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Compliance Specialist - Aml Compliance Investigator Resume

New York, NY

SUMMARY:

Dynamic and highly motivated finance professional with a track record of delivering strong results with various projects of myriad difficulty. Recognized leader and manager for investigation of financial crimes and Anti - Money Laundering regulations. Unique talent of blending technical aspects & complex information into large group presentation skills. Adept at increasing performance in departments and growing client relations. Strong reputation as a team player. Influential, articulate & driven to succeed.

AREAS OF STRENGTH:

  • KYC/AML Knowledge OFAC Screening
  • SAR Writing & Review Documentation Audits/Remediations
  • Institutional and Correspondent Banks Transaction Monitoring/Alert Escalation
  • Orchestrated the completion of compliance remediation for audits and financial investigation.
  • Mentored new team members to accelerate their development & impact on the team.
  • Delivered weekly status reports to keep senior management apprised of project status.

PROFESSIONAL EXPERIENCE:

Compliance Specialist - AML Compliance Investigator

Confidential, New York, NY

Responsibilities:

  • Responsible for the analysis of candidate files in accordance with Company policy and procedures, and the dispositioning of candidate scenarios based on several significant factors.
  • Escalating cases with significant policy threshold exceptions to senior management.
  • Responsible for drafting and submitting requests for information (RFI’s) to senior bank staff.

Compliance Specialist - AML Compliance Monitoring

Confidential, New York, NY

Responsibilities:

  • Responsible for the QA analysis of compliance policy implementation along various lines of business and regions, including EMEA, Pacific Rim and Latin America.
  • Validating control processes to ensure compliance with laws, rules and regulations via relevant monitoring and testing, including OFAC sanctions.
  • Assisting with the development of various compliance policy and procedures.
  • Managing ad hoc requests from management for completion of Fortent compliance testing.

Project Manager

Confidential, San Francisco, CA

Responsibilities:

  • Responsible for the alignment of Confidential and Confidential Corp policies, procedures and standards with those of BNP Paribas, the parent company.
  • Participated in efforts between the IHC, Confidential, and Confidential, Corp., related to Compliance policy, procedures and standards.
  • Worked with effected business units or their Compliance support team, to ensure they are performing and documenting alignment efforts and are on track for timely completion.
  • Created and managed status reports and policy management tools to insure progress against due dates, deliverables, and objectives.

Compliance Consultant

Confidential, Brooklyn, NY

Responsibilities:

  • Managed and facilitated client due diligence, including the coordination of sales participation in the process.
  • Served as point of contact for KYC and reporting issues for designated clients, working in tandem with support staff and QA to complete remediation documentation in an efficient manner.
  • Reviewed and analyzed KYC documentation, using various factors to disposition and escalate accordingly, focusing on banks, non-bank financial institutions, and foreign correspondent banks.
  • Participated in weekly meetings, where policy and procedure updates, as well as other KYC issues, were discussed.

Compliance Consultant - PEP Remediation Specialist

Confidential, Jersey City, NJ

Responsibilities:

  • Conducted background searches using Lexis Nexis, and several internal databases.
  • Prepared risk analysis dossiers for high-risk clients, including those holding high political office.
  • Performed QA analysis on high risk banking profiles, and reported findings to senior management.

Compliance Consultant - AML/KYC Investigation Specialist

Confidential, Brooklyn, NY

Responsibilities:

  • Conducting background searches using Lexis Nexis, and several internal databases.
  • Reviewing compliance alerts triggered by certain activities conducted by counterparties.
  • Managing a database of potentially suspicious banking transactions, ultimately making decisions regarding the validity and authenticity of the scenarios.
  • Recommending and analyzing SAR reports and RFI reports used for high risk clients.
  • Performed QA analysis on completed scenarios, escalating high-risk cases and alerts to senior management for final decision wherever necessary.

Compliance Consultant - Anti-Fraud Unit

Confidential, New York, NY

Responsibilities:

  • Instrumental in the collecting and analyzing of data to assess patterns of suspicious activity.
  • Prepared and filed fraud reports in compliance with firm requirements, including SAR’s.
  • Provided advisory services to business line management on various aspects of fraud.
  • Analyzed incidents of major frauds at peer institutions to assess the firm’s susceptibility to similar weaknesses and to propose remediation measures to address weaknesses.
  • Established and maintained contacts within the financial, regulatory and law enforcement communities.
  • Represented the firm in communicating with victims of financial crimes and financial statement analysis for Dodd-Frank authentication.
  • Conducted research utilizing public and proprietary databases in support of investigations.

Compliance Consultant - AML/KYC

Confidential, New York, NY

Responsibilities:

  • Worked closely with counterparties to obtain various documents for AML/KYC, consistent with Section 326 of the Bank Secrecy Act.
  • Conducted background searches using World Check, Lexis Nexis, and MIS.
  • Reviewed compliance documentation submitted during the onboarding process for applicant as well as refresh for existing participants.
  • Ultimately responsible for escalating negative news and information regards PEP’s.
  • Composed KYC reports and files used for risk rating applicants and participants.
  • Implemented EDD program to formulate risk ratings for ultimate owners and officers.

Compliance Consultant

Confidential, New York, NY

Responsibilities:

  • Coordinated with the global coordination of high-risk investigations.
  • Conducted name searches and revised results and submitted reports to FinCen.
  • Prepared case files for escalation, if necessary, and composed SARs when necessary.
  • Performed SAR maintenance and quality assessments and composed SARS for senior management.
  • Served as point of contact on matters that impacted an investigation or involve law enforcement contact.
  • Responded to alerts from regional offices regarding suspicious activity procedures.

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