SUMMARY

• I have in depth knowledge of all Business Services; Wholesale banking Services, Consumer Service, and Wealth Management testing. I have excellent communication and time management skills.
• I help Implement regulations that require all banks to comply with Anti - Money Laundering (AML), RESPA, HUD-1, Office Federal de l’Aviation Civile (OFAC) and Suspicious Activity reports (SAR’s). Effective procedures
• Warrant enhanced due diligence (KYC) Know your customer, (CCAR) Compressive Capital Analyst Review.
• I have strong error detection, analytical and problem solving skills. Ability to manage large databases
• Successfully and compile, extract or analyze data as per the requirement, SQL and Strong Actimize usage.
• Provided Capital planning requirements consistent with the Federal Reserve’s risk-management,
• Standards were made on large financial firms under the Dodd-frank Act and OCC Consent Order
• Specifications. Data Mapping is one method that will help you understand what information is being stored within your infrastructure.

PROFESSIONAL EXPERIENCE

Confidential, Iselin, NJ

BSA/AML Analyst

Responsibilities:

• Manage alerts and create cases to detect suspicious trends and activity by monitoring transactions through various systems/applications
• Manage more complex investigations and investigate suspected cases of activity related to money laundering, terrorist financing, tax evasion and prepare Suspicious Activity Reports (SARs) in accordance with FinCENs guidance.
• Perform periodic Enhance Due Diligence (EDD) reviews of Banks high-risk customers, 90-Day Reviews, Branch Referrals, 314(a) requests. Interface with Branches and departments on Bank Secrecy Act issues.
• Assist BSA Officer during regulatory exams and special law enforcement requests. Monitor and review OFAC screen results in compliance with OFAC regulation and procPerforms other duties as may be assigned
• FRTB-TB, Strengthening Market Risk Practices
• Implementing the huge change for banks and their capital regimes procedures.

Confidential, Charlotte, NC

Audit Analyst

Responsibilities:

• Maintaining robust processes for reviewing risk and controls throughout the Corporation.
• Assisting with the audit planning process including considerations around strategic, market, credit, liquidity, compliance and operational risk.
• Assisting with the audit plan for the company, developed upon the risk profile of the Company and reviewed on a quarterly basis.
• Understanding business processes, performing risk assessments and testing to evaluate the related controls.
• Working closely with, and influence each business regarding their control infrastructure
• Dodd-Frank Act mandates that the Federal Reserve conduct annual stress tests on all BHC’s with $50 billion or more in assets to determine whether they have the capital needed to absorb losses in baseline, adverse, and severely adverse economic conditions.

Confidential, Columbus, OH

AML Investigations Analyst

Responsibilities:

• Participating in and/or leading projects, initiatives, committees, etc. which serve to enhance the teams process and effectiveness.
• Conducting Quality Control (QC) reviews for cases, SARs, and alerts
• Assessing the effectiveness of internal procedures and policies and making change recommendations to ensure emerging industry risks are appropriately mitigated.
• Investigating complex, sensitive, and/or significant AML risks and filing SARs as the result of the investigative work.
• Control Alerts through the Actimize queue.
• Filtering Alerts through Actimize, Investigate the stress scenario projection calculated by Federal Reserve Analyst using input data provided by the 19 BHCs. (CCAR) test. HUD-1, Office Federal de l’Aviation Civile (OFAC) and Suspicious Activity

Confidential, Atlanta, GA

BSA/AML Analyst

Responsibilities:

• Assist a variety of financial institutions in addressing Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and sanctions compliance matters.
• Provide support for financial services or AML Alert compliance initiatives at the direction of the national AML industry leader or leadership team.
• Provide support for financial services (EDD) Enhanced due diligence executed KYCs and SARs reviews daily. Conduct inquiries of the people suspected for indulging in illegal activities. Gather information from them to check the legality of the transactions. Investigate the stress scenario projection calculated by Federal Reserve Analyst using input data provided by the 19 BHCs. (CCAR) test.

Confidential

Software Testing/Design

Responsibilities:

• A software training/Design testing
• Testing the new proprietary software system
• Making recommendations, documenting steps
• Help with the structure of program
• The software I’m interacting with is UniFi Program.
• Oversee the external audit process and ensure it proceeds and is authorized as per the SOX requisites
• Evaluate the internal control measures and procedures for SOX requirements and standards and report the non-complying areas

Confidential, Denver CO

QC KYC/AML Analyst

Responsibilities:

• Maintain independence, objectivity, and fairness while monitoring and evaluating work product and making recommendations.
• Ensure that work product meets or exceeds all engagement expectations.
• Re-evaluate Anti Money Laundering (AML) or economic sanctions related alerts that have been closed which primarily focus on correspondent banking activities to ensure the analysis and research steps were performed accurately and completely and documented properly.
• Review of Know Your Customer (KYC) / Customer Due Diligence (CDD) profiles and documentation to help support the investigative process. Understanding of AML regulatory obligations such as Suspicious Activity Report (SAR) and Office of Foreign Assets Control (OFAC) reporting, 314(a), 314(b), foreign bank certifications, etc.
• Investigate, review and resolve AML related alerts/issues that arise from the suspicious activity monitoring system, surveillance, subpoenas, referral, new and other sources.

Confidential, Birmingham AL

QC BSA/AML Analyst

Responsibilities:

• Assist a variety of financial institutions in addressing Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and sanctions compliance matters.
• Provide support for financial services or AML Alert compliance initiatives at the direction of the national AML industry leader or leadership team.
• Perform a risk assessment for the types of business that the company does.
• Provide support for financial services (EDD) Enhanced due diligence executed KYCs and SARs reviews daily.
• Conduct inquiries of the people suspected for indulging in illegal activities. Gather information from them to check the legality of the transactions.
• Investigate with the stress scenario projection calculated by Federal Reserve Analyst using input data provided by the 19 BHCs. (CCAR) test.