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Click here or scroll down to respond to this candidate Candidate's Name III
Street Address PHONE NUMBER AVAILABLE
EMAIL AVAILABLE
https://LINKEDIN LINK AVAILABLE
Objective: Detail-oriented and motivated KYC professional with over 15 years of experience in financial
services. Seeking to leverage expertise in regulatory compliance, risk assessment, and due
diligence to contribute effectively to a dynamic financial institution. Proven track record of
conducting thorough KYC reviews, ensuring compliance with AML regulations, and implementing
robust risk management strategies. Dedicated to maintaining high standards of integrity and
accuracy in client onboarding processes.
Licenses: FINRA Series SIE & 7 (Series 55 & 63 expired)
Certifications: Anti-Money Laundering Supervisors (360 Training)
Skills: Problem Solving, AML Procedures, Risk Assessment, Leadership, & Communication
Technical Skills: OATS, OASYS, Thompson Reuters, NetX360, Lexis, MS Word, Excel & PowerPoint
9/17-3/24 JP Morgan Chase, Vice President/KYC Relationship Manager Brooklyn, NY
2/16-9/17 Veterans Sourcing Group (Consultant with JPM)
Progressed from Consultant to Vice President, demonstrating leadership and commitment
Established and guided top-tier KYC verification and Enhance Due Diligence records
Streamline RFI review processes, resulting in reduction in response time & improved efficiency
Complied documentation pertaining to multiple jurisdictions & funds for institutional clients
Conducted comprehensive KYC periodic reviews for high-profile clients including EDD
Interacted directly with clients, enhancing relationships and improving customer experience
Collaborated with sales teams to ensure accurate documentation & booking confirmations
Developed strong relationships with On-boarding, Sales, Operations and Compliance teams
Examined client information, including ISDA s, financial statements & document collection
Completed account due diligence including verification of checks & wire transfers
Documented EDD review findings to ensure compliance and manage risk controls
Researched and completed screening templates for PEP s, Negative News, & OFAC issues
Ensured compliance with CIP, AML Requirements, CDD, FINCEN, and UBO ownership
Performed due diligence searches across third-party including SEC, FINRA, NFA, and FCA
Interpreting the Bank Secrecy Act & USA PATRIOT Act to identify AML & regulatory gaps
Resolved discrepancies and supported team members with inquires and escalations.
Successfully met SLA for KYC Remediation, Renewals and internal control records
Problem solved KYC requirements within our team and other departments
Assisted Quality Control & Quality Assurance in completing KYC records
Facilitated weekly meetings between KYC team and Q/A teams, enhancing relationships
Led team on Cayman Island funds project to meet regulatory deadline
Managed team workload and priorities effectively
Facilitated interviews to expand the team and developed talent through training.
Participated in weekly advisory calls on new policies and procedures
Optimized KYC processes, improving efficiency and reducing client outreach
Communicated deficiencies in procedures and projects to senior management
Contributed to senior management meetings on policy interpretation.
7/16-12/16 Primerica, (Consultant) Queens, NY
Assisting clients / Review new account documentation
Attend weekly meetings
2007-2014 Deutsche Bank, New York, NY
Trade Support/Operations Specialist
Conducted trade reconciliation for equity and fixed income trades
Provided trade support including Input, breaks, capture, allocations, reporting & confirmations
Investigated client inquiries regarding trades & accounts
Resolving DTC Settlements, failed trades and trade breaks
Reviewed trade lifecycles, investigating discrepancies & analyzed trading P&L
Managed cash requirements and margin calls
Provided back office support including new account paperwork, ACATS & cancel re-bills
Collaborated with Sales Desk to obtain FX confirmations & complete information
Ensured accurate portfolio positions and reviewed account procedures
Monitored short sales, borrowed stock and reviewed reports
Supported 50-75 traders daily with security research, processing and reconciliations
Proficient in Trace, TradeWeb, Oats, Omgeo/Oasys and XOMS
Prepared DDQs for low-priced stocks including BB & Pink Sheets
Conducted daily review of custody and check blotter
Collaborated with compliance, traders, brokers, middle office & clients
Participated in special compliance projects such as FINRA 2111, KYC, RDC ALERTS
Prepared daily compliance reports & monitored in-house error & suspense accounts
Assisted with compliance during regulatory and internal audits
Supported IT testing, training, and new projects
Education: SUNY FARMINGDALE, Farmingdale, NY
Major: Business Management
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