SUMMARY

• Vigilant and conscientious professional with a strong control and analytical background who excels in roles with Senior Management/Stakeholders visibility. Effective in applying strong reconciliation and investigative skills obtained through Middle Office/Product Control role to identify control weaknesses and detect risks. Experienced in performing compliance testing and quality control reviews. Possess knowledge of various regulatory requirements including BSA/AML, FATCA, and CCAR. Proven
• Charged with responsibility for key internal controls implemented following Societe Generale $7B trading fraud.
• Prepared the SG Americas (US, Brazil, and Canada) Daily Flash Report, which was distributed to the Fed, CEO, CFO, and Business Lines Heads; and managed the Flash Remapping Project following the bank’s reorganization.
• Monitored portfolios of more than 50 FX traders and 5 STIR traders for breaching of thresholds, investigated breaches, and explained variances to Management, Risk, Accounting, and Front Office.
• Reduced risk to a financial institution by catching a massive dollar - value error and successfully identified its cause.
• ACAMS member (#1000183168): CAMS certification obtained January 2015.

PROFESSIONAL EXPERIENCE

Confidential, New York, NY

Governance Analyst

Responsibilities:

• Provide administrative support for Project Steering Committees and Working Groups involving Senior Management including the CEO of the Americas, General Counsel Americas, and Head of FCC Americas.
• Develop, track and follow-up on issues and action plans stemming from AML-related governance/regulatory findings to ensure timely response and action.
• Analyze regulatory findings and map to policies and procedures, controls, and existing and planned training.
• Map SCB Monitor’s testing scope to the Global Management Action Plan to ensure coverage.
• Prepare metrics and executive summaries for Senior Management.
• Provided FATCA, CDOT and CRS on-boarding advice and support to regional teams.
• Supported the FATCA remediation process for preexisting accounts and provided FATCA relevant advice to colleagues undertaking the FATCA remediation work.
• Escalated violations of SCB’s policy to the Senior Compliance Manager and Country Compliance.
• Performed FATCA risk assessment and monthly compliance monitoring and ensured the mitigation/remediation of identified risks/deficiencies by enhancing controls and providing additional training.
• Analyzed KRIs for Senior Compliance Management and escalated significant risks to relevant risk and control committees.
• Contributed significantly to the improvement of new/existing processes and procedures (e.g. compliance monitoring framework, interim controls, and compliance checklists) by identifying gaps and quality issues.
• Reviewed SCB’s US vendor payments onboarding process for FATCA compliance; identified gaps in documentation, validation process, and training; and developed a corrective action plan.
• Performed UAT for key systems enhancements implementation, data migration, and MI reports rollouts.
• Became the expert in using the validation tool, trained colleagues and end users on the tool, updated handbook on the tool’s FAQs, and served as second level escalation point for users.
• Researched regulations and disseminated any evolving legal/regulatory changes.

Confidential, New York, NY

AML/KYC Quality Control Analyst

Responsibilities:

• Reviewed and QA approved KYCs/DDRs for new and existing LATAM Private Bank clients.
• Ensured that bankers adhered to the KYC standards of the firm and Private Bank-specific policies.
• Identified and supported the effective resolution of KYC discrepancies and deficiencies, and highlighted significant breaks between Source of Wealth (SOW) and Net Worth information.
• Identified and assessed red flags and any other potentially concerning information, and escalated if necessary to Management and Compliance.
• Evaluated the appropriateness of the assigned AML Risk Rating and adjusted as needed.
• Escalated certain high risk clients for Specialized Due Diligence and liaised with private bankers, Management, and AML Compliance to achieve an optimal outcome.
• Extracted CIP and SOW data from KYC profiles and submitted to Global Due Diligence Operations for screening.
• Assisted with LATAM and Mexico Onshore remediation projects, which involved reviewing corporate documentation, verifying CIP and Beneficial Ownership, adding related parties to the KYC remediation tool, and requesting missing documentation from bankers.
• Assisted with a regulatory request by compiling PEP information from the KYC system and ensuring that PEP flags on KYC profiles were valid; thus providing a true picture of the Private Bank’s PEP population.

Confidential, New York, NY

Analyst

Responsibilities:

• Produced P&L reports for Short Term Interest Rate (STIR) and FX trading desks.
• Monitored portfolios of more than 50 FX traders and 5 STIR traders for breaching of thresholds, investigated breaches, and explained variances to Management, Risk, Accounting, and Front Office.
• Performed Front Office to Back Office (General Ledger) P&L reconciliation ensuring that all discrepancies were fully explained and the firm’s books and records were accurate.
• Proposed and implemented a tracker to capture manual PnL adjustments to FICC traders’ P&L.
• Contributed significantly to the development of a new streamlined straight through reporting process which increased the timeliness of the STIR and FX P&L reports.
• Compiled and analyzed KRIs for Capital Markets P&L management.
• Assumed responsibility for SG Americas Daily Flash, which was distributed to the Fed, CEO, CFO, and other senior management, whilst balancing existing duties thus enabling the company to realize cost savings.
• Managed SG Americas Flash Remapping project; held meetings with Business Lines Heads and PCG departmental heads to explain the structure of the new Flash report; advised consultant regarding the requirements and ensured that all P&L components were mapped correctly and there were no discrepancies.
• Significantly increased the accuracy/quality of the month end flash reporting by maximizing attention to detail skills and proposing and implementing a new framework for doing the true-up.
• Prepared daily “Fightback” fraud alert reports for senior management, ensuring that any new or modified FICC trades generating P&L greater than +/- EUR 3 Million were verified and fully explained, and ensured that trader P&L Validation control was executed by traders.
• Performed process walkthroughs with Capital Markets’ P&L product controllers to identify processes, controls, and risks.
• Maintained PnL documentation, updated written procedures, wrote manual for flash report, and trained back-up personnel.

Confidential, New York, NY

FX Options Specialist S

Responsibilities:

• Confirmed and settled FX options trades with corporate, institutional, and internal counterparties.
• Significantly reduced confirmation errors by maximizing investigative and attention to detail skills.
• Reduced the number of outstanding confirmations by actively pursuing chasers.
• Performed due diligence on clients through review of CIP/KYC documentation and/or searches of various public and third party vendor sources.
• Referred certain high risk clients and client hits to AML Compliance for enhanced due diligence/review.
• Prepared and maintained hard/soft CIP documentation files, updated client database, monitored the status of pending documentation, and compiled statistics for management, sales, and client relationship managers.
• Closed accounts for non-compliance thus reducing AML, legal, and regulatory risks to the bank.
• Improved relations with the Global Markets’ team by providing status reports in a timely and efficient manner.
• Assisted in the execution of a mock audit in preparation for an audit by the IRS.
• Enhanced the integrity of the client-accounts’ data by resolving various issues either independently, or by liaisingisNexis.