Compliance Legal Risk Architect Resume

SUMMARY

Financial Crime professional with around 16 years of IT experience, including leading technical teams in the design, development, and implementation of Financial Crime projects/products/tools for various financial services clients.
Expertise on Actimize technologies/tools to build solutions for Banking/Financial industry.
11 years of strong experience in Actimize Technology in implementation of Trading Compliance, Market Abuse, Control Room models and Anti Money Laundering (AML) solutions.
Good Functional knowledge in Anti Money Laundering/Trade Compliance/Fraud Monitoring policies and rules
Good understanding of different regulatory authorities like FinCEN and FINRA
Exposure to mortgage industry, securities lending
Experience in Project Management, Customer/Client Services & Delivery, Process Management, and Team Management.
Extensive experience in managing the implementation of software design, development and maintenance projects.
Exhibited leading skills and module leader role by ensuring effective time management and good coordination ability, problem break - down and prompt decision making.
Proficient in interacting with the clients for requirements gathering, system study & analysis.
Strong communication and Interpersonal skills with proven abilities in successfully managing various critical projects.
Understanding of OFSAA FCCM 8.0.7 and overall Mantas architecture

PROFESSIONAL EXPERIENCE

Confidential

Compliance Legal Risk Architect

Responsibilities:

Understanding the AML/Brokerage Surveillance Actimize systems of LPL
Recommending/Advising better policies and architecture to improves in overall process while reduction of cost
Analyzing the entire AML processes/architecture of LPL, remove redundant processes and improve the overall efficiencies/cost
Automating AML processes in Actimize like case/alert auto assignment and automating SAR filing with FinCEN using Connect Direct Secure +
Working with regulatory authorities to understand different API’s or mechanism built for machine to machine data transfer with the Financial Institutions and hence removing manual interventions
Key point of contact between LPL business/IT and Confidential offshore team
Understanding business problems and translating them into technical solutions
Perform an advantage analysis for LPL for partner platforms like Workfusion / Quantexa / Merlon and accordingly recommend them to LPL for RPA and AI needs to reduce overall costs while meeting all the needs

Confidential

Actimize Architect

Responsibilities:

Understanding the requirement and liaising with Actimize to create functional specifications
Working with Actimize team, BOTW team and other stakeholders to make the project a success
Building/Training an inhouse BOTW team to decrease cost by cutting down on Vendor participation
Implementing/Customizing SAM and other custom models using AIS and RCM
Discussing with business and IT to implement best Actimize practices
Designing the data flow and AIS models and corresponding RCM feature for complex AML rules
Working with BOTW management to decrease the cost by creating in house Actimize capabilities to deliver certain modules
Involved in the implementation of Actimize SAM model with customized rules
Designing the Global Transaction DART for investigators access to the transactions with performance as expected by business

Confidential

Actimize Architect

Responsibilities:

Understanding the requirements from users and proposing them with Actimize features
Analyzing the data from different feeds that comes to Confidential and talking to ETL team
Automating the Actimize deployment process and buiding a one click deployment in higher environments
Involved in developing end to end Actimize models (custom) and helping users in automating their work using Actimize