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Business Analyst Compliance (consultant) Resume

SUMMARY

Motivated professional committed to outstanding performance and self - starter with the drive and capacity to accomplish goals and values others. Seeking a career that will challenge and expand my knowledge and skills. Dependable polished team player that thinks logically, and executes sound judgment with demonstrated experience in process improvement initiatives.

TECHNICAL SKILLS:

  • SAP
  • Advanced Query Tool
  • Application Lifecycle Management
  • Mantas
  • Actimize
  • Lexis Nexis
  • Teradata SQL Assistant
  • SharePoint
  • Jira
  • Dell Migrator Tool
  • IBM Blueworks
  • Agecom Export Utility
  • Remedy
  • Lotus Notes
  • Word
  • Excel
  • Access
  • Outlook
  • Project and Visio

PROFESSIONAL EXPERIENCE:

Business Analyst Compliance (Consultant)

Confidential

Responsibilities:

  • Assists in the research and assessment of business goals to align information technology solutions with business initiatives.
  • Act as a liaison between the project team, stakeholders and database owners for application migration, modernization and retirement initiative.
  • Contributes to planning, documenting and designing business processes; assists in formulating recommendations to improve and support business activities to deliver high impact results.
  • Executes technical reviews and systems tests from existing test plans.
  • Assists in analyzing test results in various phases
  • Organize meetings and deliver effective presentations
  • Create in-depth reports on each client detailing their potential risk factors
  • Train new hires to perform the procedures of Due Diligence Operations
  • Conduct Inspect and Repair operations on the work of other analysts to ensure accuracy while working with Quality Assurance
  • Subject matter expert for analyst in the department regarding compliance, regulatory and legal matters affecting various lines of businesses in the firm

Senior AML Quality Assurance Manager (Consultant)

Confidential

Responsibilities:

  • Performs quality assurance review in accordance with AML policies and departmental procedures within established timeframes.
  • Provides quality feedback and recommendations to AML colleagues.
  • Promotes positive relationships and helps lead the team toward the success of QA’s goal and objectives.
  • Maintains current knowledge of regulations applicable to the business, any business changes as well as pertinent internal regulatory policy and procedural changes.
  • Serve as the subject matter expert for the SAR filing process to include FINCEN guidelines, trends, and best practices.
  • Review Suspicious Activity Reports (SARs) and recommend relationship retention or termination, and track account closures as required.
  • Interact with Senior Management on the Compliance, Legal and business sector concerning AML issues and processes.
  • Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.
  • Document and report the investigation findings in the case management system and prepare reports to management as required.

Senior AML Compliance Officer (AVP)

Confidential

Responsibilities:

  • Document and report the investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.)
  • Responsible for communicating with internal and external entities, members of the sales team and other Citigroup AML monitoring units
  • Collect and examine financial statements and documents to assist in identifying unusual transaction patterns
  • Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations
  • Write and file Suspicious Activity Reports (SAR) and recommend relationship retention or termination; track account closures as required
  • Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues
  • Document all research and analysis conducted in the Case Management System.
  • Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case
  • Liaise with other FIU units, Advisory, Business Compliance teams, CSIS, FIU Legal, GIU, and Law Enforcement
  • Conduct Cross Sector reviews among multiple Citi business lines.
  • Triage cases and identify items appropriate for Senior Management escalation.
  • Perform the required KYC screening on new clients by documenting and corroborating the information obtained on the client as required by the Global KYC Procedures utilizing a variety of independent research sources
  • Responsible for reviewing and ensuring all required AML / KYC Regulatory requirements for new clients are met. ( i.e. executed USA Patriot Act certification for all Foreign Banks, Section 312, MIFID, etc)
  • Stay abreast of and analyze developing industry and compliance trends, scams or schemes, and changes to laws and regulations pertaining to, among other things, BSA/AML/OFAC/Patriot Act
  • Implement and maintain AML/BSA/OFAC policies and procedures for the branch; Coordinate with business units to maintain compliance across all business lines
  • Initiate workflows to update customer records within the bank’s internal on-boarding system including set-up in transactional systems and deactivations

Team Lead

Confidential

Responsibilities:

  • Route Non-Branch/ Branch Referrals to correct workgroup and determine if a SAR is necessary
  • First level reviews- evaluate wire transactions to determine escalations
  • Trainer- Implement procedures and strategies in various departments.
  • 314B- Inbound and outbound responses
  • Sonar Watchlist
  • Reporting trending errors along with suggestions to improved errors
  • WCU Mailbox- maintain all incoming mail create cases and allocate assignments. Ensure all work is complete before SLA
  • Wire Recall/ OFAC Report - Creating cases based on wire transaction in PRPC and Ftmon in advance
  • Metrics- Weekly and monthly metrics for triage team.
  • I&R- Make correction for misroutes and other incorrect functions
  • Team Lead in Triage
  • Lead daily team meetings
  • Analyze Client data, documentation and negative news in order to determine Client Risk Profile as established under the Global KYC Procedures
  • Collaborate with CID Group’s counterparts worldwide on global requests
  • Maintain detailed records on clients for second-level review
  • Oversee progress with respect to compliance projects and deliverables assigned to the Transaction Monitoring teams

Analyst

Confidential

Responsibilities:

  • Research, document and analyze background information on JP Morgan’s clients through public record databases; research includes: negative media, Politically Exposed Person (PEP) & sanctions
  • Collect and document data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data, plus any other required information to assist the investigation
  • Ability to identify & deem relevancy of public records, as it relates to customer information
  • Conduct specialized research to determine disposition of any open records
  • Summarize and communicate high risk findings information in written form
  • Compile research data into a standardized report and forward to review for accuracy of findings
  • Review and analyze underlying data gathered to assess reasonable cause to escalate to an alert to case or to clear the alert.
  • Disposition and fully document all alerts, including supporting data, analysis and rationale for disposition, within the case management system in a timely manner.
  • Exercise sound judgment and observe the highest degree of confidentiality
  • Analyze anomalies and create an action plan for data remediation
  • Coordinate and perform basic and enhanced due diligence KYC screening on new and existing US and non-US clients

Compliance OFFICER

Confidential

Responsibilities:

  • Responsible for list-screening test-work on customer accounts utilizing V Look-Up within Microsoft Excel
  • Validated CRR (Customer Risk Rating), through review of on-boarding documentation present for each customer
  • Applied EDD (Enhanced Due Diligence) principles while analyzing High Risk Customers and Special Category of Client (SCC) designated individuals
  • Documented fallacies of on-boarding paperwork to ensure widespread compliance with MLCA (Money Laundering Control Act) regulations in addition to Title III provisions of the USA Patriot Act
  • Conducted transaction history reviews, in addition to concurrent transaction monitoring to ensure adherence to BSA (Bank Secrecy Act) regulations.
  • Drafted SAR synapses to report regulatory violations and questionable account activity
  • Performed research to confirm suspected PEPs (Politically Exposed Persons) and SCCs (Special Category of Client).
  • Utilized investigative techniques and interfaces (WorldCheck, Google/Internet search) to fully establish customer identity in regard to derogatory information.
  • Frequently adjusted research and investigative methods to correlate with points of focus as dictated by test-work objectives. Produce a detailed client review write up in the Global Account Opening System
  • Track and report all documentation breaks
  • Liaise with Compliance on specific requirements and regulations arising under special circumstances
  • Liaise with Clients, Front Office, Credit, Legal and Operations as necessary as part of the KYC process
  • Perform Client account refresh as required

Staff Accountant

Confidential

Responsibilities:

  • Prepare Monthly P&L and Balance Sheets.
  • Analyze Expenses, Revenues, and Credits Issued and Report Variance Explanations for All Data Centers.
  • Preparation of budget reports
  • Prepare and Post Monthly Journal Entries
  • Review and/or Reconcile Balance Sheet Accounts in multiple entities and resolve open items
  • Maintain Great Plains setup maintenance
  • Monitor Monthly Accruals, Including Commission, Property Tax, Connectivity, and Revenue Deferrals
  • Monitor and Improve the Month-End and Year-End Closing Process
  • Monitor Intercompany Consolidated Account Balances
  • Review and/or Reconcile Operating and Payroll Bank Accounts
  • Prepare All Audit Lead Schedules for Annual External Audit
  • Analyze monthly budgeting and accounting reports to maintain expenditure controls
  • Review operating budgets to analyze trends affecting budget needs

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