Olivia Thompson

• Phone: +1 416 555 0123
• Email: olivia.thompson@email.com
• Location: Toronto, Canada
• LinkedIn: oliviathompsoncompliance

Summary

Over 8 years of experience in regulatory compliance within the financial services sector, specializing in AML, KYC, and privacy regulations. Successfully led the implementation of a new compliance framework reducing audit findings by 30% at a major Canadian bank. Proven ability to interpret complex legislation and translate it into actionable policies and procedures for operational teams.

Experience

Senior Compliance Officer, Maple Leaf Financial Group -- Toronto, Canada

Mar 2020 – present

• Developed and implemented enhanced AML/ATF policies, resulting in a 25% reduction in high-risk transaction alerts.

• Led a team of 3 junior compliance analysts, providing training and mentorship on regulatory updates and best practices.

• Conducted internal compliance audits and reported findings to senior management, ensuring adherence to OSFI and FINTRAC guidelines.

• Collaborated with legal and IT departments to integrate new regulatory requirements into existing digital platforms, improving data integrity.

Compliance Officer, Northern Trust Bank Canada -- Toronto, Canada

Aug 2016 – Feb 2020

• Monitored and reported on compliance with PCMLTFA and other relevant financial regulations.

• Assisted in the development and delivery of compliance training programs for over 200 employees annually.

• Investigated suspicious activity reports (SARs) and filed necessary disclosures to FINTRAC.

• Maintained up-to-date knowledge of regulatory changes and advised business units on potential impacts.

Junior Compliance Analyst, Canadian Credit Union Association -- Toronto, Canada

Sept 2014 – July 2016

• Supported senior compliance officers in preparing for regulatory examinations.

• Conducted initial reviews of client documentation for KYC and CDD compliance.

• Assisted in maintaining the compliance risk register and tracking resolution of identified issues.

• Researched and summarized regulatory guidance for internal policy updates.

Education

University of Toronto, Master of Financial Economics in Financial Economics -- Toronto, Canada

Sept 2013 – Aug 2014

Queen's University, Bachelor of Commerce (Honours) in Business Administration -- Kingston, Canada

Sept 2009 – May 2013

Skills

Regulatory Expertise: AML/ATF, KYC, OSFI Guidelines, FINTRAC Regulations, PIPEDA, FATCA, CRS, MiFID II, Dodd-Frank Act

Compliance Management: Risk Assessment, Policy Development, Internal Controls, Regulatory Reporting, Audit Management, Sanctions Screening, Due Diligence

Software & Tools: Microsoft Office Suite, SharePoint, LexisNexis, Thomson Reuters Accelus, Salesforce, GRC Platforms

Analytical & Interpersonal: Critical Thinking, Problem Solving, Data Analysis, Communication, Training & Development, Stakeholder Management