Financial Compliance / Regulatory Analyst

Real portfolio pieces built during the course, not a certificate for its own sake. Each one is work you can show.

• Transaction monitoring alert investigation writeupA completed investigation of a flagged cash deposit pattern at the fictional Anchorfield Bank, laid out the way a real case file is: what triggered the alert, what was checked against the customer's known business, what was found, and a documented conclusion with its reasoning made explicit.
• Customer due diligence review checklistA checklist a new analyst could follow to review a customer file for completeness: identity verification against CIP requirements, documented expected activity, a risk rating with its supporting reasoning, and enhanced due diligence triggers correctly identified.
• Escalation memo to a compliance officerA one page escalation memo written from a simulated cluster of linked, suspicious looking activity: the concern stated up front, the specific facts checked and ruled out, an assessment clearly labeled as an assessment, and a specific ask with a timeframe.
• Regulatory exam and audit request trackerA tracker built for a simulated regulatory exam document request: every item requested in the examiner's exact wording, who is responsible, current status, and the date provided, built to prove the full request was met on time.
• SAR style narrative draft, training exerciseA training exercise narrative, written in the standard shape of a Suspicious Activity Report, for a fictional escalated case: who was involved, what happened in chronological order, why it was considered suspicious, and what response was taken.