Experience Summary
SMBC New York May 2021 – Present
Sr. KYC Analyst/ KYC Compliance/Corporate & Investment Banking
• Review all documents for KYC CDD and EDD recertifications/periodic reviews.
• Review CDD Forms and UBO and CP ID documents
• Disposition all negative news alerts and PEP alerts.
• Conduct risk assessment and AML advisory on clients based on type of business and negative information.
• Review and source/research all KYC/CIP documentation
• Document review of IMA’s, corporate formation documents, Form BD and Form ADV
• Knowledge of WorldCheck, LexisNexis, Dow Jones Risk Center, D&B Hoovers
Intessa San Paolo Bank Jan 2018 – May 2021
Consultant/Due Diligence Officer/KYC Operations/Corporate & Investment Banking
• Review all documents for KYC SDD, RDD and EDD recertifications.
• Conduct risk assessment and AML advisory on clients based on type of business and negative information.
• Disposition all negative news alerts and PEP alerts.
• Reviewed exception reports for trade/transaction surveillance.
• Review and source/research all KYC/CIP documentation
• Document review of IMA’s, corporate formation documents, Form BD and Form ADV
• Knowledge of WorldCheck, LexisNexis, D&B Hoovers
BNP Paribas Sep 2016 – Oct 2017
Consultant/Due Diligence Officer/KYC Operations/Corporate & Investment Banking
• Review all documents for KYC SDD, RDD and EDD recertifications.
• Conduct risk assessment and AML advisory on clients based on type of business and negative information.
• Reviewed exception reports for trade/transaction surveillance.
• Review and source/research all KYC/CIP documentation
• Document review of IMA’s, corporate formation documents, Form BD and Form ADV
JP Morgan Chase & Co. Sep 2011 – Sep 2016
Associate/Sr. Compliance Officer/Global Compliance Operations Feb 2016 – Sep 2016
• Holistic Client KYC LookBack/Remediation Project Team Lead.
• Researched and dispositioned transactional and negative media alerts and KYC reputational risk analytics and advisory as per OFAC policies and procedures related to Corporate and Investment Banking, Commercial Banking and Asset Management clients and counterparties.
Associate/Sr. Compliance Officer/Corporate & Investment Banking Mar 2015 – Feb 2016
• Researched and dispositioned transactional and negative media alerts for KYC reputational risk analytics and advisory as per internal policies and FATF guidance documents related to Corporate and Investment Banking clients and counterparties.
• Document review of IMA’s, corporate formation documents, Form BD and Form ADV.
• Reviewed exception reports for trading surveillance and compliance.
• Knowledge of RDS-COLT, Global Sanctions Manager (GSM), HALO, SKYC, MS Office and SharePoint.
Associate/Sr. Compliance Officer/CCB Banking Regulatory Operations Feb 2013 – March 2015
• Researched, investigated and closed HALO PEP, casino, foreign business and prohibited business cases in the CCB LOB.
• Managed the Foreign Business Review Look Back Project
• Conducted risk assessment and AML advisory on clients based on type of business and negative information
• Reviewed and researched NAICS Codes and KYC/CIP documentation, AML CDD and EDD
• Completed analysis of transactional information to identify trends, risks and potential suspicious activity
• Manage and assign all new casework to analysts on team
• Liaison for PEP, AML and Negative Media investigations/escalations across all Lines of Business
• Investigated and reviewed negative media escalation cases and transaction reviews as per internal procedures.
• Reviewed SAR filings on Executive Office cases
• Researched and responded to Executive Office complaints
• Assisted in the training of all analysts on team
• ACAMS and CFE Candidate
• Strong knowledge of FFIEC, FATF Guidance, FCPA, BSA, OFAC, Bloomberg, Bridger, Lexis/Nexis, WorldCheck, WorldCompliance, iVault, Customer Assist, Contact Manager, HALO, PACER
IFR Operations Manager/CCB Mortgage Banking Sep 2011- Feb 2013
• Supervised a team of 20 QC analysts. Recognized in the “Top 5 Managers” list.
• Conducted research to locate and review various legal documents.
• For the OCC Article VII IFR Look Back project, direct the activities of Research Analysts in the research and resolution of escalated high risk mortgage agreements that underwent foreclosure and modification process.
• Develop, communicate, and track clear, aggressive business goals and objectives and Key Performance Measures for each staff member utilizing the JP Morgan Chase review process.
• Reviewed loan servicing files, including back office reports to determine if a claim was valid.
• Assist staff with more complex issues which may include account research, communication with customers, and internal/third party communication to ensure a thorough and timely resolution.
• Track and generate reports concerning department performance to management, and identify opportunities for process improvement and potential root causes.
• Coordinated approval of the appropriate remedy with legal, compliance, underwriting, and other lines of business.
• Strict compliance with Fair Lending, Fair Credit Reporting and other applicable investor, state and federal laws and guidelines.
Celerant Technology Corp. Staten Island, NY
Audit Project Manager/Consultant April 2011 – Sep 2011
Sony Music & Entertainment Group New York, NY
Sarbanes- Oxley Audit Project Manager/Consultant April 2010 – Sep 2010
• Conducted a risk assessment audit on employee onboarding and offboarding procedures
Divine Capital Markets LLC.
Divine Asset Management LLC.
Chief Compliance Officer Aug 2006 - Aug 2009
• Prepared and conducted all employee training presentations with adherence for FINRA, MSRB, BSA, AML and SEC Rules.
• Performed all trade and investment advisory surveillance utilizing exception reports and document review.
• Preparing, drafting and reviewing of contracts related to financial services.
• Excellent interpersonal and precise communication skills. Comfortable communicating with associates and client representatives at all levels. Self motivated, detail oriented, excellent written oral and other communication skills.
• Conducted all KYC/CIP records, compliance testing, FIU advisory, internal audits, SAR filings and investigations.
• Managed all required CRD filings and Continuing Education schedules for the firm.
• Conducted new hire orientation and managed required paperwork.
• Responsible for all FCPA, BSA, OFAC and FinCEN AML/KYC compliance, training and procedures.
• Drafted and managed the firm’s Business Continuity Plan
• Reviewed investment banking and advisory deals.
• Conducted daily surveillance review of all equities and options trade blotters and exception reports.
• Responsible for OATS, TRACE, ACT and TRF reporting reviews.
• Reviewed E-Mails and ensure compliance with SEC Rule 17a-3.
• Reviewed firm payroll, payables, receivables and commission billings for accuracy and completeness.
• Oversaw preparation and filing of quarterly FOCUS reports, as well as quarterly SEC Rule 606 report.
• Assisted in the required annual audit of financial condition.
• Reviewed trade blotters for Regulation NMS, NYSE Rule 92 and Regulation SHO compliance.
• Reviewed all trading blotters and reports and monitor for any unusual activity and suitability.
• Reviewed all institutional options trading as the firm’s ROSFP. (SROP/CROP)
• Reviewed and approved research reports and all new accounts.
• Reviewed and approved sales/marketing materials
• Reviewed and tested compliance procedures and systems as per FINRA Rule 3012/3013 and SOX.
Guardian Life Insurance Co.
Park Avenue Securities, LLC. New York, NY
Branch Examinations/Surveillance Supervisor Nov 2003 - Aug 2006
• Responsible for 6 direct reports, coaching one-on-one and in group sessions on systems and techniques that would improve performance.
• Prepared and conducted compliance exam testing procedures
• Prepared and conducted compliance training and advisory for the field sales force and the operations staff.
• Conducted continuing education needs analysis.
• Reviewed IMA documentation.
• Reviewed trade and investment surveillance exception reports.
• Created and managed annual examination and training schedule.
• Reviewed E-Mails for compliance with SEC Rule 17a-3.
• Assisted branches in implementing the new SEC/NASD/NYSE Branch Office Definition Rules.
• Coordinated SEC Books & Records Rule project help desk.
• Examined compliance with E-Mail review and retention requirements utilizing ILUMIN system.
• Reviewed sales/marketing materials
• Assisted in personnel evaluations and reviews.
• Lead and conducted annual and special compliance examinations of branch offices and PAS Trading/Operations. Exam areas include operations, trading, new accounts, equities/fixed income/mutual funds/ETF’s/options trading and sales practice, BSA/AML/OFAC compliance, investment advisory activities, SEC books and records rules, USA Patriot Act KYC/CIP requirements, licensing and state registration issues, suitability analysis, marketing/advertising, correspondence, firm and regulatory continuing education requirements and outside business activities.
• Managed and conducted special follow-up investigations and special projects.
• Reviewed Form BR, Form ADV, Form U-4 and Form U-5 filings.
• Reviewed exams conducted by Branch Office Compliance Officers.
• Reviewed compliance procedures and systems as per NASD Rule 3012/3013.
EDUCATION
Iona College, BA in Economics New Rochelle, NY
New York State Notary Public # 01DI6348717