Consultant / Quality Assurance Team Lead Resume New York - Hire IT People

TECHNICAL SKILLS:

Computer: Lexis - Nexis, ChoicePoint, GlobeNet, SWIFT, DTC, Polaris, MS Word, Excel, EdgarEdge, BloombergLotus Notes, Mantas, Norkom Case Management System.

PROFESSIONAL EXPERIENCE:

Confidential, New York

Consultant / Quality Assurance Team Lead

Responsibilities:

Assist in managing three teams of AML Analysts in Bangalore and Jaipur, India & Jacksonville, Florida.
Ensure proper research, investigations, and judgments on Mantas generated wire transfers alerts and Norkom cases and field inquiries for correspondent banking accounts are followed by Quality Assurance Specialists based n established AML surveillance policies and procedures.
Evaluate field inquiry responses received from Client Service Officers to determine if adequate information was provided to confirm originator's identity, nature of originators business activities, commercial purpose of transactions and beneficiary's & other counterparty's identity.
Monitor and review remote - deposit-capture traveler's checks and money orders transactions alerts based on specific geographical thresholds and level of risk to identify potentially suspicious activities.
Recommend and/or, where delegated, take decisions on filing suspicious activity reports based on inter-departmental procedures regarding Bank Secrecy Act, OFAC/DNDBW and other categories of alert escalations.
Update surveillance policy and procedure manual in accordance with Compliance AML Advisory Group mandate.
Issue management reports and conducts feedback meetings with monitoring/investigations units to review results and recommendations.
Conduct User Acceptance Testing on Norkom Case Management System enhancements such as field inquiries processes and templates.

Confidential, New York, New York

AML Consultant / Team Leader

Responsibilities:

Manage and oversaw the activities of both new and experienced investigators as needs are identified and provided expertise and support on research techniques, capabilities and systems. Acted as a coach to more junior team members in reinforcing and advancing their skills and techniques. Reviewed and obtained all outstanding KYC on client files requested by internal and external audits.
Documented review findings and worked closely with Compliance Officer and Relationship Manager to ensure missing client information (CIP), KYC documentations, ChoicePoint OFAC & DNDBW checks, and any other due diligences are obtained or performed to avoid the 16-day escalation period.
Drafted Suspicious Activity Reports (SAR)/Incident Reports with regards to clients and employees who are suspected or known to be involved in actual or attempted criminal activity e.g. money laundering, fraud, insider dealing or theft.
Screened clients through OFAC, DNDBW, World Check and negative watchlist. Investigated, resolved and served as point of contact with upper management in the event alerts generated from screening and identity verification.

Confidential, Jersey City, New Jersey

Account Administrator

Responsibilities:

Trained and monitored new associates in the referral, research and securities reconciliation process.
Responsible for reconciliation of all daily cash transactions and allocation of cash breaks to the business lines within
5 days of creation.
Generated daily summary reports for management to communicate up-to-date aggregate and categorized break counts, and identified unusual activities or issues requiring special attention.
Communicated effectively with various custody groups, including position reconciliation, advisory services corporate actions, securities lending, and agent banks to efficiently reconcile cash breaks within 15 days.

Confidential, New York, New York

Senior Associate

Responsibilities:

Obtained and reviewed financial information on a current quarterly basis for all credit exposures of monoline insurers and reinsurers.
Supported rating analysts in the rating process, including graphs, table spreadsheets, comparative statisticsformulating ratios, conducting ad hoc reporting and special projects as needed.
Developed departmental procedures assuring timely and accurate information needed by analytical, billing, and publishing groups.

Confidential

Senior Statistical Analyst

Responsibilities:

Planned and implemented new rating practice on global medium term note issuance ensuring capture and prompt processing of ratings serving to increase market coverage and create a new source of revenue.
Trained new associates on the day-to-day functions and workflow process of the Global MTN and CP Desks.
Acted as liaison between key internal constituents, issuers, and underwriters in resolving rating discrepancies.
Ensured that data quality projects maintain a sound technical base and definitive goals, delivery dates and documentation to support major business products.

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