Christa Tim

info@resumekraft.com
202-555-0120
THIRD PARTY COMPLIANCE MANAGER Chicago, Illinois, US
linkedin.com/resumekraft

PROFILE 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)

EXPERIENCE Third Party Compliance Manager (FTC)

Morico International Sep 2018 - 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 www.resumekraft.com

UPI Group Jan 2017 - Feb 2018
 Managed and reviewed the annual compliance certification process (ISO Certification
Standards 9001:2015, 14001:2015)

Quality Executive
UPI Group Jan 2017 - 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 Jan 2016 - 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 Oct 2005 - Jul 2009
Subjects in Commercial, Immigration and Race Relations, Family, European Union, Laws of
Tort, Criminal, Criminology and Criminal Justice and Property Law.

REFERRAL Available upon request

www.resumekraft.com