SUMMARY:

• Confidential is a seasoned professional with legal, compliance, and anti - money laundering experience. Confidential is a compliance professional specializing in regulatory remediation, risk assessments, independent testing, transaction monitoring, analysis, surveillance, customer on-boarding, corporate governance, transaction look-backs, and AML regulations & controls.
• Served as QA Manager for the Confidential - Confidential Lookback project overseeing eight QA analysts, developing Confidential QA procedures and baselining all new and current analysts for approval for production, supervising 8 QA analysts, for over 15 team leaders each with 12 analysts .
• Provided detailed training to Confidential and contractor analysts for case investigations, served as SME for all sanction related inquiries regarding correspondent banking case investigations, and lastly managed twelve teams of investigation analysts.
• QA Manager supervising 8 QA analysts, for over 15 team leaders each with 12 analysts
• Established screening guidelines for shell-corporations sending wire transfers, Implemented procedures for testing of wire transfer scanning guidelines.
• Developed RFI action plan initiative for Bank to Bank transactions involving MT202 and MT 202COV.
• Utilized alert testing results to recalibrate Actimize alert screening process to rule out false. positives amongst transactions alerted for currency conversion, velocity of transactions and black market pesos with regards to High risk transactions received and remitted to Confidential
• Formed specialized group dedicated to search of shell-entities.
• Updated AML testing modules for high-risk overseas customers.
• Detected common trend among fraudulent bank deposits leading to numerous account closures.

HIGHLY SKILLED IN:

• Correspondent Banking
• Banking & Capital Markets
• Securities regulations, FINRA, Dodd-Frank Act
• AML/BSA, FFEIC, Confidential -CIP Client On-boarding
• SARs Development
• Transaction monitoring; surveillance, audit, investigation, SARs
• Confidential and Confidential review
• Policies & Procedures
• Quality Assurance, testing
• Project infrastructure & strategic planning
• Regulatory Liaison
• Project Coordinator
• Project Management
• Risk-Credit Assessment
• Confidential / Sanctions

TECHNICAL SKILLS:

• MS Office Suite
• Bankers Almanac
• Vision
• Actimize
• LexisNexis
• Bridger
• Westlaw
• Confidential
• Bancpac
• CaseIt
• World Compliance
• Fircosoft
• WorldCheck
• Searchspace
• SKYC
• Accuity
• Prime
• Miser
• Surety
• RADAR
• Norkom
• GIFTS
• Onbase
• FIS

PROFESSIONAL EXPERIENCE:

Confidential

Trade Finance

Responsibilities:

• Conducted start to finish analysis of trade finance alert, reviewed entities’ profile, wire references, flow of funds, adverse information findings and RFI responses;
• Reviewed Bank to Bank Transactions specifically MT202 and MT202COV transactions for true originator and beneficiary, developed action plan and mass RFI initiative to contact regional banks located in China to complete the wire initiative;
• Performed duties as the RFI coordinator; and numerous ad hoc projects as given.

Confidential

Internal Auditor

Responsibilities:

• Conducted audit of investigations of suspicious activities which may result in potential high/low risk profiling/identification of suspicious activities to uncover potential money laundering, terrorist financing, fraud, drug trafficking, and Confidential violations;
• Conducted risk analysis of member/business relationships in accordance with Federal Financial Examination Council (FFIEC), and internal guidelines/procedures such as Customer Due Diligence ( Confidential ) and Enhanced Due Diligence ( Confidential ).

Confidential

QA Manager

Responsibilities:

• QA Manager - supervising 8 QA analysts; additional duties Subject Matter Expert regarding Confidential /Sanctions for review of escalated cases, adverse media cases, and sanction/ Confidential cases;
• Reviewed customer and related parties for potential Confidential and sanction related connections; Reviewed transactions held for potential Confidential sanction related violations, identified false hits managing the Confidential alert review process;
• Provided Confidential /sanctions related subject matter expertise to the Legal and Operations teams; Reviewed and analyzed Confidential inquiries and potential hits;
• QA team leader transactional review expert, responsibilities included: review of transaction detail and customer wire activity.; compared normal and expected activity to actual activity; reviewed case details, comments, attachments and information prepared by Level 1; made final Tier I recommendation for determination of closure or escalation.
• Team Lead on BAU Alert project, supervised a team of 12 analysts, trained analysts on proper bank procedures, system procedures and coached team members to produce quality production; reviewed and approved alerts worked by analysts for level 2 review;

Confidential

Team Leader

Responsibilities:

• Reviewed clients trusts for compliance with BSA regulations, escalated suspicious activity to legal and Global Trust Services; Performed 2 nd level review of transaction monitoring of overseas high risk Confidential clients; Developed sampling procedures for appropriate testing and validation of current cases determining if proper methodologies were used; Performed internal AML audits on investigations closed and escalated.
• Reviewed clients currently under investigation for deficient customer Confidential and KYCC regarding Confidential based clients, performed Confidential on overseas high risk Confidential clients closing numerous investigations based on Confidential information obtained through due diligence process.

Confidential

SAR Analyst

Responsibilities:

• Transactional monitoring review, QA level review of previous investigations, and reviewing un-submitted SARS and submitted new SARS for suspicious activity.

Confidential

Team Leader

Responsibilities:

• Updated and reviewed client Confidential by performing Confidential, SPDD, and media searches on clients, vetting negative media searches, submitting closed clients for Confidential, and escalated suspicious Confidential information to special teams;
• Updated Confidential for international correspondent clients, escalating suspicious KYCs, provided guidance to client on-boarding teams; and interacted with sales and branch managers regarding onboarding information and client updates;

Confidential

SAR Analyst

Responsibilities:

• Transaction monitoring, investigated suspicious transactions escalated to SAR team for review, prepared - drafted SARs, reviewed client media, information, Confidential and onboarding information for suspicious alerts;
• Alert clearing, reviewed Confidential alerts for suspicious transactions, investigated alerts leading to possible investigations being opened, alerts being cleared, account closure and SAR filing.

Confidential

Investigation Analyst

Responsibilities:

• Wire transfer review of high risk correspondent clients of U.S. accounts regarding funds transfer to/from shell banks and shell companies from cases submitted to GIU; sent 314 (b)’s and reviewed high risk wire activity for international clients, correspondent banking and high risk clients; Reviewed Confidential generated alerts for suspicious transactions, investigated alerts leading to possible investigations being opened, alerts being cleared, account closure and SAR filing;
• Review and verified incorrect and deficient Confidential information, performing Confidential and Confidential on high risk 2 nd level reviewed clients on tips received from FIU.
• Utilized alert testing results to recalibrate Actimize alert screening process to rule out false positives amongst transactions alerted for currency conversion, velocity of transactions and black market pesos with regards to High risk transactions received and remitted to Confidential

Confidential

Associate Attorney

Responsibilities:

• Worked closely with high-net worth families under supervising attorney; Confidential, Trusts and other Testamentary document and extensive experience with estate administration;
• Prepared multi-million dollar trust agreement for Virginia family and their manufacturing corporation, liquidated and distributed trust assets to beneficiaries - prepared and filed probate accountings.