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Click here or scroll down to respond to this candidateCandidate's Name
EMAIL AVAILABLESenior AML Business Analyst / Risk Analyst / QC Fraud Analyst/ Data Masking /Data Privacy / Financial Crimes investigations CAMS/ACAMS CertifiedLINKEDIN LINK AVAILABLEPROFESSIONAL SUMMARYTrained and created Training material for AML investigators, auditors, employees regarding AML policies and red flags, suspicious actively, BSA, KYC, AML reviews and Audit, Financial crimes such as fraud, Travel Rule, Identity theft, payment investigations and prevention thereof, smuggling, kiting, gift cards, writing and reviewing SARS, Sanctions, Testing, Risk Mgmt., Transaction reviews, PEPs, sending and receiving wires including ACH, Fedwires and Swift wires plus testing for understanding AML issues such as the pillars of Money Laundering. Documented and reported case reviews / investigation, subpoenas; determined if any client issues required further remediation or if client activies required restrictions or other actions. Supervised and reviewed work of twelve subordinates regarding AML material noted above, made recommendations for improvement and provided training where required for complete AML understanding involving test cases. Responded to request by regulators.Conducted research over available systems, Created improvements to Quality Assurance Programs by eliminating redundancy and improving systems for required input.Worked with systems such as the Internet and Databases, File Ziller, Excel, Tinzip, Lexis Nexis, World Check, Actimize, mantas consistent with the resolution of investigations.Worked in conjunction with consumer data and Domain stakeholders to support data quality rules, standards, and thresholds to ensure appropriate data quality-monitoring practices are in place.Actively tracking regulatory changes and anticipating the impact these changes would have on the Business.Over twenty years Financial industry experience. Under-graduate degree in Finance.Knowledge of AML/ATF legislation regulatory requirements, Sanctions, AML, Data Privacy, Data mining, Due Diligence, Anti-Bribery, and related projects. Served as subject matter expert.Created Suspicious Activity Reports (SARs); and recommended relationship retention or termination; and tracked account closures as required. Monitored financial and transactions of securities as well against client profile.Built a customer-focused culture to deepen client relationships and leveraged a broader range of relationships using improve methods and systems.QA reviews including completed projects and reports to senior management. Participated in the preparation of decks for presentatuions to management.Able to troubleshoot data related issues and support in the authorization of maintenance and modifications.Good communication / presentation skills (both oral and written). Weekly calls with staff, Red Flags, Fraud investigations & AML issues.PROFESSIONAL EXPERIENCEPhoenix Financial January 2024 to presentAML Auditor Reviewed AML polices with updates, conducted AML Audits and made recommendations to enhance compliance thereof. Investigated complaints, arbitrations, private placement due diligence and AML compliance therewith, account forms, training, reporting and mock audits. Conducted AML audits and investigations regarding issues and provided reports to management and the Board of Directors.Documented end-to-end processes, including securing all Key Controls, Performed quality assurance in regards to AML investigations, AML patterns and risk, Conducted various levels of training and AML research regarding AML violations and SAR reporting. Wrote SARS in accordance with the rules and Regs. Attention to detail and dedication to AML quality assurance.Morgan Stanley February 2023 to June 2023Business AnalystAML QC/Fraud Business Analyst InvestigatorMonitored and audited Fraud issues including elder abuse and identity theft.Review edit and approve SARs 314b and 314a filings, surveillance and fraud investigations.Reviewed Sanctions and conducted EDD reviews including onboarding client accounts and PEPs.Deutsche Bank September 2022 December 2022Business AnalystMonitored, Audited and Revised procedures for Front Office, Operations, Vendors and Wealth Manager.Data Controls and Strategy in preparing monthly outlooks, MCF Decks.Worked on Special Projects, Created new processes and workflows for operating purposes.Identified KYC information appropriate required to determine how client earned wealth, and source of funds,Develop a mitigation strategy & plan derived based on firm procedures and investigation processes,Used Lexis Nexis, Actimize, Remit Pro, RDC, Clear and World Check for data mining,Investigated PEP, and conducted EDD and CDD when necessary.Citibank Sept 2021 to May 2022Capital Planning/Governance Business AnalystMonitor, update and change, Data controls, strategy and manage a governance framework across the Capital Planning group. Oversight of deliverables, gaps, global end to end solutions, and Business analyst. Document methodologies for metrics in a clear and detailed manner.AML Analyst & Compliance Consulting, Dix Hills NY Nov 2018 to Sept 2021Recent Projects, conducted AML audits regarding client on boarding, AML Model validation and identifying data for reporting purposes, wires, proof of funds, physical address, PEPs, FINCEN, OFAC and SARS, 314b, etc.Phoenix Financial Dec 2019 to April 2021AML Business Analyst/Compliance Consulting (Contract)Developed and updated procedures worked on various projects outlining guidelines for supervision and AML governance. Investigated Fraud, Filed SARS and liaison between Govt agencies and business units.Reviewed AML polices with updates, conducted AML Audits and made recommendations to enhance compliance thereof. Investigated complaints, arbitrations, private placement due diligence and AML compliance therewith, account forms, training, reporting and mock audits. Conducted AML audits and investigations regarding issues and provided reports to management and the Board of Directors.Documented end-to-end processes, including securing all Key Controls, Performed quality assurance in regards to AML investigations, AML patterns and risk,Conducted various levels of training and AML research regarding AML violations and SAR reporting. Wrote SARS in accordance with the rules and Regs. Attention to detail and dedication to AML quality assurance. Reported many issues as a Sar in regard to red flags and activity regardless of activity.Established Service Level agreements with appropriate third parties.Established Data quality measurements and reportingEstablished Issue management processes, policies and proceduresRichard James and Associates, NY, NY Feb. 2016 - Oct. 2018AML Business Analyst Representative /CEO /Operation &Compliance OfficerAML compliance and reviews of client issues before opening accounts, on an ongoing basis. Identified accounts that required restrictions, or termination. Verified, source of funds, third party wires, physical address, EDD, CDD, FINCEN, 314b, SARS, investigations, subpoenas and made monthly reports to Mgmt.Hands on compliance and operations, reviewed content for firm risk and exposure. Determined if client was a risk or if any restrictions were required, made recommendations based on issues found.Revised compliance manuals, liaison to FINRA and the SEC regarding inquires, audits, investigations and test of current policies and systems.Detected AML patterns and risk, paid attention to detail and dedication to quality assurance reporting thereof; AML Model validation and identifying data for reporting purposes.Filed SARS & reporting for suspicious activity, never had an AML issue. Saved the firm from AML issues in regards to such events.Created business process workflows and Use Cases for a web-based merchant management application for on-boarding process on Java platform. Documented process and business flow diagrams using MS VISIO. Applied and followed Banks KYC (Know your Customer) for on-boarding process.Supervised a staff of twelve including supervisors and brokers. Conducted risk management by overseeing client performance and selected securities for investment, etc.Legend Securities, Inc., Melville, NY Mar. 2015 Sept. 2015AML Compliance/ Business ConsultantScrutinized, revised, and made recommendations regarding compliance structure. Ensured regulatory guidelines were met in relation to heightened supervision, emails, new accounts, activity letters, trading, commission, surveillance, system test and a variety of other components required to meet legal parameters.Assisted the AML Representative with KYC day to day activities. Investigated suspicious issues, reported SARS pursuant to rules and regs.Brookville Capital Partners, Uniondale, NY Dec. 2010 Apr. 2015AML Business Analyst Representative/ Chief Compliance DirectorSpearheaded compliance pertaining to retail and institutional transactional broker-dealer., tested system and procedures. Implemented new CE to encompass AML as well as company-wide compliance. Investigated client issues, 314b, SARS, investigations, subpoenas and determined any client restriction or remediation.Enhanced, replaced, or created procedures to comply with regulatory guidelines and strengthen longevity. Revised manuals and policies concerning AML, BCP, and WSP.AML quality assurance, Financial crimes/Identity theft/Fraud, prevented major issues concerning AML red flags and activity. Stopped certain activity concerning matters that could have become a serious AML problem for the firm. No AML violations during my tenure; reported SARS as necessary.Reviewed marketing and advertising material for new products to confirm they do not expose the firm to litigation and are within boundaries of legal guidelines regarding truth in advertising laws.Procedural Compliance: Reworked AML, BCP, and WSP manuals to align with respective policies, laws, according to regulatory guidelines and key stakeholder requirements. Established updated procedures for Prime Brokerage.System Initiations: Launched new systems to monitor transactions for retail, institutional, and options, along with material changes for the US and foreign accounts, including UK.John Thomas Financial, New York, NY Oct 2009 Sep 2010Assistant Compliance DirectorGuided analysis regarding compliance of supervisory structure entailing reviewed of AML function, complaints, investment banking, research, and Chinese wall. Examined sales within institutional and retail sectors, in addition to media contacts, policies, procedures, OFAC, FINCEN, Section 311, PEPs, and money flows, among others. Conducted branch audits, assessed ethics, and reviewed employee accounts.Vectorglobal WMG, Inc., Jersey City, NJ New York, NY Miami, FL July 2007 Oct 2009AML Analyst Representative/ Chief Compliance DirectorInstituted replacement procedures for AML, BCP, WSP, RIA, and the supervisory structure. Observed daily compliance of institutional and retail accounts within the US and Mexico.Performed daily AML reviews concerning KYC for on boarding clients.Financial Crimes, smuggling, identity theft, stolen certificates, forged documents.Responsible for AML review, OFAC, Third party wires, suspicious activity, Peps, bad actors, Prime Brokerage, etc.AML Expertise: Point-person for all aspects of daily KYC and compliance activities, including enhancements to existing KYC procedures. Investigated client findings and determined any restrictions if necessary. AML Model validation and identifying data for reporting purposes.Ehrenkrantz King Nussbaum, Garden City, NY July2005 July 2007Chief Compliance Director/ Business AnalystFormulated new CE to cover general as well as AML compliance and reviews of client issues before opening accounts, on an ongoing basis. Identified accounts that required restrictions or termination.Developed guidelines for investment banking comprising of compliance for IPO and private placements.Inspected conformity of client accounts in the US and UK to confirm WSP adherence of all business units.Trained personnel, conducted branch audits, ethics, and employee reviews.Critical Procedures: Engineered comprehensive procedures for Patriot Act, WSP and BCP, supervisory steps to protect data and financial integrity.Bream Murray & Company, Inc., New York, NY Feb 2003 July 2005BMI Capital (RIA)AML Business Analyst Representative/ Chief Compliance Director V.P.Ensured firm functioned in accordance with regulations governing investment banking, research, institutional sales, market development, proprietary trading, ex clearing trades, the Investment Advisors Act, KYC, 314b, SARS, investigations, subpoenas trading surveillance, options, control room, and NYSE floor activity guidelines.Reviewed firm training to detect noncompliance with front running and unauthorized trading.Managed analysis of branch audits, ethics, 144 stock, registered Securities, Unregistered Securities, Prime Brokerage and employee accounts.EDUCATIONBBA Degree, Finance, Pace University, NY, NY ACAMS Certified. FINRA SERIES 4, 7,14, 24, 79, 87, 99. |
