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Candidate's Name - BAKER(Cell) PHONE NUMBER AVAILABLE EMAIL AVAILABLEOBJECTIVE:Seeking a position in Compliance where my extensive experience will be further developed and utilized.HighlightsData collection and analysisEnhanced due diligence comprehensionName matching criteriaRisk assessment proceduresMS Office, Salesforce and excel proficiencyTransaction MonitoringThorough and accurateEffective communicatorPROFESSIONAL EXPERIENCEBank of Americas, NY 02/22-08/23KYC Analyst Support the assigned Business groups to respond to Regulatory/Audit inquiriesLiaison between our traders, clients & various brokers.Correlate with Business Bankers and Sales analyst on entities for Yearly Refresh.Respond to client inquiries in regards to updates on entities.Update clients KYC records to regulatory and internal standards.Validates CIP information through documents and non-documentary method.Liaison between our traders, clients & various brokers.DEUTSCHE BANK, NY 01/20-2/22KYC Analyst Lead the KYC life cycle (SPV) Special Purpose Vehicle.Incorporate compliance guidelines into account monitoring activities.EDD on all high risk entities; researching any negative news information.Respond to client inquiries in regards to updates on entities.Perform other related duties as assigned by the Team Lead and BSA Manager.Work with Hedge Fund, Mutual Fund, Institutional Accounts, Commercial Banks and Corporations.Sterling National Bank, Yonkers 06/19-12/19Wire Transfer SpecialistAccurately process outgoing and incoming international and domestic wires through our internal wire system and ensure the accurate and timely upload through SWIFT and Fedline.Provide exceptional customer service and ensure that clients are served promptly, courteously, efficiently and professionally.Understand and comply with bank policy, laws, regulations, and the bank's BSA/AML Program, as applicable to your job duties. This includes but is not limited to; complete compliance training and adherence to internal procedures and controls; report any known violations of compliance policy, laws, or regulations and report any suspicious customer and/or account activity.PPV Ventures LTD. Long Island 02/19-05/19Due Diligence SpecialistAssist the Compliance and Due Diligence Analysts with transaction monitoring to identify fraudulent transactions and identify suspicious customer behavior.Know Your Customer (KYC) information, any relevant account and transaction data and all required information which would assist in an investigation.Gather & audit documentation for regulatory request and other audits when needed.Conduct due diligence research and assist with reporting.Obtain, prepare and analyze compliance KPIs.Stay abreast of and analyze compliance trends of money laundering patterns, BSA and PATRIOT Act and financial crime activity.Read and analyze internal reports and trends.Review existing Compliance and Due Diligence policies and procedures to identify gaps.Assist with internal risk assessments and investigations.Assist with compliance projects such as auditing and monitoring account activity, conducting data analysis and conducting follow up as needed.Run reports to monitor money transfers and foreign transactions.Maintain strict ethical, legal adherence and confidentiality at all timesAssist with Due Diligence projects such as MSB and account activity.Liaise with clients via email or telephone.CITI, LIC New York 02/18-02/19Relationship MangerDevelop and manage client relationships through digital channels for Commercial Bank clients that are in alignment with the overall business strategy to achieve desired revenue, cross-sell, and satisfaction metrics.Responsible for performing KYC processing of New Account, Periodical Review, Activity Review in a timely manner.Ensure transactions are completed within audit and compliance standards as well as timely.Coordinate account opening and maintenance for all products and reporting including address changes, telephone number updates, account status changes, rates and fee waivers.Master referral opportunities to grow your portfolio. Proactively source, acquire and expand high value customer relationships by maximizing sale and service opportunities.Administer 350+ high net worth clients information using both Salesforce and NETX360Partner with KYC analysts to ensure that clients information meets KYC standards.Partner with the Financial Advisors to help enhance business development, client relationships, prospecting opportunities, and overall success.Process wire and ACH requests for clients.Involvement with the AML/KYC process for all new clients.DEUTSCHE BANK, NY 08/17-12/17KYC Analyst Lead the New Client Adoption (NCA) and Periodic Review (PR) process for MNC500 Corporations and Subsidiaries of foreign domiciled corporations.Responsible for obtaining KYC documents and liaising with internal stakeholders.EDD on all high risk entities; researching any negative news information.Adapt to a changing environment and be able to implement KYC policy changes in their day-to-day work.Perform other related duties as assigned by the Team Lead and BSA Manager.Work with Hedge Fund, Mutual Fund, Institutional Accounts, Commercial Banks and Corporations. Verify data for clients/counterparties in accordance w/the U.S.A Patriot Act regulations.Santander Bank, New York, NY 04/17-07/17KYC / AML AnalystExamination of databases, internal documents and transaction monitoring software alerts to resolve due diligence investigations.Documentation and reporting of investigation findings; preparation of case files with required supporting documentation.Drafting and filing of SARs; recommendation of relationship retention or termination as required.Review documentation received for new customers and ensure accuracy from a FATCA perspective.Identify situations that could arise which indicate U.S indicia or inconsistencies between the KYC documents received and the W-8 form Identify situations that could arise which indicate U.S indicia or inconsistencies between the KYC documents received and the W-8 form review of new account documentation and customer payments (KYC / CIP / CTR).Review documentation received for new customers and ensure accuracy from a FATCA perspectiveIdentify situations that could arise which indicate U.S indicia or inconsistencies between the KYC documents received and the W-8 form.Update clients KYC records to regulatory and internal standards.Validates CIP information through documents and non-documentary method.Perform other related duties as assigned by the Team Lead and BSA Manager.JPMCHASE, BROOKLYN, NYClient Account Analyst01/16-01/17Review new client onboarding documentation and complete a QCC for all new accounts.Documentation collection and validation of core KYC requirements.Daily review of high risk products, Remote Deposit Capture (RDC).Daily review of ACH Origination and ACH transfers. Verify data for clients/counterparties in accordance w/the U.S.A Patriot Act regulations.Communicate necessary revisions to client onboarding documentation to business unit partners and ensure the revisions are made in a timely manner.Performing due diligence on client KYC profilesResearch and validation of entity data using appropriate internal and external sources.Maintain a high degree of knowledge of appropriate BSA and OFAC laws and regulations.Update clients KYC records to regulatory and internal standards.Validates CIP information through documents and non-documentary method.Execute USA Patriot Act; certification for all Foreign Banks, MIFIDMonitoring ISDA terms for risk management purposes.FLUSHING BANK, Uniondale NYTransaction Monitoring Analyst6//15-12/15Presently conducting account reviews, reviewing documentation, financial profiles.Identify 25K check review for returned checks and ACH payments (for both bank & brokerage clients), identity counterfeit/altered checks.ACH return reports-for ACH deposits that have been returned by other institutions, review account history to identify possible fraudulent activity.View high risk customers engaged in ACH and third party processor (Paypal) transactions.Tracing financial transactions and making appropriate referrals when necessary.Focus on identification of suspicious patterns in personal and business account.CITIGROUP, NYAML Control Analyst12/12-03/15Review new KYC processes and documentation as requiredUnderstanding the 314(A) and the 314(B)Responsible for filing SARs and recommend relationship retention or termination, and track account closures as required.Perform SAR maintenance and quality assessmentsProcess request for new cases and accounts within the necessary internal systems (bank & Brokerage customers)BSA/AML transactions monitoring and reportingPerformed on going monitoring of Correspondent Banking transactions activity, conductedInvestigations on suspicious transactions activity, and escalated to managements reviewExperienced in Fed Wire, SWIFT, CHIPS and ACH payment transactionDEUTSCHE BANK, NY 7/05-9/11Client Account Management Associate, Global OperationReview new KYC processes and documentation as requiredPerform background checks for institutions and controlling persons using the following search engines(ex. OFAC, RDC, PCR, Bankers Almanac)Review Hedge Fund Accounts for Enhanced Due DiligencePerform Section 312 Enhanced Due Diligence on high risk accountsProcess request for new parties and accounts within the necessary internal systemsTrack daily reports for cash collateral accountsSet up new accounts for both Fixed Income & Equity Intl deskSet up cash collateral in Deutsche Bank database for historical accounts.Resolve any issues relating to Clients that are supported by Sales Marketers.Verify data for clients/counterparties in accordance w/the U.S.A Patriot Act regulations.Ensure all trading relationships are compliant w/AML procedures.Liaise between Clients, Sales, Operations Credit, Legal, BusinessWASHINGTON MUTUAL, GARDEN CITY, NY 8/04 7/05Loan Processor, Processing Sub Prime-Residential Loans.Set up Good Faith Estimates & make sure ratios matches LASRate Locking from 40 to 50 rate locks per week for residential inquiriesBoard and review residential loan informationDeposit and verify applications fees, submitting & reviewing credit reportsVerify Employment of prospective clientsCreate and input information on an appraisal logINSTINET CLEARING SERVICES NY, NY 7/96  8/04New Accounts Associate & Collection AdminLiaison between our traders, clients & various brokers.Data analyst for Automated Consumer Verification to credit bureaus.Heavy Volume of Customer ServiceEnsure business appropriate turnaround times on KYC/AML approvals.Organized and updated permanent files.Set up terminals on Dynacomm.Set up Institutional accounts, foreign, domestic & prime broker accounts.Fax failed confirms to clients.WATERHOUSE SECURITIES NY 7/93-8/96Money Market Securities ClerkProvided daily processing and input of all money market trades and generate confirmations and tracers on HitachiInterbank system (IBOS) terminals.Responsible for the interface between MDSS and IBOS, Fed wire payments utilizing the MFIP system as well as makeChips/Swift payment for foreign currency trades; transactions confirmed by mail, fax and telephone.Processed Bankers Acceptance Certificates of Deposit and accommodation drafts.Prepared monthly broker bills; registered customer corrections and handled reconciliation reports.EDUCATION: B.A. Business Administration Metropolitan College of New York, NY, NY April 2013Master of Media Management (MBA), August 2017Studied abroad in GermanySKILLS: MS Windows, MS Outlook, MS Word, MS Access, MS PowerPoint, WordPerfect,ADP System, DTC, SID Database, Bloomberg (ILX), Deutsche Bank databaseNAOP9.7 account opening, Lexis-Nexis, Actimize, SARS, Quick Screens, Onesource, Netx360, NetxPro, World check, Sharepoint, Salesforce