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.
- Advanced Query Tool
- Application Lifecycle Management
- Lexis Nexis
- Teradata SQL Assistant
- Dell Migrator Tool
- IBM Blueworks
- Agecom Export Utility
- Lotus Notes
- Project and Visio
Business Analyst Compliance (Consultant)
- 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)
- 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)
- 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
- 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
- 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
- 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
- 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