SUMMARY

• Extensive experience conducting AML investigations for financial services firms.
• Ability to train more junior team members in AML best practices.
• Has reviewed and analyzed alerted transactions using Actimize/Mantas
• Has conducted 2nd level review/QA review.
• Drafted numerous detailed SAR reports describing account activity and KYC details.
• Proficient in Lexis Nexis, Westlaw, World - Check, MS Office Suite, MS Project, Outlook, Mantas, Casetracker, Actimize, Relativity, Consilio, FicroSoft.

PROFESSIONAL EXPERIENCE

Confidential, Ny

AML Investigator/SAR Writer

Responsibilities:

• AML Investigator performing second level reviews of escalated transactions for various products including retail bank accounts, business bank accounts and MSB's.
• Review and analyze alerted transactions using Actimize/Mantas to determine whether there is rapid movement of funds, structuring or any other unusual foreign activity or other significant changes in the account that is contrary to normal business activity.
• Conduct extensive KYC of focus to determine if there is any relevant negative news or derogatory information on the client using systems such as Lexis Nexis
• Retrieving and reviewing customer documents such as onboarding documents, check images, wire screens etc.
• Manage complex cases involving PEP, high risk jurisdictions, multi-faceted transactions, international wires and multi-relationship accounts.
• Draft SAR or clear alerted/escalated transaction activity detailing focus unusual/suspicious activity
• Make recommendations for closing customer accounts/relationships or investigating other clients based on investigation
• Train new AML Investigators and perform QA reviews on their work

Confidential, NY

AML Investigator

Responsibilities:

• AML Investigator for a series of banking products including MSB's, retail and business accounts.
• Reviewed and analyzed alerted transactions using Actimize/Mantas to determine whether there was rapid movement of funds, structuring, inactive accounts, unusual foreign activity or other significant changes in the account that was contrary to normal business activity.
• Completed extensive KYC of focal to determine if there was any relevant negative news or derogatory information on the client; and to find the client’s source of funds, location and vital statistics.
• Drafted detailed reports describing focal's account activity and KYC information advising why the alert should be cleared or further investigated.
• Conducted 2nd level review/Quality Assurance review before closing an alert or escalating for further review or requesting more information on a case
• Drafted SAR report if necessary detailing the focal's suspicious activity.

Confidential, NY

Compliance Analyst

Responsibilities:

• Analyst in Confidential Wealth Management responsible for advising upper management on Risk Management, ensuring compliance with bank AML/KYC procedures and implementing new KYC on boarding procedures.
• Advised upper management personnel on risk management regarding certain high net worth customers
• Reviewed high network clients’ accounts to ensure compliance with the Patriot Act, the Bank Secrecy Act and other banking regulations
• Completed extensive KYC of focal to determine if there was any relevant negative news or derogatory information on the client and to verify client’s vital statistics.
• Drafted policies and procedures to assist Financial Advisors with on boarding and monitoring of clients to minimize risk based on regulatory requirements and rule changes
• Screened clients that were politically exposed and clients with negative media for various financial crimes
• Performed analysis of trading activity to detect possible violation of rules, policies, and procedures.

Confidential, NY

Compliance Analyst

Responsibilities:

• Analyst in the Investor Services section of the Corporate Investment Bank responsible for ensuring proper compliance with the Dodd Frank Act and the Office of Foreign Assets Control.
• Reviewed Custody Agreements to ensure compliance with banking regulations.
• Trained to use Actimize software to uncover suspicious transactions and escalate to proper department.
• Assisted in the development and testing of a new program to ensure bank compliance with the Dodd Frank Act.
• Led and managed a staff of ten through the testing and implementation of a new program.
• Completed KYC on boarding by reviewing client documentation and data entered into proprietary systems.

Confidential, NY

Compliance Analyst

Responsibilities:

• Review onboarding process to ensure compliance with Confidential.
• Completed extensive KYC of focal to determine if there was any relevant negative news or derogatory information on the client and to verify client’s vital statistics.
• Drafted policies and procedures to assist clients with on boarding policies and procedures to minimize risk based on regulatory requirements and rule changes.
• Reviewed financial documents including annual reports, quarterly bank reports, prospectus, CTRs, SARs and consensus estimates.

Confidential, NY

Compliance Analyst

Responsibilities:

• Drafted policies and procedures to assist clients with on boarding policies and procedures to minimize risk based on regulatory requirements and rule changes.
• Completed extensive KYC of focal to determine if there was any relevant negative news or derogatory information on the client and to verify client’s vital statistics.
• Reviewed financial documents including annual reports, quarterly bank reports, prospectus, CTRs, SARs and consensus estimates.