- I has a diverse background in the legal, Confidential, banking, and financial services fields. I has Confidential experience that includes SAR writing, and enhanced due diligence investigations in retail, commercial, and global correspondent banking environments.
- My recent experience includes transaction monitoring and forensic investigations of AML, terrorist financing, and other suspicious activities in lookback environments for international banks. Throughout my career I has worked within highly regulated financial institutions and I has the proven ability to identify, evaluate, and mitigate risk while adhering to Confidential mandates.
- I consistently meet or exceed production goals with great accuracy based on QA scoring and assessment.
Confidential Investigator - SAR Writer
- SAR writer for online payment processing company; investigate cases involving money laundering, terrorist financing, and consumer fraud typologies; analyze high risk client profiles and conduct transactional analysis for same; utilize various systems and risk modeling to disposition cases and prepare SAR disclosures (initial, amended, and continued) for e-filing with FinCEN via a Norkom (Detica) workflow.
- Consulted on a lookback project to assist banking client with the remediation of alert backlog for high risk customers; review of SAR activity, conducted investigations, prepared enhanced due diligence (EDD) reports, and dispositioned cases according to Confidential protocols.
Claims Analyst (Consultant)
- Performed enhanced due diligence investigations for client bank’s high risk global correspondent banking business in a lookback environment; conducted forensic review of transactions to determine money laundering and terrorist financing risks associated with activity
- Conducted forensic analysis of SARs and SAR transaction reports to determine the presence of money laundering and terrorist financing typologies or red flags and dispositioning new cases for closure, escalation, or supplemental reporting, as necessary; experienced in reviewing international wire activity for both retail, commercial, and correspondent banking accounts; conducted OFAC sanctions, PEP, and adverse media analysis and screening; utilized Norkom (Detica)
- Accuity, and other proprietary research methods during the investigation process; prepared detailed reporting of findings, including research, case reasoning, and disposition; demonstrated noledge and implementation of BSA, and local reporting rules in various high risk jurisdictions; experienced in identifying and evaluating cases involving gambling, tax-haven jurisdictions, money service businesses (MSBs), and possible human trafficking.
Confidential, Newark, DE
Confidential Officer II (Consultant)
- Managed the implementation of onboarding for high value and PCM corporate clients; managed documentation related to Confidential and KYC profiles during the onboarding process while adhering to Confidential regulations; negotiated variations from standard form provisions; client management working closely with internal and external stakeholders; conducted OCC mandated Confidential review of HSBC affiliates, both foreign and domestic, for Confidential with legal and regulatory documentation requirements; risk mitigation with respect to the affiliates; the scope consisted of the review and legal documentation of over 400 accounts for the various entities.
- Investigated consumer and business accounts to determine risk factors associated with money-laundering, terrorist financing, and suspicious activity; consistently provided top-tier work product with high scoring and assessment per QA accuracy reviews; conducted in-depth analysis in dispositioning alerts; reviewed prior or ongoing SARs and incorporated findings into review as appropriate; demonstrated strong technical noledge of financial crime typologies, banking, and Confidential rules and regulations, specifically involving AML/BSA, KYC, OFAC, USA Patriot Act, and FinCEN; extensive use of Lexis-Nexis, HALO, Fortent, Portfolio Analyzer, and other banking systems; evaluated PEP status risks; used public data to assess negative media; noledgeable about SAR and CTR filing requirements; creation of pivot tables to extrapolate and analyze data during investigation; special projects as assigned.
Confidential, Philadelphia, PA
- Conducted e-Discovery for plaintiff’s firm for product liability case against a gun manufacturer; reviewed and analyzed expert testimony and reports for purposes of litigation; special projects as assigned, including the development and responsibility for Excel spreadsheets, which reported and catalogued case information as requested by lead attorney; conducted QC of work performed by other attorneys on the case
Contract Attorney and Staff Attorney
- Provided securities litigation support in the discovery phase of an MDL class action pharmaceutical and shareholder derivative cases; project leader for deposition preparation; conducted e-Discovery, including second-level review; coded documents for relevance, privilege, responsiveness; created privilege logs; exposure to antitrust case issues; EDGAR research; served as team leader on ad-hoc litigation projects
Confidential Wayne, PA
- Conducted Confidential review of prospectuses and SAIs for issues related to distribution of funds, disclosure of distributions and other areas; identified areas of weakness and made recommendations on changes and disclosures required to become compliant with the SEC 1940 Act
Confidential, Wilmington, DE
Securities Lending Paralegal/Contract Administrator
- Participated in the negotiation and drafting process of mutual fund service contracts, including securities lending, ISDA master agreements, and master repurchase agreements; administered the Sarbanes-Oxley sub-certification and other Confidential certification processes across several lines of business; hedge fund administration related to securities lending, custody, and Confidential ; demonstrated strong technical noledge of the federal securities laws, specifically the SEC 1940 Act; worked closely with the Confidential / Confidential group in client onboarding; corporate governance; special projects as assigned; EDGAR research
- Achievement: Project leader for the Agent Lender Disclosure Initiative where securities lending agreements required amending to conform to new regulatory guidelines. Identified area of risk exposure when another line of agreements were not initially addressed; resulted in amending the relevant agreements such that client information would be handled according to the terms of the guidelines and preventing risk exposure to the company