Compliance Analyst Resume Sample

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Adam Dean

Compliance Analyst

Spotting the risk before the regulator does

[email protected]
+44 115 555 0530
linkedin.com/in/adam-dean-compliance

Compliance analyst with seven years in financial-services compliance at a Nottingham firm, keeping the business on the right side of regulation. Monitors transactions and activity for AML and conduct risk, investigates alerts, files reports, and supports the compliance framework day to day. Cleared a backlog of overdue KYC reviews and tightened the alert-handling process, cutting false positives and turnaround time. Conducts due diligence, supports audits and regulatory requests, and keeps policies and registers current. Strong on AML/KYC, regulatory rules and the judgement to tell a real issue from noise. Calm, thorough and discreet with sensitive information. Looking for a compliance, financial-crime or risk role with a firm that takes its obligations seriously.

Work Experience

Trent Financial Services - Nottingham, UK

Compliance Analyst April 2018 to Present 8 years & 4 months

Monitor transactions and customer activity for AML and conduct risk, investigating the alerts thoroughly each day.
Cleared a backlog of overdue KYC reviews and tightened alert handling, cutting false positives and turnaround.
Conduct customer due diligence and enhanced due diligence on the higher-risk customer relationships and accounts.
File suspicious-activity reports and escalate genuine financial-crime concerns promptly and appropriately to the bank's MLRO.
Support both the internal and external audits and respond to regulatory information requests on time.
Keep all the compliance policies, registers and records current, accurate and fully audit-ready throughout.

Midlands Banking Services - Nottingham, UK

KYC / Compliance Officer August 2015 to March 2018 2 years & 8 months

Performed KYC onboarding checks and ongoing customer due diligence for new clients.
Reviewed transaction alerts and escalated potential financial-crime issues to senior staff.
Maintained accurate compliance records and supported the internal audits each cycle.
Handled customer queries and verified their documents against the KYC standards.
Gained the AML diploma and progressed into a full compliance-analyst role.

Nottingham Bank Services - Nottingham, UK

Bank Onboarding Clerk June 2013 to July 2015 2 years & 2 months

Processed account onboarding and the document checks for new banking customers.
Verified customer identity documents and flagged any incomplete or suspicious applications.
Learned KYC basics, banking operations and compliance fundamentals on the job.
Built the grounding that led into a full KYC-compliance officer role.
Education

University of Nottingham

BA (Hons) Law & Finance (September 2012 to June 2015)

Degree combining law and finance, covering regulation, financial markets and corporate governance. A placement in a compliance team set the career direction. Moved into financial-services compliance after graduating.

International Compliance Association

ICA Diploma in Anti-Money Laundering (January 2017 to September 2017)

Professional diploma in anti-money-laundering covering KYC, financial-crime typologies and reporting. It deepened the technical AML judgement central to the role. Maintained through continuing professional development.
Highlights

Cleared the KYC backlog

Cleared a backlog of overdue KYC reviews and tightened alert handling to cut false positives and turnaround. A cleaner, faster process reduced regulatory risk and freed the team for real investigations.

Real issues, not noise

Built a reputation for telling a genuine financial-crime concern from a false alert. Sound judgement on what to escalate is exactly what makes a compliance analyst valuable.
Key Initiatives

Sanctions-Screening Improvement

Compliance Analyst (January 2020 to July 2020)

Reworked the sanctions-screening rules and thresholds with the team, cutting noisy hits while keeping genuine matches, so analysts spent their time on the alerts that mattered.

Suspicious-Activity Reporting Overhaul

Compliance Analyst (March 2021 to September 2021)

Standardised how suspicious-activity reports were investigated and written up, improving the quality and consistency of the filings made to the regulator across the whole team.
Certifications

ICA Diploma in Anti-Money Laundering

International Compliance Association (September 2017 to Present)

Professional AML diploma covering KYC, financial-crime typologies and reporting. It deepened the technical judgement central to the role. Maintained through continuing professional development.

Financial Crime & Sanctions

International Compliance Association (April 2019 to Present)

Certification in financial-crime prevention and sanctions screening covering typologies, escalation and reporting. It supports the AML monitoring and suspicious-activity work central to the role.
Technical Skills
  • AML Monitoring
  • KYC / Due Diligence
  • Transaction Monitoring
  • Alert Investigation
  • Suspicious Activity Reporting
  • Regulatory Knowledge (FCA)
  • Audit Support
  • Risk Assessment
  • Policy & Records
  • Financial-Crime Typologies
Langauges

English (UK)

Native or Bilingual Proficiency

French

Limited Working Proficiency
Personal Info

Location

Nottingham, UK

Nationality

British

Gender

Male

Notice Period

1 month

Date of Birth

1993-05-08
Personal Skills

Analytical Judgement

Attention to Detail

Integrity

Discretion

Communication

Activities & Interests
Sculpting
Gardening
Guitar
Jog

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