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Click here or scroll down to respond to this candidateCandidate's Name
Street Address Cell PHONE NUMBER AVAILABLE EMAIL AVAILABLEEXPERIENCECompliance skillsActimize, Mantas, KYC, CIP, EDD, RDC, Norkom, Worldcheck, LexisNexis, Factiva, Fircosoft, Dow Jones Risk.Margeaux LLC Financial Intelligence Unit Compliance Consultant 1/23 presentPerformed periodic client reviewsConducted Investigations based on risk profileMonitored various client transactionsCabrera Capital Markets, New York Institution Equities compliance 08/20-10/2022Approved institution account opening documentsConducted periodic reviews and assigned risk level based on jurisdictionBrown Brothers Harriman, New York, NY OFAC Sanctions & Risk Officer 08/19-7/20Conducted Level 1 and Level 2 review of sanctions screening for real time and post transactional review of hits in Fircosoft (automated sanctions screening system) for potential violations of Office of Foreign Asset Control (OFAC) and other governmental sanctions regimes, in accordance with defined procedures. Hits are generated from, but not limited to, sanctions screening of transactions, cash payments, trade instructions, corporate action messaging, and client-related names (i.e. beneficial owners and/or interested parties)Performing control reconciliation functions of daily reviews to ensure all hits are addressed/escalatedEnsuring that policies and procedures are adhered to on a daily basis and have this evidencedDeveloping an understanding of AML/OFAC requirements and implicationsEnclave Capital New York & SHS Securities Hong Kong Compliance Officer 10/13-07/19Reviewed Institutional accounts and examined all documents per customer Identification program (CIP)Applied Enhanced Due Diligence (EDD) on new and existing accountsPerformed OFAC searches as well as identified potential PEP and mitigated riskMonitored transactions on a daily basis to detect any potential red flags for terrorist financing/money launderingConducted on specific 314(a) & 314(b) searches per FinCEN requestIdentified potential red flags and ensured there were no false positivesParticipated in Annual AML training program and analyzed Case StudiesHSBC Bank, New York, NY High Risk Compliance Transaction Monitoring 08/12-09/13Performed name and account-based research on lists and reports provided through established resources to determine if evidence of money laundering activities existEvaluated transactions and customer relationships for money laundering activities, identified red flag issues and escalated within the AML framework for further investigationMaintained familiarity with appropriate investigation techniques to support AML activities, including research utilizing bank systems, intranet, internet and external vendor solutions, as appropriateEffectively communicated within the AML compliance organization and across other areas in HNAH, including conveying key information to both internal and external stakeholders, as appropriateProvided additional support with the AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions, as appropriateTo discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by proactively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulatorsCitigroup Global Markets, New York, NY Financial Crimes Investigations 08/11-07/12Performed extensive EDD on clients by documenting and corroborating the information obtained on the client as required, utilizing a variety of independent sourcesEnsured quality and completeness of KYC documentation for new and existing customers as well as the evaluation of AML risks posed by each customerAnalyzed client information, documentation and any negative news in order to assess potential risk to the firmCompiled clear and concise written recommendations to compliance management outlining any potential risks uncovered from prospective client reviewsConducted name searches, on an ad hoc basis, of standard due diligence work product and analysis, including review of public records, legal and news sources, for review by internal business, legal and compliance managementReviewed and cleared of KYC research alerts (PEPs and negative media) and potential escalationsExecuted and resolved investigations based on client onboarding, maintenance and transaction monitoring referralsPrepared case files for review and recommend relationship retention or termination, and tracked account closures, as requiredLiaised with team leads within region and across regions to facilitate knowledge sharingServed as point of contact on matters that impact an investigationRD International, Hong Kong - KYC/AML Analyst 02/10-04/11Investigated wire transactions to identify any suspicious activity of Wholesale/High Net-Worth clientsEffected further research via correspondence with financial institutions in high risk jurisdictionsManaged new and existing clients, both domestic and overseas, so as to ensure the viability of entitiesPerformed due diligence on trade finance transactions and researched and evaluated the parties involved for possible red flagsEnsured collection of all appropriate documentation as per the CIPCreated and validated client accounts on a specific scope of activityIdentified and resolved any issues in the client onboarding processDaiwa Capital Markets, New York, NY International Sales Trading 07/06-09/09Communicated fundamental research and generated ideas as well as took and processed orders for North American and European long hedge funds in addition to proprietary/basket desk clients.Performed various sales trading functions such as single stock, guaranteed VWAP, matching of flows and program trading in United States, Japan, Malaysia, Hong Kong, India, Singapore, Philippines, Australia, Indonesia, Taiwan, Korea, Australia, Brazil, Argentina and Mexico.Worked closely with institutional clients, sales traders and sales of local/overseas offices in identifying additional business opportunitiesSourced new clients and developed existing business relationships through trading and execution servicesMonitored trades to ensure efficient execution and compliance on a daily basis and performed various after-trade follow-up actionsDeutsche Bank, New York, NY Fraud Investigations / SAR writing 08/05-06/06Engaged in customer correspondent banking look back projectPerformed research and due diligence on customer alerts flagged from the transaction monitoring system to identify any suspicious activityRequested additional information if needed from relationship managers to complete the investigation and conclusion on alertsEscalated any suspicious activity to be drafted as a SAR and forwarded to Senior Management for review for possible further actionEnforced OFAC and SDN checks and performed QA, and assisted with audit on KYC issuesCredit Lyonnais Securities, New York, NY Asian Sales Trading 10/03-06/05Worked with 3 other traders in the execution of Pan Asian products for various North American Institutional clientsPrepared daily trade flows, execution strategies and various ordersVerbally confirmed salient economic details of overnight trading and research activities, including research upgrades/downgrades and long/short opportunities in different names and sectorsFielded client calls from London and executed ADR orders on NYSE and NASDAQ exchangesABN AMRO Securities, New York, NY Equities & Foreign Exchange 04/00-10/02Executed and compiled fundamental research and FX and equity orders for US clientsPerformed foreign exchange transactions across AsiaUBS Securities, Hong Kong Asian Equities Programme 07/97-07/99Performed activities for Operations and Sales and Trading departmentsPerformed client account opening activities, including documentation gathering and background and security checksEDUCATIONCity University of New York - B.B.A in Finance - (Cum Laude)LANGUAGES & LICENSES:Chinese, French and Hindi with working knowledge: SpanishFINRA Series 7, 63, 24 & 57 |
