TECHNICAL SKILLS:

• iVault
• Halo
• Westlaw
• Pacer
• World - Check
• Patriot Act Database
• RDC/MIS
• Lexis Nexis Risk Management Solutions
• Bankers Almanac
• Reuters
• Bond desk
• Order Entry Systems
• Streetscape
• Fidelity Advisor Channel
• Schwab Institutional systems
• CRM System and MS Office

PROFESSIONAL EXPERIENCE:

Confidential, Jersey City, NJ

Compliance Investigator

Responsibilities:

• Analyze leads from escalations during the detection process in order to determine if potential suspicious activity is present.
• Oversee the investigation process from initial detection of suspicious activity to potential reporting of findings to regulatory authorities.
• Gather thorough/accurate evidence on multiple case assignments including: financial profiles, tracing financial transactions, and background information on suspects using various systems and tools.
• Document key data and issues related to the investigation including potential loss, status of investigations, interviews, etc.; responsible for analyzing data; making and documenting critical regulatory reporting decisions.
• Perform forensic investigative analysis as necessary.
• Document suspicious behavior/patterns of suspicious activity and prepare Suspicious Activity Reports (SARs) to file with FinCEN.
• Prepare highly detailed and concise reports to support NON-SAR decisions.
• Identify and escalate any detected control deficiencies.

Confidential

Compliance Officer

Responsibilities:

• Review summary of findings of investigations and repair any matter of significance drafted by Analyst on behalf of management to ensure all pertinent information such as negative media or adverse information is captured and escalated appropriately.
• Identified and determine relevancy of public records, as it relates to Confidential ’s clients.
• Determine what derogatory information requires escalation to the AML Investigations Unit (based on interpretation of the firm’s Confidential guidelines) when suspicious activity is involved.
• Participant in User Acceptance Testing (UAT) for new process functionality and improvement.

Confidential, New York, NY

AML/ Business Analyst (Consultant)

Responsibilities:

• Perform OFAC/World Check screening
• Perform Enhance Confidential on Confidential data as applicable
• Investigate negative client findings and analyze the findings to assess if there is AML risk; this includes key factors and mitigates, thereby creating risk assessment
• Perform special Ad-Hoc projects which includes remediation as directed by internal auditors

Confidential, New York, NY

Business Analyst (Consultant)

Responsibilities:

• Responsible for reviewing and ensuring all required anti-money laundering (AML)/ Know your customer ( Confidential ) regulatory requirements for existing clients are met
• Collaborate with client on-boarding counterparts worldwide on global request.
• Research and analyze client data to determine client risk profiles as established under Confidential procedures and maintain detailed records on clients for second level review.
• Conducted analysis on a wide variety of institutional client types which include: Financial Institutions (Foreign and domestic), Public and Private companies, Hedge funds, SPVs’, Partnerships, Non-financial Institutions, Personal holding companies
• Liaise within the broader compliance group on specific requirements and regulations arising with special account circumstances.

Confidential, New York, NY

Analyst/ Client On-Boarding (Consultant)

Responsibilities:

• Serve as Business Sponsor to review and approve New Client Adoptions
• Built client profile during the On-Boarding process
• Liaise with sales staff and client service officers to identify required Confidential information; provide guidance on policy and procedural requirements
• Apply all CIP regulatory requirements to clients
• Responsible for performing periodic review to ensure the existing US & Foreign client base meets all current Confidential & AML requirements

Confidential, New York, NY

Analyst

Responsibilities:

• Worked directly with the Investment management director to implement procedures for the opening and maintenance of managed investment accounts
• Set-up, maintenance and administration of managed accounts for high net worth clients
• Liaise with Registered Representatives and compliance to identify required Confidential requirements
• Analyzed managed accounts to ensure portfolios are in alignment with policy target parameters
• Prepared investment portfolio proposals
• Reviewed account cash balances monthly for reinvestment, liquidity for income and advisor fees
• Trained financial advisors on managed account systems
• Dealt directly with high net worth clients to provide all of their servicing needs (trade executions, documentation requirements and account updates)

Confidential

Analyst/Investment Specialist

Responsibilities:

• Set-up, maintenance and administration of managed accounts for high net worth clients.
• Ensure new client documentation are in compliance with AML/OFAC regulations
• Surveillance of customer identification program reports (CIP) for exception
• Liaison between Brokers and platform Manager(Envestnet) for managed assets
• Executed equity, mutual fund, options and UITs orders
• Ensuring transfer of assets is fully completed internally/ externally (JOURNALS and ACATs)

Confidential

Analyst

Responsibilities:

• Review new bank and brokerage account documentation to ensure compliance and AML Standards are met.
• Surveillance of customer identification program reports (CIP) for exception
• Worked with sales force to correct and update all account deficiencies
• Oversaw all collateral and securities account opening and maintenance process
• Cross trained as a customer service specialist to deal with High Net Worth Clients

Confidential, New York, NY

Senior Investor Relations Associate

Responsibilities:

• Liaison between corporations and shareholders both individual and institutional in regards to proxy contest, debt restructuring.
• Responsibilities include corporate research and SEC filing
• Responded to shareholder and broker inquiries regarding reorganization issues, corporate governance

Confidential, New York, NY

Client Services Registered Representative

Responsibilities:

• Executed option, fixed income, mutual fund and equity trades
• Answered brokerage account questions and assist clients in varies products and services
• Served as a technical advisor to clients who use Web Based Services
• Oversaw trade errors - resolved errors
• Crossed selling of Quick & Reilly products and services