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Click here or scroll down to respond to this candidateGolden Sun PHONE NUMBER AVAILABLE EMAIL AVAILABLEWORK EXPERIENCESocit Gnrale CIBUS Head Office, New York, NY 08/2019 Present Assistant Project Manager (C2C Contractor)Assisting the Project Manager to liaise with the senior management at the global bank client, collaborate with key stakeholders and areas of the company to ensure proper project delivery, and manage multiple consultants and contractors; Developing and maintaining key project initiatives to ensure that project management lifecycle has been applied to projects and documents are drafted, reviewed and approved in accordance with client rules and regulations, with the ability to work under pressure and manage tight deadlines or unexpected changes in expectations or requirementsWorking as the right-hand go-getter for the key stakeholder to ensure all project deliverables are in control, reported and presented in timely and constantly overseen manner; Working as the coordinator facilitating/reconciling across different teams/departments/vendors/resources/project streams/varied stakeholders with likeable personality, upbeat professionalism and patience; Using functional knowledge in securities and derivatives, and full-spectrum banking compliance expertise to support clients with initiatives and solutions to cope with dynamic compliance and regulatory requirementsFully exerting the ability to work independently, multi-task, learn quickly, be innovative, get done fast, ask for more work, take ownership of project or initiative, and constantly being asked to involve new projects requested by various stakeholdersWorking on regulatory change management projects across the firm including the KYC Transformation Initiative, performing KYC remediation of the banks customers accounts by drafting procedures, describing the process of remediating, and then executing the approach; Analyzing existing AML/KYC policies, guidelines and procedures and creating new AML/KYC policies, guidelines and procedures that are consistent with the US and Global Regulations; Identifying and implementing new regulatory rules; Enhancing and centralizing the bank's on- boarding policies, guidelines and proceduresExecuting key projects including: NAC Compensating Controls; BTEP Remediation Actions; Overhaul of KYC Exemptions Process, Automation of Exemptions Tracking Process; Rollout of Streamlined SGUS KYC Policies and Procedures Manual; Enhancement of Compliance Oversight Controls and KYC Advisory Procedures; PAC Remediation Project; QLL (QC) Backlog Remediation Project; GPS Controls (QA) Remediation Project; Compliance Advisory Backlog Facilitation Project Bank of CommunicationsNew York Branch, New York, NY 06/2016 08/2019 Senior OFAC/BSA Officer, AVPAssisting the Chief Compliance Officer and the BSA Officer in ensuring all regulatory recommendations/observations that are raised in periodic examinations are implemented and regularized in timely mannerWorking with IT department and vendor to fully implement end-to-end OFAC clearing system switching initiative from eGIFTS to Fircosoft; Choosing algorithms and rules according to NY branch's regulatory requirement and special needs; Firco system daily maintenance, testing and tuning; Maintaining black list and white list; Sanction update verification and documentationPerforming daily OFAC alert disposition for more than 200 transactions (multiple hits each) for all levels of review; Managing the OFAC team and performing the last-round review of escalated true match alerts; Sending OFAC inquiries to local sales/compliance unit; Maintaining OFAC query/response log; Conducting risk based review of trade finance transactions to monitor compliance with BSA/AML laws as per BSA/AML, OFAC and Anti-boycott ManualsConducting risk based review of customer account activity from AML perspective (transaction patterning/structuring etc) in comparison with expected activity; Sending AML inquiries to local sales/compliance unit; Maintaining AML investigation log; Initiating money laundering related investigations, and filing Suspicious Activity Report (SAR) if approved by AML CommitteeEvaluating, training and motivating branch and centralized processing staff to enhance their skills and knowledge of anti money laundering, compliance and regulatory matters; Documenting and recording details of trainings providedJPMorgan ChaseTSS AML Compliance, New York, NY 02/2013 06/2016 Senior AML Compliance OfficerCompleting enhanced due diligence on foreign correspondent banking clients and products in addition to large corporations, generating periodic transaction reviewAAR (Account Activity Report), making time-sensitive assessment when filing SARs to initiate further investigationsMaking analyses in AARs, archiving new findings versus existing risk rating and information, updating high-risk correspondent banking account and PEP (Politically Exposed Person) profiles, monitoring transactions and escalating any discrepancyConducting research and investigations in suspicious activities and transactional parties, interfacing with business counterparts to obtain information related to their clients' transaction activitiesAs part of the GFCC (Global Financial Crimes Compliance) team, working with internal groups including legal, audit, risk to ensure consistent understanding of regulatory concepts including BSA, OFAC sanctions, USA PATRIOT Act, OCC, and FCPACitigroupICG Compliance, Jersey City, NJ 01/2012 02/2013 AML Compliance OfficerImplementing and administering the MCA (Management Control Assessment) testing on every departmental functionality (PTR, TRP, Monitoring, Correspondent Banking, etc) on quarterly basis, to improve operational process, risk assessment and control, and regulatory compliance capabilitiesReviewing and updating policies and procedural documents for various departmental units like ICG, FIU, BSU, CTS, and CPWM, to stay concurrent with "Citi Global Operation Policy" and optimize inter-departmental cooperation and responsibilityProviding KYC and AML support, with understanding of BSA and OFAC requirements, in customer on-boarding & maintenance due diligence, CIP documentation, CADD renewals, PATRIOT Act Section 311 name screening, Section 314 (b) information sharing requests/inquiries and SARs review, periodic reviewing and screening of active TALF borrowersParticipating weekly supplemental training in BSA/AML/OFAC laws, requirements, procedures, updates, and industry software useMaxim Group LLC, New York, NY 06/2007 01/2012ESOP AdministratorCorporate ServicesResponsible for outsourcing ESOP (Employee Stock Options Plan) administration and execution services on the platform of OptionEaseWorked with compensation officers and plan administrators on all types of compensation awards like ISOs, NQs, RSUs, RSAs, including granting, approval, data implementation, and vesting schedulesProvided services to corporate customers in technical support, data transfer, and financial reportingAdvised employees to exercise vested options/stocks and helped insiders with Rule144 transactions as captive brokerCompliance AnalystCompliance and Internal ControlsMaintained client on-boarding consisting of KYC data implementation as well as review and quality assurance, weekly status communication to managementWorked in conjunction with brokerage AML team to reduce reputational risk for global transactions, and investment banking group through applicationsResponsible for data migration, essential in conducting periodic review of trade finance and corporate cash management clients, and also managed KYC extension tracker list monitored by compliance EDUCATIONMaster's Degree University of Massachusetts-Amherst Amherst, MA, USABachelor's Degree Harbin Teachers UniversityHarbin, Heilongjiang Province, ChinaCOMPUTER SKILLSMicrosoft Office, Bloomberg, ThompsonONE, Pershing NetX360, LexisNexis, World-Check, Orbis, CLEAR, Actimize, FircoSoft, Global Payments, CitiRisk, eCADD, Quickscreens, NESS (World-Check + OFAC listing), Customer Assist, Fortent, OneView, I-Vault, SONAR AML, HALO, FTMon, SKYC, eGifts, eGifts EDD, FIS, FIS Prime, AS400, Dow Jones Factiva, Documentum, Maestro, DDIQ ADDITIONAL QUALIFICATIONSUS CitizenCollege degree in China and graduate degree in US with scholarshipsSeries 7, 63, 65 registered (expired), clean CRD recordRespect, patience, communication, prioritization, and conflict managementQuick learning, team player, and the "rolling up sleeves and get it done" attitudeComprehensive background in compliance, risk, control, governance, operations, investment research, investment banking, investor relations, consulting, project management, trade finance, QC, QA, correspondent banking, compliance auditing, broker-dealer compliance, and full-spectrum banking compliance exposures to OFAC/AML/BSA/KYC/CDD/EDD |
