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Compliance Investigator Resume Samples
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10+ years of experience
HAP, Kelly Services, TekSystems/ Unisys, Tricare Clinical Information Technology Project Office, IHA, IPA, HOM and Minacs Compliance Investigator, Sr. EMR/EHR Project Manager and Lead Implementation Engineer/Lead Project Coordinator 100% Travel
- Designed and implemented enterprise learning Instructor Led Training Programs (ILT), new hire departmental orientation trainings & system administration curriculums for team members, clinical employees, contractors and consultants; and taught and assisted development strategies, plans and processes for enterprise wide role based curriculum trainings; implemented tools & template building to support organizational goals and workflow processing; and provided daily & weekly status reports of training progression.
- Conducted and performed risk assessments in healthcare and IT environments; and consulted management on industry training trends needed to improve and enhance performance issues within their organization.
- Developed healthcare Project Plan & managed all phases of enterprise learning trainings, EHR implementations, documented clinical workflows, risks and resources.
- Evaluated, implemented, developed, and designed assessment and instructional design processes for all phases of over 700 full life cycle IT and Healthcare software implementations and healthcare trainings.
- Researched, monitored, modified, recommended and updated best practices and solutions to improve the performance of existing enterprise learning training programs; worked with vendors to ensure that training deadlines and outside training program materials were appropriately distributed to meet all milestones.
- Identified application errors on U.S. Hospitals and health systems networks; provided updates on training; put in trouble tickets with their IT division or Help Desk, provided updates of their resolutions; and administered in and out briefs for Executive Management for Site Surveys, End User Device Installs, and clinical and non-clinical staff training implementations.
- Conducted functionality audits, site surveys, tested applications, troubleshot network errors, weekly oversaw & submitted sites timesheets and expense reports, and prepared deliverable maps and final EUD data for hospital staff, Health Affairs & Clinical Information Technology Program Office.
0-5 years of experience
- Completed research for potential vendors; located and gathered internal/external documents such as payment invoices, system notes, and information required to support collection litigation and, if necessary, provide required testimony
- Reviewed and analyzed documents and legal pleadings
- Provide written reports of findings and recommendations to department heads and executive management
- Reviewed and analyzed incoming litigation matters
0-5 years of experience
- Reviewed accounts in the wholesale division of the Wells Fargo group in FX, Capital Markets, Over 25,000 accounts was reviewed by me, thereby ensuring the bank saved multiple of thousands of dollars in legal fee.
- Determined whether activity seemed legitimate or not by applying various AML regulations including the USA PATRIOT act, the Bank Secrecy Act (BSA) and OFAC.
- Performed enhanced due diligence via Lexis-Nexis, Google, World Check and Dun & Bradstreet. This enabled the organization to detect various nefarious activities
- Managed project deadlines and resources by prioritizing my tasks, and ensuring customer focus by communicating with client management on process improvements and implementation
- Managed team performance, prepared and analyzed data using pivots and presented results obtained in a concise manner during knowledge sharing sessions
- Examined wire activities conducted through correspondent banking relationships for potentially suspicious activity including terrorist financing, foreign shell corporations, 311 entities, multiple jurisdictions, and former SAR suspects as part of a Look Back project.
0-5 years of experience
- Confirmed that all new clients and new accounts for existing clients comply with all AML / KYC policy requirements including confirming client identity, source(s) of wealth and risk ranking (drives client review and transaction monitoring cycles).
- Investigated and reported suspicious activity, including drafting of Suspicious Activity Reports, Completed CTR’s and perform Data Entry for SAR’s
- Collected and prepared data for High Risk client reviews, Monthly reporting, AML monitoring
0-5 years of experience
- Conducted complex investigations involving but not limited to internal/external fraud, conflicts of interest, employee misconduct (including harassment/discrimination), theft, violent acts and cyber-attacks/data breaches using expertise in evidence discovery, financial audits, surveillance, investigative interviews and forensic examination.
- Developed numerous processes to improve investigation efficiency and business partnerships.
- Partnered with business leaders to conduct company-wide risk assessments and implement compliance related policies.
- Developed ethics and compliance employee coaching process.
0-5 years of experience
- Performed complex investigations to protect the bank from known or suspected internal or external criminal activities, with primary focus on money laundering and Bank Secrecy Act issues
- Identified weaknesses in bank policy and procedures, which may place the bank at financial risk and suggested improvements to those policies and procedures
- Demonstrated proficiency in investigative practices associated with an experienced investigator: conducted interviews, collected data, compiled documentation and evidence, maintained accurate notes, developed initial and ongoing reports of investigations; accurately and timely completion of Suspicious Activity Reports (SAR)
- Retrieved information and reviewed transactional activity extensively using internal data systems
0-5 years of experience
Prepare Anti-Money Laundering (AML) SARs and escalate to appropriate law enforcement when necessary.
- Review new hire investigator work for potential errors or omitted information prior to SAR filings.
- Effectively obtain information via third party searches, while presenting findings to senior management in order to discuss potential risk to the bank.
- Investigate cases involving Chase private clients, credit cards, business banking, asset management, subpoena requests and correspondent banking activity while processing 314 (a & b) requests.
- Review and disposition complex cases as selected by SAR Reporting Officer.
0-5 years of experience
Perform alert investigations using internal and external systems to apply sound AML practices and resolutions as required by AML regulatory guidelines.
- Understanding of various model and rule application tuning for domestic and global sanction screening of compliance alert investigations.
- Manage due diligence and EDD for assurance of appropriate CIP/KYC process
- Analyze alert information and financial data through teller journal, wires and CTR reports
- Escalate issues for advance investigation and analysis for risk-based SARs in an accurate and timely manner
- [company name]- internal compliance regulatory training
- Research documentation through multiple system access, Caliber, Actimize, Image Soft, Acquire and LexisNexis.
0-5 years of experience
- Conducted investigations on cases and alerts produced through the bank’s automated Anti-Money Laundering System (Prime Metavante)
- Prepare narrative summary that describes the results of the investigation and make recommendations for further actions based on investigatory results
- Analyzed US Dollar Clearing transactions for suspicious activity patterns.
- Conducted due diligence through sites such as Google, LexisNexis, World-Check, and Bridger Search.
- Reviewed and analyzed wire transfers and pouch activity from high risk countries for suspicious or unusual activity.
- Gathered appropriate documentation (KYC information) on customers, accounts, through correspondent branch contacts.
- Reviewed account opening documentation to ensure full compliance with the bank’s Customer Identification Program (CIP).
- Provided recommendations for Suspicious Activity Reports (SARs) filing to Compliance Manager by presenting documentation to support findings and possibly suspicious activity.
- Conducted analysis and assessment of alerts generated from Prime Compliance Suite BSA Reporter/OFAC platform.
- Conducted surveillance, supervision and compliance risk management utilizing Actimize.
0-5 years of experience
- Research, analyze, and investigate high risk customer/commercial account behavior for potential Money Laundering or Terrorist Financing related to suspicious activity in accordance with Bank policies and procedures.
- Knowledge of AML/BSA rules and regulations.
- Performing Negative Media scan using tools such as Internet search engines and LexisNexis.
- Determine whether a SAR should be filed and drafting narrative for each case substantiating the decision/recommendation.
0-5 years of experience
- Receive and respond to reports of critical incidents in the DBHDD state hospital and community provider organizations
- Investigate incidents as assigned and writes comprehensive investigative reports
- Make recommendations regarding safety and welfare of consumers
0-5 years of experience
- Plans, organizes, conducts and manages investigations of cases of alleged misconduct, malfeasance, mismanagement, waste of resources, abuse of authority and fraud.
- Gather evidence; obtain and review pertinent documentation; conduct interviews and take statements; analyses facts; determine findings and formulate recommended corrective measures and related disciplinary and jurisdictional actions.
- Defines the parameters and timetable of investigations; decides on the investigative tools to be employed; ensures that established procedures and policies are complied with.
- Serve subpoenas, analyze bank accounts, conduct programmatic financial reviews, audits and prepare narrative reports to effectively communicate the results of the investigations to appropriate parties.
- Present investigative findings to the appropriate agency and/or prosecutor’s office and testify in court proceedings.
- Analyze and Interpret rules, regulations, codes and policies
- Execute and participate in the execution of numerous search warrants.
- Utilize wiretap tools, GPS tracking devices, video and audio surveillance tools as needed.
0-5 years of experience
- Support and conduct the examinations of transactions across regions linking up pockets of suspicious activity.
- Knowledge of correspondent banking, and ability to detect Red flags such as: Repatriations of funds, Structuring, Round dollar, Inconsistent address.
- Specialize with International wire transfers, clearing USD dollars thru SCB NY branch correspondence relationships with other financial institutions or registered MSB.
- Quality Assurance: Perform quality assurance on draft Suspicious Activity Reports, sanctions reviews, CTR’s, EDD reviews or other AML process.
- Possess the ability to assess risk as well as adverse risks to Managers, multi-cultural awareness and sensitivity.
- Experience of FCC and business activities in the US.
- Investigates Sanction Entities, Countries, Individuals and run through OFAC Sanction SDN search, CERS.
- Monitor High Risk jurisdictions, Detections scenarios, and clear Alerts.
0-5 years of experience
- Analyze company/individual subjects for negative news using Nexis
- Compile negative news data using various functions including Ad
- Submit and aggregate data in Alacra and Deloitte’s ECM Software
0-5 years of experience
- Conduct thorough investigations into allegations brought forward, through various forums, regarding a variety of ethical and legal compliance concerns. These include various State and Federal Employment Labor Law allegations such as: Wage and Hour, Title VII, ADEA, Pregnancy Discrimination Act, Equal Pay Act, EEO Policies, FLSA, FMLA, ADA, NLRA, and relevant state laws and local ordinances
- Provide guidance and support to the field management teams
- Utilize a positive approach to resolve conflict between partners and/or Management by working with all parties to find ways to enhance and maintain a positive working environment
- Promote ethical behaviors by providing partners with the tools and resources needed to ensure a complete understanding of company policies and relevant employment laws
- Partner with appropriate business partners during the complete investigatory process and the findings to the appropriate operations, partner resources, and legal partners.
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Last edited by: Gabriela Barcenas, CPRW, Content Writer II -
Gabriela Barcenas
CPRW, Content Writer IIGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
