Compliance Manager Resume

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Andrew Brandon

Compliance Manager


Highly professional and industry-adaptable compliance people person with a diverse skill-set; comfortable in interacting with internal stakeholders, Group Directors and external clients both at local and international level. Key areas of specialism include thematic analysis, compliance risk assessment, KYC/KYBP due diligence and a SME in Third Party Risks. Process improvement, implementation and mitigating risks in high-risk jurisdictions. Advisory on high risk Third Parties.


  • Compliance Risk Assessment, Monitoring, Testing, Reporting
  • Thematic Analysis, False Positive Remediation
  • Third Party Risk Management, Global Training, Stakeholder Relationship Management
  • KYC/KYBP/AML/Global Sanctions Advisory, EDD
  • Effective Communication (global cultures), Emotionally Intelligent
  • Process Improvement and Implementation
  • Tableau, Power BI, Office 365, SharePoint
  • Industry-Adaptable, Versatile, B2C Sales
  • Dow Jones Risk & Compliance, Navex Risk Rate, RDC
  • ARM (Formerly Magique Galileo of Sword GRC)

Work Experience

Compliance Manager

Johnson International

Mar 2019

  • Responsible for delivering a robust Third-Party Due Diligence process; Third Party Risks SME.
  • Reviewed policies in-line with operational standards.
  • Stakeholder advice on global sanctioned high risk third parties prior to issue of contract
  • Trained key internal stakeholders including Project Managers, Directors and Group Functions on screening process of Navex Global Risk Rate Management and Ultimate Beneficial Ownership.
  • Monthly, Quarterly monitoring of the Third Party Due Diligence Process; reporting analysis
  • Compliance risk analysis and monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
  • Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates

Legal Analyst

Price Water Solutions

Mar 2018

  • Analysed legal cases for Junior Barristers and Head of Chambers regarding Aviation and Commercial disputes.
  • Researched, conducted due diligence on potential clients prior to contractual agreements within Aviation, Banking and provided detailed report analysis. 

Quality Executive

Unity Solution Group

Feb 2018

  • Identified solutions for under-performing Investigators, ensured complaints handling process is complied with. First-Line Support for compliance queries
  • Reviewed, improved compliance process to minimise regulatory compliance risks
  • Authorised compensation payments including Flight Delay Claims in-line with regulatory requirements, liaised with AP Finance.
  • Managed, trained internal stakeholder Aegis Call Centre of the complaints investigation process. 

Group Compliance Analyst (FTC)

Unity Solution Group

Mar 2017

  • Improved the regulatory compliance framework, drafted checklist reports.
  • Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Indentification and Assess using ARM.
  • Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML). Presented results for Board-Level audiences.
  • Conducted market surveillance, monitored KYC/KYBP checks of potential Third Party Suppliers, Clients. Reviewing, approving high-risk clients.

  • Identified AML risks such as PEPs, Risk Associates, Adverse Media, Sanctioned Countries of suppliers, suspicious activities using Dow Jones Risk and Compliance.
  • Provided support and solutions for Managing, Finance Directors, Compliance Officers on the Compliance Risk Assessment.
  • Trained Head Compliance Officers on use of the Compliance Monitoring Program (CMP).
  • Liaised with Group Audit and Group Risk to identify internal investigations status’ and effectiveness of CMP
  • Conducted Quarterly Compliance Risk Reporting; Prevent, Detect and React Process. Monitoring of regulatory breaches, investigations, employee training. 



San Jose State University

Jul 2009

Subjects in Commercial, Immigration and Race Relations, Family, Criminal, Criminology and Criminal Justice and Property Law.


  • English
  • French
  • Arabic
  • German

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