PROFESSIONAL EXPERIENCE

Confidential, New York

AML Compliance consultant

Responsibilities:

• Enhanced the tool used to assess/ensure compliance with New Product Approval (NPA) and New Payment Method Product (NPMP) commitments working with the AML Project Management team
• Performed User acceptance testing (UAT) on the NPA tool
• Developed new and revised existing NPA - related training, as needed
• Reviewed deals from a reputational, KYC and AML risk perspective by partnering with deal teams, and other compliance partners.

Confidential, New York

Project Management Officer

Responsibilities:

• Coordinated communication between the Global AML/KYC office and other relevant stakeholders to support the development and maintenance of internal and external key business relationships;
• Implemented the Global implementation project as a Project Coordinator by integrating Anti-Financial Crimes (AFC) in the New Product Approvals (NPAs) process; liaising between Global AML/Sanctions and Embargoes/Anti-Fraud, Bribery & Corruption, Business Representatives and NPA tool technologists
• Liaised between AFC, the business divisions and other stakeholders in facilitating communication in achieving global and cross-regional consistency for bank initiatives;
• Supported the development of the AML and KYC Department’s positioning within the global framework;
• Reported metrics to enable the Global Head of AML/KYC to facilitate in governing the department;
• Assisted with the assessment of regulatory and audit related enquiries.

Confidential

AML/AFC Transaction Monitoring Officer

Responsibilities:

• Monitored Wealth Management transactions to identify suspicious activities;
• Executed all reviews/investigations of Prime and Actimize, generated alerts/cases within the specified deadlines; escalated unusual activities as required;
• Performed Quality Assurance for alerts and cases reviewed by analysts on a monthly basis;
• Conducted secondary reviews of daily Office of Foreign Assets Control (OFAC) cases;
• Liaised between Pershing and branch staff regarding movement of funds on a weekly basis;
• Execute ad-hoc requests for audit/regulatory projects as needed.

Confidential, New York

Transactions Surveillance Analyst

Responsibilities:

• Monitored Correspondent Banking transactions and identified suspicious activities;
• Executed second level reviews of alerts generated by Actimize tools on a daily basis;
• Conduct AML investigations, draft and File Suspicious Activity Reports (SARs) with FinCEN
• Assisted with 314(a) and other relevant subpoena searches;
• Conducted reviews of correspondent account activities and client relationships for any evidence of fraud, significant reputational risks, branch or account exposures and litigations.

Confidential, New York

AML Forensic Advisory Associate

Responsibilities:

• Completed multiple Requests for Proposals (RFP) reflecting strategies, approach and expertise Confidential would provide to satisfy the clients’ needs as well as providing budget estimates for various projects;
• Drafted monthly invoices to clients for the hours and expenses incurred by Confidential management and staff;
• Tracked budget estimates and providing monthly updates on the financial status of the projects.
• Worked with a variety of financial institutions on the following:
• Sampled several clients’ transactional activities and conducted investigative due diligence research to assess if activities were unusual and potentially suspicious; transactions sampled included wire transfers, ACH, cash and check activities;
• Managed an AML look-back project of several investigators and thousands of unique transactional alerts, and QAs specific to a client’s Bulk Cash Shipment and refining risk based rules to recommend filing of Currency Transaction Reports (CTRs) and SARs with onsite implementation at locations in Germany;
• Drafted memoranda for each customer to document the investigative due diligence including transaction analysis, negative news, PEP and sanctions results, and reassessment of CRRs (Customer Risk Ratings);
• Drafted, issued and oversaw RFIs to the relationship managers;
• Conducted a high level Know Your Customer (KYC) GAP analysis of the client’s on-boarding documents in comparison to the client’s Customer Identification Procedures;
• Provided SAR and CTR procedural trainings for the clients’ and Confidential ’s staff.

Confidential, New York

KYC/AML Analyst, Financial Intelligence Unit

Responsibilities:

• Analyzed and assessed private and public databases against OFAC / CDC / Worldcheck to verify Sanctions, Politically Exposed Person (PEP) and negative media alerts;
• Escalated significant KYC/AML issues and negative findings to senior management for SAR filings;
• Accomplished FinCen 314(a) searches, resolved compliance issues and documented rationales for case closure or escalation;
• Validated KYC Client Onboarding processes and Enhanced Customer Due Diligence (CDD/EDD) for new and existing accounts in North America, Latin America and Asia;
• Researched new and existing accounts of individuals and entities using various public and private databases;
• Executed ad-hoc requests for compliance projects as required.

Confidential, New York

Compliance Analyst

Responsibilities:

• Executed customer identification routines by researching entities and individuals using LexisNexis KYC and Bridger Insight InstantID applications to find alerts of potential fraud or negative media;
• Reviewed KYC documentation for Asset Management and Private Banking clients ensuring compliance with applicable AML regulations per firm's policies, procedures and regulatory compliance;
• Updated KYC profiling modifications on Microsoft Excel Workbooks;
• Reviewed and assigned client risk rating based on account/product type, citizenship, occupation etc. and
• Worked closely with branch compliance team and relationship managers to update CIP and KYC documentation requirements.

Confidential, New York

Wealth Management

Responsibilities:

• Managed customer relationships; ensured compliance with operational procedures, promoted products and services, resolved customer issues;
• Maintained Client Onboarding, working closely with KYC Team for account opening processes;
• Provided portfolio management services through marketing and presentations to potential clients through sound financial and investment analysis in retirement planning, business planning, insurance and investment planning/services, estate planning and education funding.