North Highlands CA 95660
Experienced Compliance Executive seeking employment with reputable organization where my skills and training can be a positive contribution to company.
Highlights of Qualifications:
- Exceptional experience in a Compliance role within the financial services and funds industry
- Good expertise in the interpretation of legislation and regulation relating to financial services
- Huge knowledge in implementing assurance and compliance frameworks, processes, tools and technology in a complex environment
- Outstanding knowledge of AML, Data Protection and Consumer Protection related regulation
- Solid written and verbal communication skills and positive interpersonal skills
Bank Of America,Fort Worth, KS
August 2007 – Present
- Ensured reliability of all material controls for internal and external purposes.
- Managed and implemented annual risk-based business assurance and compliance monitoring program.
- Prepared Terms of Reference and testing plans for assigned reviews.
- Tested relevant controls and processes.
- Prepared reports and action plans related discrepancies.
Citigroup, Fort Worth, KS
May 2004- July 2007
- Advised to operational and support departments including Transfer Agency and Fund Accounting.
- Assisted in the provision of support to Compliance and Business Projects.
- Assisted in and supported Compliance Strategy & Program.
- Managed Compliance Department’s Compliance Monitoring Program.
Bachelor’s Degree in Business
Naropa University, Boulder, CO