SUMMARY:

• Accomplished attorney and financial risk consultant, with broad in - house financial services legal and regulatory experience.
• Adept at SAR writing, alert clearing, and high risk reviews.
• Superlative writing and organizational skills.
• Provided consulting services alongside Confidential & Confidential team working on location in Florida for Major Confidential ’s Confidential unit. Successfully completed full load of alerts assigned each month and assisted other contractors in order to meet team production goals.
• Achieved “graduation” status from QA.
• First Wave Consultant with Navigant in connection with Confidential remediation at Major Confidential .
• Selected to meet with bank project manager to discuss procedures and lend expertise in order to improve production.
• Achieved highest rank score from QA. Selected to continue on second phase of project related to Confidential review and SAR writing.
• Provided immediate significant impact on overall project production by reviewing, summarizing, and analyzing reported activity against Confidential information and transactional activity.
• Developed case report template adopted for use by team.
• Provided consulting services on location in California to Daylight Forensic and Advisory in connection with Confidential remediation for Major Confidential . Provided immediate significant impact on overall project production by quickly learning internal bank systems and immediately i nvestigating cases.
• Provided consulting services to Confidential in connection with correspondent banking remediation for Major Confidential . Selected as one of two consultants responsible for preparing 314(b) responses and to conduct quality control of other investigators.

SPECIFIC AREAS OF EXPERTISE INCLUDE:

• Confidential, Confidential, Confidential, CIP, FCPA & FATCA
• SAR Writing
• Creativity & Critical Thinking
• Training & Education
• Communication & Presentation Skills
• Problem Solving & Strategy Development
• Project Management

INDUSTRY KNOWLEDGE:

• FINRA
• Confidential
• Confidential
• Retail Banking
• Audit
• Correspondent Banking
• Due Diligence
• Business Profiles/Financial Statements
• High Risk Reviews
• SAR writing and filing
• Private Equity
• Transaction Analysis
• Red Flags/High Risk Indicators
• Special Projects
• QA/QC
• Account Closeouts

TECHNICAL SKILLS:

• Norkom
• Mac OS X
• Mantas
• Mac iWork Suite
• Actimize
• Windows XP
• Fortent
• MS Office Suite
• FedLink
• MS PowerPoint
• BankPac
• MS Excel
• LexisNexis
• Lotus Notes
• World Check
• Sonar
• World Compliance
• HOST
• EMIS
• HALO
• Factiva
• Enhanced Compliance Solutions
• Net Image
• Customer Assist
• SearchSpace
• NESS
• I2 Analyst Notebook
• Paces
• FTMon
• GTS
• On Demand
• NetX 360

PROFESSIONAL EXPERIENCE:

Confidential

Consultant

Responsibilities:

• Conduct proactive Confidential investigations generated from external sources including law enforcement in connection with special project.
• Prepare reports for Legal department in conjunction with special project.
• Conduct reviews of Confidential cases generated from internal bank sources.
• Review customer relationships and determine whether to recommend termination; prepare close-out presentations.

Confidential

Consultant

Responsibilities:

• On contract with Choice for International Commercial Bank’s remediation of its retail and corporate clients’ high risk accounts and high risk transactions in response to Cease and Desist Orders by the Confidential Corporation.
• Fully reviewed and documented alerted and general account activity, researched customers and counterparties, reviewed and verified existing Confidential files.
• Drafted case reports and recommended cases for further investigation as needed.

Confidential

Consultant

Responsibilities:

• Investigated manual branch, computer-generated, and Confidential Unit referred alerts.
• Reviewed relevant internal systems and researched customers and counterparties.
• Compiled and reviewed all transactional data, updated Confidential information as needed, and prepared case reports.
• Determined whether activity suspicious, and prepared Suspicious Activity Reports.
• Conducted EDD Confidential and high-net-worth client reviews.

Confidential

Consultant

Responsibilities:

• On contract with Confidential for Confidential ’s internal Confidential review.
• Conducted High Risk investigations, Confidential decisions, and drafted SARs.
• Successfully revised and updated previously disapproved Suspicious Activity Reports for filing in accordance with regulations.
• Investigated and documented account activity and research, and drafted case reports.

Confidential

Consultant

Responsibilities:

• Evaluated effectiveness of internal controls, governance, and policies and procedures.
• Reviewed and summarized metrics, action plans, management plans, committee meeting minutes, policies and procedures.

Confidential

Consultant

Responsibilities:

• On contract with Tower in connection with Confidential Business Banking Remediation.
• Prepared RFI’s and communicated with branch managers, and updated bank databases.
• Reviewed small and mid-sized businesses to determine customer risk levels and assign Confidential codes.
• Prepared Confidential questioners for Relationship Managers and followed up for successful completion.
• Analyzed account activity against expected activity to determine whether SAR filings required.
• Documented overall analysis of due diligence information and research.

Confidential

Consultant Attorney

Responsibilities:

• Contracted on several document productions in response to Confidential and Confidential discovery requests.

Confidential

Consultant

Responsibilities:

• On contract with Confidential in connection with Confidential Remediation.
• Conducted Confidential reviews and transaction monitoring for High Risk customer accounts.
• Compiled and reviewed transactional data, prepared case reports, and drafted SARs.
• Ensured all decisions were fully documented in a concise and detailed manner.

Confidential

Consultant

Responsibilities:

• On contract with Confidential in connection with Correspondence Banking remediation.
• Analyzed financial transactions, including wire transfers, and performed fraud analysis.
• Compiled and analyzed research, drafted case reports and SARs, and prepared 314(b) responses.
• Performed investigative functions using an automated transaction monitoring system and Confidential filters of customer data from internal and external sources.
• Provided quality control measures on drafted SARs and advised investigators on regulatory requirements.