Third Party Compliance Manager Resume

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Christa Tim

Third Party Compliance Manager

Summary

A versatile and industry-adaptable compliance people person with a diverse skill-set; comfortable interacting with internal stakeholders, senior management and external clients, both at local and international level. Key areas of specialism include compliance risk assessment, monitoring, thematic analysis, KYC/KYBP, Third Party Risk Management, process improvement, implementation and risk mitigation in high-risk jurisdictions. Advisory on high risk Third Parties. I attend compliance, risk events hosted by both Dow Jones and Navex Global to keep up to date with current affairs. Completed Fundamental AML Course: ManchesterCF Financial Intelligence/Dow Jones. AML Level 3 CPD Higher Distinction Certificate, AML & Financial Crime Certificate – FCA Approved: Student Academy.

Skills

  • 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

Third Party Compliance Manager (FTC)

Morico International

Mar 2019

  • Responsible for delivering a global Third-Party Due Diligence process; Third Party Risks SME.
  • Compliance risk analysis, assessment, monitoring key third-party risks (Bribery and Corruption, Fraud, CTF, Money Laundering, PEPs, Modern Slavery, Conflicts of Interests, Global Sanctions Lists, OFAC).
  • 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, Ultimate Beneficial Ownership.
  • Monthly, Quarterly monitoring of Third Party Screening Process
  • Advisory and monitoring of global sanctioned listed third party-related queries and conducting EDD including new staff, associates
  • Reviewed policies in-line with operational standards.

Key Achievements:

  • Implemented a Third Party Screening Risk Management Process and improved current compliance risk framework.
  • Delivered global Third Party Screening training on third party risks, process.
  • Reviewed Gifts and Hospitality Policy and process; created the Gifts and Hospitality Register including regional testing – SharePoint.
  • Implemented a thematic and compliance risk assessment due to global presence in high risk jurisdictions.
  • Managed and reviewed the annual compliance certification process (ISO Certification Standards 9001:2015, 14001:2015) 

Quality Executive

UPI Group

Feb 2018

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

Key Achievements:

  • Delivered a Compliance Database for the Compliance Department leading to process improvement
  • Multi-functional; supported all areas of the department during business requirements – Compliance, Complaints Handling, Flight Delay Litigation  
  • Focal point for Investigator improvement; advised on areas of development – NPS (Net Promoter Score) rise from 13% to 46% in 8 months 

Group Compliance Analyst (FTC)

Zen Group

Mar 2017

  • Improve the efficiency of compliance management system 
  • Compliance Risk Assessment, thematic analysis, Risk Register, Risk Level Identification and Assess using ARM.
  • Compliance analysis: Anti-Bribery and Corruption; Anti-Trust and Competition; Data Protection (GDPR), Trade Sanctions (AML). 
  • 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 RiskCenter.
  • 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.

Key Achievements: 

  • Reviewed, implemented new KYC/KYBP Screening tool for the business: Dow Jones RiskCenter
  • Improved the Quarterly Compliance Risk Reporting Process
  • Heat Map Analysis to illustrate impact against likelihood of business entity risks
  • Minimised compliance risks by improving the Compliance Risk Assessment Process
  • Promoted the importance of the compliance culture during quarterly training weeks; 26% increase of knowledge, understanding of compliance modules of employees at Q1 FY 16/17
  • Grew key relationships with clients – Dow Jones and EY GmbH, internal Functions

Education

LLB Law

San Jose State University

Jul 2009

Subjects in Commercial, Immigration and Race Relations, Family, European Union, Laws of Tort, Criminal, Criminology and Criminal Justice and Property Law.

Languages

  • English
  • French
  • Arabic
  • German

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