| | | 20,000+ Fresh Resumes Monthly | |
|
|
| |
Click here or scroll down to respond to this candidateCandidate's Name
Lake Helen, FL Street Address
PHONE NUMBER AVAILABLEEMAIL AVAILABLEProfessional ExperienceDec 2021 July 2023. Promontory, a Business Unit of IBM (Contracted through Aston Carter) (Remote)Mar 2023 July 2023. Morgan Stanley projectEDD CheckerResponsible for reviewing EDD Maker Analysts files to ensure risk-relevant activities related to AML, Bank Secrecy Act (BSA), money laundering and reputational risk matters are identified through the execution of the Firm's EDD protocols for both new and existing High and High+ customers.Actively identify, measure, control and remediate AML and reputational risk issues with partners in Global Financial Crimes, Compliance and the Business Units.Perform processes in accordance with internal policies, develop and monitor periodic AML reporting to senior stakeholders, and make recommendations to improve procedures governing AML-related activitiesActive pipeline management and engagement with Team Leads and Complex Management.Collaborate with Global Financial Crimes to ensure the BSA/AML program operates effectively and continues to comply with regulatory requirements and expectationsPartner with the Business Units, including U.S. Banks, E*TRADE, International Wealth Management, Field Strategic Services, and WM Risk, to ensure appropriate adherence to BSA/AML requirements and Business Unit Risk Tolerance.Dec 2022 - Feb 2023. KeyBank projectEDD Quality Control Analyst, Quality Assurance SpecialistContracted as QC Analyst to confirm the decisioning of complex AML Investigations, ensuring procedures were followed, accuracy of case in verifying/validating customer information and transaction activity via internal and external systems, documenting feedback and escalating to management when necessary. Partnering with Lines of Business (LOB) to clarify any risk factors and/or to resolve supporting documentation matters. Experience with working cases for PICs, PIVs, Trusts and 3TP.Dec 2021 Sept 2022. Coinbase Inc. projectEDD Quality Control Analyst, Quality Assurance Specialist, Transaction Monitoring SpecialistContracted as QC Analyst to conduct Enhanced Due Diligence Quality Control for Transaction Monitoring System (TMS) alerts for crypto currency transactions at Coinbase Inc.Conducted EDD Quality Control alert reviews for a team of over 10 analysts per day.Assisted in training for blockchain analysis for more than 100 U.S. and International contracted analysts working for Coinbase Inc.Assisted with training on TMS Alert reviews to ensure quality work was performed for more than 100 U.S. and International contracted analysts working for Coinbase Inc.Conducted an average of 20 TMS alerts per day for a backlog of alerted crypto transactionsQuality Assurance for escalations and SAR filing preparation.Produced various products and guides to assist with ensuring the quality of work was maintained across all TMS alert types from Alert Triage, Escalation Alerts and U.S. SAR Filings.Point of Contact to answer questions on policy, provide guidance, best practices and assist with technical writing.Responsible for ensuring that analyst narratives were conducted in line with the client's alert typologies, policies and procedures, with all applicable Blockchain analysis, as well as ensuring that they are written to a high technical standard.Collaborated with Team Leads and upper management in the creation and fine tuning of audit standards, remediation tracking and providing ad hoc one-on-one training/coaching sessions to contracted analysts.July 2015 Nov 2021. Axiom Bank, Maitland, FL.Payment Solutions BSA/AML Specialist II (May 2019)Assist BSA Officer in day-to day activities and projects as requested.Conduct onboarding Due Diligence and ongoing Annual Due Diligence of third-party Prepaid Card Program relationships to ensure compliance requirements are met regarding the BSA/AML aspects of the banks overall third-party risk management program. Complete Risk Assessment within same timeline. Utilize LexisNexis and other programs necessary for Due Diligence process.Alert Quality Control Dispositioning of Transaction Monitoring within the Payment Solutions BSA/AML Compliance Department and BIN Sponsorship Program (Retail and CBD related merchants). Ensure proper alert disposition criteria is met. Exceptions noted and addressed.Prepare case files with completed suspicious activity investigation results including recommendation of SAR/No-SAR filing to the BSA Officer for review and SAR filing determination. File SAR within regulatory guidelines.Research and prepare documents for law enforcement requests, regulatory requests and Consumer Complaints submitted through regulator or Consumer Financial Protection Bureau (CFPB).Assist with the development and maintenance of all department related policies, procedures, forms and other related documents.Assist with implementation of new products, alert definitions and investigation tools.Assist with ensuring changes in regulations or laws related to BSA, AML, USA Patriot Act andOFAC are conveyed to appropriate employees. Coordinate with the BSA Officer to provide departmental training.Conduct BSA and compliance related testing to include OFAC Name Match, Ongoing OFAC System Testing, CIP & Fee Testing and Alert Quality Control Dispositioning. Prepare board level report and present findings at Quarterly Compliance Committee meeting.Assist with audits and examinations with respect to demonstrating effective oversight.Develop written policies and procedures to ensure the Bank, its processors Program Managers and Agents comply with Bank policies as well as Federal, State, network rules and regulations.Resource for other staff and back-up during absences.Payment Solutions BSA/AML SpecialistAnalyze sensitive information for prepaid card accounts customer and employee activity potentially linked to fraud, money laundering, identity theft, terrorist financing and other high profile financial crime activity using various methodologies for researching, analyzing and mitigating compliance risks, such as high-risk customers, identity inconsistencies and transactions meeting thresholds.Monitor and perform risk analysis on high-risk accounts and employee accounts, including knowledge of Customer Due Diligence (CDD)/Know Your Customer (KYC) and Enhanced Due Diligence (EDD).Research and prepare documents for law enforcement requests, regulatory requests and Consumer Complaints submitted through regulator or Consumer Financial Protection Bureau (CFPB).Prepare case files with completed suspicious activity investigation results including recommendation of SAR/No-SAR filing to the BSA Officer for review and SAR filing determination. File SAR within regulatory guidelines.Assist Payment Solutions Manager with onboarding Due Diligence and ongoing Annual Due Diligence of third-party Prepaid Card Program relationships to ensure compliance requirements are met regarding the BSA/AML aspects of the banks overall third-party risk management program. Utilize LexisNexis and other programs necessary for Due Diligence process.Assist with the development and maintenance of all department related policies, procedures, forms and other related documents.Assist with audits and examinations with respect to demonstrating effective oversight.Resource for other staff and back-up during absences.Aug 2014 Apr 2015. Enterprise Holdings, Orlando, FL.Sr. Customer Service AssistanceExperienced with customer service at counter, garage & exit booth.Focused on 100% customer service satisfaction to meet monthly goals for ESQI, individual andteam sales goals. Member of a winning team for a few months strong.Ability to adapt to schedule changes, new processes and procedures in an ever changingenvironment.Apr 2014 July 2014. SunTrust, Orlando, FL.Fraud Prevention & Claims Customer Service Rep.Respond to customers verbal and/or written inquiries pertaining to fraud transactions on theirdebit cards and bank accounts. Record in depth details in monitoring system.Resolve complicated customer complaints, coordinate and expedite customer inquiries toother departments for resolution.Nov 2006 July 2012. Community Southern Bank, Lakeland, FL.Operations Manager/Bank Secrecy Act Officer (Apr 2008)Developing, implementing and administering all aspects of the BSA Compliance Program.Performs duties related to BSA/AML/OFAC; conducts various quality control reviews and monitoring in the area of BSA/AML/OFAC and CIP compliance using industry standard and regulatory guidance sampling methods to ensure the Banks compliance efforts are maintained on a daily basis.Monitor and perform risk analysis on high-risk accounts and employee accounts, including knowledge of Customer Due Diligence (CDD)/Know Your Customer (KYC) and Enhanced Due Diligence (EDD).Research and prepare documents for law enforcement and regulatory requests.Prepare case files with completed suspicious activity investigation results including recommendation of SAR/No-SAR filing to the CEO/CFO for review. File SAR within regulatory guidelines.Providing leadership, training and supervision within the department.Assistant Branch ManagerResponsible for the overall Branch Management of this newly opened bank in Lakeland.Structured and performed Monthly Branch Meetings for staff of 10 employees.Follow through on employees utilizing systems efficiently and effectively.Conduct monthly branch audits to ensure teller line in compliance with reporting for Currency Transaction Reports (CTR), Monetary Instrument Logs (MIL) and other related logs for teller activity.Open new accounts and assist customers with servicing existing accounts. Working knowledge of Know Your Customer (KYC), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD).Manage assigned tasks related to daily reports NSF, Chargebacks, Large Dollar Transactions and EFT Disputes.Apr 2006 Nov 2006. SunTrust Bank, Orlando, FL.Portfolio AssistantProvide administrative support to the Portfolio Specialist in the Business Banking department.Administrative to clerical duties to complex project work.Collecting and analyzing data, researching, maintaining records and communicating with clientsand bank employees.Jan 2003 Mar 2006. Florida Choice Bank, Mt. Dora, FL.Assistant Branch Manager (Aug 2004)Extensive knowledge in Consumer Loans. Knowledge of Mortgages, Re-finances and HELOCS.Overall Branch Operations including the Teller Line and Personal Bankers. Provide motivation,coaching and corrective action to my staff.Compiling and completing information for Monthly Branch Audit, as well as preparing anddiscussing Quarterly Goals & Objectives with employees and overall Branch Management.Maintained cleanliness and maintenance issues of the branch. Attended all mandatorycompliance meetings for regulation purposes as well as personal growth.Lead Personal BankerProcessing daily NSF reports, updating End of Month reports for PB incentive, Branch Sales andTracking and Charge-off accounts, ensuring operational and office supplies on hand.Promoted, sold and delivered a full range of banking products and services to acquire newcustomers. Open new accounts and assist customers with servicing existing accounts. Working knowledge of Know Your Customer (KYC), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD). The ability to cross sell allowed me to meet and exceed monthly sales goals, while maintaining a high level of customer satisfaction.Teller float as needed.Exceeded expectations with prompt and courteous customer service.Sept 2001 Nov 2002. Marketplace Bank, Mt. Dora, FL.Customer AssociateDirect contact with customers in a proactive sales capacity.Promote, sell and deliver a full range of banking products and services to acquire newcustomers. Interact with established customers, exemplifying a high level of customer service.The ability to handle and overcome client objections allowed me to direct and coordinate thedevelopment of short and long-term sales goals, thereby meeting the expected sales targets.EducationMt. Dora High School Aug 1985 May 1989CertificationsCBO1 Certified Bank Secrecy OfficerBSA Officer - Certified Bank Secrecy Act OfficerBankers Toolbox Boot Camp CertificationFlorida Bankers Association Annual BSA Officer CertificationFBA Branch Manager's Certification ProgramSkillsTyping 55+ WPMData Entry 7500+ KSPHMicrosoft Office Suite ProficiencyCall Center experienceInterpersonalAttention to detailAnalyticalCritical thinkingOrganizational skillsAdaptabilityTime managementCommunication |
