SUMMARY:

• Results - driven Information Technology and Sr. Compliance Analyst with 15 years of combined analytical experience in the banking, capital markets, health care, oil and gas, consumer packged goods, and financial services industry, with a strong knowledge of Regulatory Compliance, AML, Risk, KYC procedures, Cybersecurity, IT and Information Security frameworks,
• Prior to pursuing a Bachelor’s and Master’s Degree in Information Technology and Management at the Confidential, the 11 years of Compliance and AML experience at Confidential ., included working on the Broker Dealer side to assist in the escalation of filing Suspicious Activity Reports (SARs) and ensuring all potential issues and SARs were escalated to the Chief Compliance Officer.
• 5 years of AML Investigator and Compliance Analyst experience included successfully conducting enhanced due diligence (EDD) investigative reviews, internal audits, writing suspicious activity reports, addressing sanctions alerts, and completion of AML related special projects for Confidential, completion of CTRs for Confidential, clearing of watchlist alerts for Confidential, and completion of Compliance remediation projects for Confidential and Confidential .
• Information Security (InfoSec) and Governance, Risk, & Compliance (GRC) experience related to RSA Archer GRC and RSAM tools, which included Security Training, Risk Assessment, Corrective Action, Monitoring & Reporting and Team Project Management.
• Business Analyst experience includes implementation of the following frameworks for GRC training relating to Compliance Risk Policy, Standards and Procedures and Risk Management & Control Frameworks.
• Strong knowledge of regulatory bodies and regulations issued by the FDIC, FinCEN, and Federal Reserve Board. Strong knowledge of privacy laws, such as GLBA and Sarbanes-Oxley (SOX), HIPPA, and PCI.
• Strong knowledge of BSA/AML, CTR, SAR, KYC, NYSE, FINRA, SEC, CFTC, NFA, and OFAC regulations.
• Experience with Cybersecurity frameworks relating to Executive Order 13636, Improving Critical Infrastructure, and frameworks such as: COBIT, ITIL, NIST and ISO 27001 implementation of methodologies.
• Possess strong business analysis skills with strong attention to detail and accuracy in written communications, project management and a demonstrated ability to work effectively under pressure.
• Possess effective analytical skills and strong knowledge of research databases and regulatory reporting.
• Experience includes: Network and Systems Security, Policy Planning & Implementation, Virtualization & Cloud Technologies, Data Integrity & Disaster Recovery, Risk Assessment & Impact Analysis.

TECHNICAL SKILLS:

Languages: HTML/ HTML5, SQL, UNIX, PERL, LINUX, C++, JAVA, JavaScript, and CSS.

Platforms: Windows 8.1/10, Windows Server 2012 R2, UNIX (Solaris, HP), Mac OS, and Android.

Networking: LAN / WAN Administration, VPN, TCP/IP, Novell and SMS/SQL.

Information Security & Penetration Testing: Experience with Kali Linux and Metasploiting examining malwar analysis, attack vectors, mitigation/deterrents, cryptography, steganography, computer forensics, firewalls, IDS/IPS, SIEM, internet security protocols, authentication, and wireless network security.

Data Analysis Experience: Data analytics experience includes utilizing macros, Visual Basic, vlookups, SQL and pivot tables for monthly and quarterly metrics reporting. Database Fundamentals with Microsoft Access - 12+ years of MS Access experience.

Internal and external applications experience: with Actimize, HOST, Imagesoft, Bridger 4.0, NetSuite ERP, Seibel, Oracle, People Soft, QuickBooks, Support Central, Workflow, Deal Workflow, LexisNexis, Westlaw Next, RSA Archer GRC, AML support libraries, Cloud Computing, Virtualization, and Oracle database management.

Microsoft Office & applications: MS Project, MS Word, MS Excel, MS Access, MS PowerPoint, and MS Outlook. KYC database management experience, SAP, GMI, BETA, Phase 3, Compliance 11, Charles River and Bloomberg Terminal experience. Research experience with: LexisNexis, Westlaw Next, Complinet, World Check, Orbis, and D&B.

PROFESSIONAL EXPERIENCE:

Confidential

AML Investigator & Compliance Specialist

Responsibilities:

• Investigated and reviewed AML watchlists & adverse media matches on Bridger 4.0 and Actimize to determine whether or not the party and or PEP selected matched a Confidential screened party; and rendered judgment as to a confirmed match or false positive.
• Implementation of the following Information security frameworks within LSO Team: Implementation of Regulatory Compliance Risk Policies, Standards and Procedures, Risk Management and Control Frameworks of information security. Knowledge of real-time monitoring aspects of enterprise security.
• Provided effective documented detailed written results and analysis of respective determinations in Anti-Money Laundering reports, internal audits and Business Analysis reports.

Confidential, AML Investigator & Compliance Specialist

• Reviewed system generated alerts on Bridger 4.0 and Actimize to assess presence of illicit activity that required reporting based on BSA/AML requirements, conducted research and documented detailed results in written audit format.
• Case management experience included promoting escalated cases and issues as appropriate for advanced investigation and analysis.
• Monitored and reviewed assigned Actimize cases and related investigations pertaining to commercial and individual banking customers of Confidential .
• Supported various AML processes, which included suspicious activity investigations, currency transaction reporting, global sanctions screening, PEP screenings, enhanced due diligence reviews and other AML related special projects.
• Implementation of the following Information security frameworks within EDD Team: Compliance Risk Policy, Standards and Procedures, Risk Management and Control Frameworks of information security. Knowledge of real-time monitoring aspects of enterprise security.
• Provided effective comments and analysis of respective determinations in AML, internal audit and BA reports.

Confidential, Chicago

AML Investigator and Reviewer

• Successfully coordinated and reported data on high-risk customers. Compiled documentation for use in high-risk customer investigative file reviews and maintained cases through internal case management system.
• Performed initial assessment of customers and PEPs escalated as high-risk. Analyzed system generated and manually created alerts for potential suspicious activity to ensure the accurate filing of SARs. Escalated potentially suspicious activity and high-risk customers for further review and presented evidence to support risk-based decisions.
• Reviewed and obtained complete information to accurately report CTRs for client. Processed CTR exemption reviews. Ensured CTR exemption reviews were completed in compliance with BSA/AML regulatory standards.

Confidential . Chicago

AML Analyst

• Successfully performed AML due diligence checks on prospective customers, related parties, investors and suppliers using research tools, external data sources and Bridger 4.0.
• Monitored and maintained existing internal databases through Bridger watchlist case management system.
• Assisted with GECA Businesses monthly and quarterly metrics. Included Data Analytics, utilizing vlookups, pivot tables, and macros.
• Participated in assigned AML special projects and internal audits.
• Reviewed watchlists & adverse media matches on Bridger 4.0 to determine whether or not the party and or PEPs selected matched a GE screened party; and rendered judgment as to a positive hit.
• Made determinations based on criteria provided on Bridger 4.0 as to whether or not the watchlist was a low or high value hit. Provided effective comments and analysis of respective determinations in AML reports.

Confidential, Chicago

Office Liaison

• Managed multiple databases for the ITM Program. Assisted Dean and students through internal audit case management system and information security management.

Confidential, Chicago

Compliance Analyst & Paralegal for the Business Associate Addendum (BAA) Remediation project

• Provided administrative follow-up with Private Banking, Business Banking, and Retail Consumer Banking clients and audit reviews to ensure compliance turning in required documentation for Business Associate Addendum remediation project.
• Interacted with Private Banking, Business Banking, and Retail Consumer Banking clients with lockbox access as required by HIPPA regulations.
• Monitored and managed multiple databases through an internal audit case management system.

Confidential, Chicago

Anti-Money Laundering Analyst

• Successfully conducted due diligence and audit reviews on Confidential ’s customers who were service providers in a wide variety of capacities. Gathered information on companies and directors and researched databases for adverse information.
• Utilized World Check, Lexis Nexis, Orbis and search engines to ensure that a client was not listed on any government lists for wanted money launderers, known fraudsters and or terrorists.
• Conducted Know Your Customer (KYC) reviews on Politically Exposed Persons (PEPs) and Enhanced Due Diligence reviews of adverse service providers were flagged in a KYC case management database.

Confidential, Orland Park

Financial Services Representative

• Became licensed by the State of Illinois Department of Insurance for Life & Health in December 2010. Hands-on experience with Charles River and Bloomberg Terminal reviewing financial market data.

Confidential, Chicago

Compliance Analyst

• Successfully provided 11 years of Compliance Analyst and AML support to the Chief Compliance Officer, AML Officer, various Branch Managers and Introducing Brokers as required for Broker Dealer, FCM, and RIA.
• Conducted internal audit reviews of firm wide personnel and registered investment personnel.
• Hands-on experience with GMI, Charles River, and Bloomberg Terminal, which monitored and analyzed real-time financial market data and placed trades on an electronic trading platform.
• Investigated inquiries and correspondence pertaining to exchange rules from the NYSE, SEC, CFTC and NFA, and FINRA which included investigating details and responding to regulators.
• Conducted employee outside personal trading account surveillance and monitoring of employee trading.
• Onboarded, reviewed and approved new brokerage and commodities accounts from a compliance standpoint.
• Assisted in identifying potential rule violations and examples of suspicious activities for Compliance and AML review.
• Reviewed customer accounts and customer complaints by identifying problematic issues related to Regulatory Compliance, AML, Know Your Customer (KYC) and firm Customer Identification Programs (CIPs).
• Processed firm AP and RR registrations, such as U4s, U5s, and all Broker Dealer filings on FINRA’s CRD.
• Assisted in administering CE, AML Training, ethics and futures training, Annual Compliance Meetings, Insider Trading and tracking reviews for RRs and APs annually. Maintained accurate database tracking for FINRA audits.