| | | 20,000+ Fresh Resumes Monthly | |
|
|
| |
Click here or scroll down to respond to this candidate Candidate's Name , CAMSStreet Address
EMAIL AVAILABLE PHONE NUMBER AVAILABLE____________________________________________________________________________________________A compliance professional with fifteen years of experience in the financial services arena in regulatory compliance, (KYC/AML/OFAC) consulting, delivering business process re-alignment and practical solutions to complex compliance, financial and operational problems, implementing Firm-wide anti-AML program. I offer expertise in implementation and audit of compliance and regulatory policies and procedures, coordination, testing and Quality Control of programs. I have exceptional project and people management skills and bring to the table well-honed written and oral communication, organization and problem resolution skills with a collaborative and team building approach.
CitiBankVice President: Global AML Program Management Office at Citi, Jersey City, NJ 10/2016 to 10/2018 The Global Anti-Money Laundering (GAML) Program Management Office (PMO) was responsible for the oversight and reporting of AML programs managed by the Institutional and Consumer Businesses, Compliance, Operations, and Technology.
Reviewed and audited projects status, prepared reports on these programs to senior management, the Citigroup Board of Directors, the Regulators, the Federal Reserve and OCC. Prepared responses to questions from the regulators in a timely manner.
Provided support to project managers in terms of planning, execution, tracking, communications, and issue escalations. Leveraged a solid understanding of standard project management disciplines in order to guide and facilitate the successful implementation and audit of AML programs. Responsible for all reporting to the Regulators on projects (25) for the Consent Order.
Key Responsibilities: AML Program Audit and Management Reporting Project Management & Communication with Regulators Cross-Functional Relationship Building
HSBC COMPLIANCEAML Investigations Officer, High Risk Monitoring, New York, NY 07/2012 to 10/2016This role is responsible for researching detailed information and writing case studies to determine if there is evidence of money laundering activity and OFAC Sanction violations based on the Global AML Compliance Office policies and procedures. Analyzed, evaluated activity and customer relationships based on established protocol, continually enhancing compliance process. Supported business lines by ensuring a risk-based program designed to evaluate the effectiveness of internal controls for KYC and OFAC. Audited internal processes to ensure compliance with Global Standards. Provided support on complex issues relating to escalation. Performed customer vetting on high risk customers. Analyzed negative news and politically exposed persons ( PEP ). Managed AML-related metrics reporting. Ensured high quality and consistent execution of AML Compliance practices across LOB. Analyzed and reported results to identify specific compliance gaps and risk to determine if there is evidence of money laundering or terrorist financing or OFAC violations in correspondent accounts. Trained staffHSBC/MMI Agency
Compliance Consultant, AML Investigations Officer, New York, NY 08/2011 to 07/2012This role was responsible for providing project management and support for AML Compliance Group within Reporting & Analysis Unit (RAU) | Specialized AML Services (SAS)~ AML Compliance, HSBC Technology Services (HTSU) - Financial Intelligence Unit (FIU) Analyzed investigations and case summaries on suspicious customer activity, filed SARs with FINCEN. Provided operational support, QA reviews to investigative units within the compliance group. Performed enhanced due diligence on high risk customers, researching negative news. Evaluated, monitored suspicious activity, creating daily, weekly, monthly QA reports and analysis on OFAC sanction violation statistics for senior management. Revised. implemented policies and procedures for continuous improvement. Reviewed Customer Information Data Files from all banking areas for suspected terrorism or money laundering or other financial crimes.
FARMHOUSE
Compliance Consultant, Business Analyst, New York, NY 10/2009 to 03/2011The role was responsible for investigating the requirements for an agribusiness to become an all-natural company, for developing and implementing the plan. Researched, documented, updated and audited QA and compliance policies and procedures for operations, manufacturing, sourcing and distribution of their products. Performed gap analysis making recommendations to improve efficiencies monitored compliance with Federal Regulations, ( USDA, FDA,IGBC, EPA,) .DAYLIGHT FORENSIC & ADVISORY, LLC 04/2007 to 08/2009Manager, Project Management/Compliance, New York, NYThis international regulatory consulting and investigative firm was engaged by clients, including major international retail and investment banks, brokerage firms, insurance companies, government agencies, software companies and law firms. Successfully executed projects, including:
Provided subject matter expertise in Compliance and QA Testing and Audit for OFAC Compliance, Anti Money Laundering, KYC, On-boarding & Remediation, and PEP filtering.
Developed and Implemented procedures for KYC,OFAC and Anti-Money Laundering Compliance and Quality Control
Recommend enhancements to KYC/AML procedures and remediation project with international bank Executed Due Diligence for Federal Reserve for TARP money Performed Annual Audit of compliance with FATF 40 Regulations for large international bank Engage in Long-term Transaction Look-backs and audit of financial records for large international banks Liaised with technology team in helping to design business requirements for software enhancements, data normalization, and risk assessment development.
Conducted investigations, wrote case summaries on suspicious customer activity related to money laundering and terrorist financing, filed SARs with the U.S. Treasury Department, and responded to requests from law enforcement working with federal agencies.JP MORGAN CHASE/Asset Management 08/2005 to 10/2006Vice President, Compliance/Senior Business Analyst, New York, NYResponsible for review and assessment of Compliance Program for all JP Morgan Mutual Funds, ensuring that Funds, Fund Advisors, Broker Dealers and transactions met all regulatory requirements. Researched, documented, analyzed and wrote compliance policies, procedures and workflows for bond, balanced, fixed income, money market, Fund of Funds, alternate investments.
Recommended short and long-term resolutions to streamline and enhance compliance systems, processes and procedures after the merger of Chase and Bank One. Analyzed test results of internal compliance review for various compliance systems reflecting applicable SEC, 1940 s Act, OFAC, AML/BSA, KYC and Prospectus regulations. Worked with many federal agencies: FDIC, FREDDI MAC, FANNIE MAE, OCC, and SEC. Liaised with Legal to prepare business process documents and key operating procedures to implement streamlined practices.Vice President/Senior Business Analyst/New Product Compliance, CIGBusiness Process Engineering/Customer Solutions & Information Management
Responsible for facilitating the implementation of new product roll outs being a liaison between marketing and IT. Monitored regulatory and legal issues for development of financial new products, including first mortgages and credit cards for bank customers; Consumer Privacy issues; reviewed disclosures and marketing materials including website reviews. Identified issues in new product roll out (CIP) to all retail and credit card bank customers. Senior Management delayed the launch until all of the issues were re-tested and resolved, saving money and corporate reputation and preventing potential identity theft on a customer identity protection program. Managed the project lifecycle including requirements definition, business analysis, design, implementation, testing, training and deployment. Effectively interfaced with IT, Legal, Marketing, Compliance, Quality Control, Vendors, Senior Management and Federal Regulatory Agencies.
Education and Professional DevelopmentEDUCATION: Dominican Academy HS, NY B.A., Boston University
Other Training: Certified Anti Money Laundering Specialist (CAMS) New England School of Finance Project Management Life Cycle NASD Series 6 and Series 63 (Expired) Teacher CertificationTECHNOLOGIES: MS Windows, EXCEL, WORD, PowerPoint, Outlook, Visio, Lexis-Nexis, Factiva, World Check, WAR, SCION, NORKOM, RDC, ORBIS, and other major Citi databases. |
