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Click here or scroll down to respond to this candidateCandidate's Name
EMAIL AVAILABLEPHONE NUMBER AVAILABLEExperienced financial services professional with extensive global banking knowledge in a highly regulated environment.EDUCATION & CREDENTIALSBUSINESS ADMINISTRATION FINANCIAL INDUSTRY REGULATORY AUTH ORITY Certified Series 99 Operational SpecialistUniversity of Massachusetts, Boston, Massachusetts, 1995 Certified Series 99 Operational Specialist (Date2017)CORE COMPETENCIESSelf-motivatedDetail oriented with excellent organizational skillsStrong oral and written communications skillsAble to work independently as well as collaborativelyExcellent analytical skills and ability to interpret complex documentsExcellent time-management skillsSKILLSTECHNICAL: EXCEL POWERPOINT WORD TEAMS SHAREPOINT BOX WEBEX ZOOMLANGUAGES: FLUENT IN PORTUGUES CREOLE AND ENGLISHPROFESSIONAL EXPERIENCEMorgan Stanley, Baltimore, Maryland (Insert titleGlobal Financial Crimes Analyst) 2022-PresentResponsible for reviewing and analyzing high risk customers to assess risk type and possible mitigants to ensure compliance with US Patriot Act and other FED/State laws.2nd Line of defense approach to risk-based monitoring by focusing on high-impact compliance riskPerformed customer due diligence screening utilizing Regulatory Datacorp Inc. (RDC) and ACTIMIZE to identify financial crime, sanctions, PEPS and adverse newsConducted Enhanced dDue dDiligence as an authorized signatoryUtilize data analysis tools to analyze, quantify, and assess risks for related banking productsProvide guidance to onboarding teams on escalation items;, including conducting reviews ofState/Fed regulations necessary to effectively interpret compliance requirementsDetermine and track compliance metrics for senior managementMorgan Stanley, Baltimore, Maryland (Insert TitleGlobal Loan Services Director) 2012-2021Responsible for facilitating client onboarding and settlements for the Primary/Secondary market for Syndicated corporate loansResponsible for facilitating client onboarding and settlements for the pPrimary/sSecondary market for sSyndicated corporate loansProcessed Corporate Actions such as mMergers, legal name changes.Reviewed trade tickets via ClearPar /Wall Street Office (WSO) to facilitate timely settlement of pPar trades. for the secondary marketCollaborated with the Primary Origination team to ensure all borrowers underwent AML/KYC review.Collaborated with the Agency/Servicing teams to ensure trade economics accurately captured in deal building system to facilitate timely P&I payments andpPerformed Call Back Verification for remittance instructions.Responsible for writing and maintaining updated Ddesktop procedures.Responsible for providing high level walk-throughs with internal/external auditors.Collateral ManagmentState Street Corporation, Boston, Massachusetts Various 1998-2012Managed agent bank relationships for complex international markets and significant global partners.Specific Duties/ Select Accomplishments:Ensured the productivity and professionalism of Investment Manager communication;, serving as the primary liaison between various internal stakeholders.Managed inquiry research, problem resolution and response time for time-sensitive queries and action items.Monitored, tracked, and resolved failed DTC, FED, and other ad hoc settlement discrepancies with urgency and detailed accountability.REFERENCES FURNISHED UPON REQUEST Monitor, track, and resolve failed DTC, FED, and other ad hoc settlement discrepancies with urgency and detailed accountability. |
