monthly Compliance reports to the relevant Board and Senior Management level committees which includes escalation of regulatory and internal breaches, AML/CFT issues and updates on regulatory inspections of the IB Group
  • Formalizing and subsequent roll out of the Regional Chinese Wall Policy, the Regional Guidelines on the Management of the Watch List, Restricted List and the Black-out List, the Regional Guidelines on Personal Investment  across  MIBs branches and the Maybank Kim Eng  entities in Singapore, Indonesia, Thailand, Vietnam, Philippines and Hong Kong.
  • Undertaken surprise review on business activities upon request of Senior Management.

Compliance Officer

Kaf Investment Bank Berhad

Oct 2017

  • Supervising compliance with all applicable laws, rules, directives, rulings and guidelines issued by  relevant authorities;
  • Supervising compliance with the Bank’s internal policies and guidelines;
  • Conduct review/testing on internal control to ensure that the regulatory requirements and internal policies and procedures are complied with.
  • Assist in the issuance of Compliance report with recommendations and findings.
  • Follow-up on non compliance issue raised by regulator with the respective department to ensure the issues are timely resolved. 
  • Monitor the timeliness of the Bank’s submission of regulatory reporting to the regulator.
  • To supervise department staff on the on the implementation of AML/CFT measures into their existing framework and ensure compliance.
  • Developing, initiating, maintaining and revising policies and procedures to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the program.
  • Reviewing new guidelines, directives or any rulings from relevant authorities to ascertain the applicability and recommend appropriate use to the relevant departments;
  • Reviewing the handling of complaints and reporting the findings to the Head of Compliance;
  • Developing an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees; and
  • Analyzing alerts and investigating customers who match with the list identified with regulators.
  • Reporting unusual client activities which might relate to sanctioned individuals, money laundering or terrorist financing.
  • Such other tasks as specified by the Head of Compliance from time to time.

Assistant Manager

CITI Group

Oct 2013

  • An Anti-Money Laundering (AML)initiative which focuses on the research and analysis of Senior Public Figures (SPFs) and High-risk Customers’ accounts within Citibank across Asia Pacific and North America.
  • Analyzing alerts and investigating customers who match the Global Sanctions list during the account opening and maintenance processes.
  • Conducting searches, gathering data and recording evidence from reliable sources and enquiry with business or Compliance contacts within the organization.
  • Reporting unusual client activities which might relate to sanctioned individuals, money laundering or terrorist financing.
  • Conducting enhanced due diligence investigations in support of policies and procedures.
  • Responsible in checking analyst’s cases, compiling reports and assisting analysts in doing research.
  • Ability to understand risk weighting and scoring.
  • Responsible for determining to split a case by creating a new case based on analyst’s research.
  • Project Migration – Successfully involved in setting up a pioneer department for Cross Sector Anti Money Laundering Asia Pacific hub which was only launched in March 2011 and to work closely with the main hub in Citibank Tampa, Florida.
  • Head of Team Building – Represent Asia Pacific hub in planning, organizing and  coordinating events for the team.
  • Voice of the Employee Representative – Act as the representative for employees in Asia Pacific hub to improve communications, procedures and recommendations with the management team

Education

Bachelor Degree in Islamic Banking & Finance

San Jose State University

Oct 2010

Diploma in Business Studies

Northeastern University

Dec 2008

Languages

  • English
  • French
  • Arabic
  • German

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