jessica claire montgomery street san francisco ca 94105 555 4321000 resumesampleexamplecom career focus wellqualified compliance professional 15 years progressive experience financial services risk compliance roles within global organizations demonstrated ability lead streamline business operations drive growth increase efficiency strong qualifications developing implementing risk controls processes addition productivity improvements change management summary skills indepth knowledgeefficiency ms office suite large data sql setstable enhancements operational risk managing analyzing accounting audit processes strong written verbal communication skills experience highquality financial performance metric reporting pmr business data analysis skills experienced requirementdefect tracking tools quality center jira nice actimize risk compliance software team approach ability manage multiple work streams global environment accomplishments professional experience asset management compliance director 012015 current tishman speyer san francisco ca coordination line business risk internal audit technology develop andor enhance new policies processes erm programs strong focus regulatory requirements investment company act 1940 assist firm responses sec reviews controls policies rule 20647 investment advisors act 1940 employing compliance testing monitoring plans liaise equity fixed income surveillance teams emerging issues affecting controls used capture violations mitigating trading counterparty risks including new products changes business models processes assist maintenance submission sec form adv part 1 2 registered investment advisors oversee small group compliance testing surveillance staff assisting periodic reporting test results summarizing gaps recommendations accordingly working collaboratively legal responses regulatory requests data analysis interfacing regulators examinations implementation three lines defense participate creation yearly global test plan test strategy ensure tests documented completed tracking high risk test findings senior advisory 012014 012015 pricewaterhousecooperspwc city state successful client engagements field compliance risk management antimoney laundering practices included investigations data quality alert generationdata look back assessment scenarios designated sar case reviews using advanced statistical analytical techniques normalization clustering regression modelling yield appropriate thresholds identify outliers prepare metrics reporting senior management senior project leadership developing risk assessment processes strategies experience leveraging consultant resources contribute others within diverse team setting enhanced business development reputation accepting ownership accomplishing new different requests exploring opportunities add value project scope accomplishments developed maintained data documentation user acceptance testing adhoc inquiries er diagrams flowcharts usetest case creation data modeling internal external business requirements responsible development enhancement risk techniques risk reporting large client engagement consisted monitoring reviewing approving project teams cases sars escalations developed new risk models wide variety areas geography product customertype typology referral channel improved look back review process communicating senior management external regulatory entities senior associate 012008 012014 barclays investment bank city state knowledge data modeling concepts multilayer data warehouse working various business logic tools create automated surveillance models meeting regulatory standards managed release planning participated prepost release testing validate requirements identify key risks establishing maintaining vendor relationships bloomberg reuters conducted systems integration testing designed support qa process improvements documenting ensuring users within uat acceptable range results monitor escalated threshold breaches existing trade surveillance models using firms surveillance tools actimize mantas generated sql relational databases writing queries identify data gaps preventive investigations data trends monitoring existing fixed income trade surveillance model achievement led strategic implementation fixed income platform corporate municipal bonds reduced manual booking 40 decreased firms expenses estimated 275k yearly completed periodic cost analysis documenting polices workflows identifying recommending areas cost savings technical operational standpoint senior management leading team four analyst financial portfolio associate 012005 012008 lehman brothers city state reconciled institutional accounts client accounts failed trades maintaining cash regulatory requirements nyse sec highlighting gaps risk opportunities served within performance management group pmr coordinating operational support staff completing dividend analysis processing portfolio accounting risk analysis daily basis analyzed client portfolio positions contributed cutting edge portfolio construction investment strategies exercising clients strategic wealth preservation requirements risk management needs documented process flows procedure manuals leading day day operations managing staff 5 junior associates supporting business range management inquiries financialregulatory compliance requests education bachelor science economics business management may 2005 stony brook university stony brook ny economics business management master business administration corporate finance may 2010 dowling college oakdale ny business administration corporate finance 3740 sql programming language certificate november 2013 learning tree international new york ny organization performance improvement certificate march 2014 george washington university school business new york ny certified fraud examiner acfe october 2014 new york ny professional affiliations association certified fraud examiners limited working proficiency spanish languages skills bloomberg business development project management cost analysis data analysis data modeling documentation ms office suite actimize risk assessment sql communication skills verbal written