Data Communication and Analyst (EDD) – Consultant - Sumitomo Mitsui Banking Corporation - NY, New York
(2024-02 - 2024-10)
- Conducted EDD reviews on KYC files (Low, Medium and High risk).
- Reviewed client files for completeness in accordance with the Bank's policies and procedures, including ID&V of the client; Understanding the client's business and nature/purpose of the client relationship; Understanding the ownership and control structure of the client and reviewing potential negative news alerts.
KYC Quality Control Analyst (QC/QA) – Consultant - Credit Suisse - NY, New York
(2021-12 - 2022-04)
- Conducted QA/QC reviews on KYC files (Low, Medium and High risk).
- Reviewed client files for completeness in accordance with the Bank's policies and procedures, including ID&V of the client; Understanding the client's business and nature/purpose of the client relationship; Understanding the ownership and control structure of the client and reviewing potential negative news alerts.
KYC Quality Control Analyst (QC/QA) – Consultant - Sumitomo Mitsui Banking Corporation - NY, New York
(2021-05 - 2021-11)
- Conducted QA/QC reviews on KYC files (Low, Medium and High risk) for a 2021 remediation project.
- Reviewed client files for completeness in accordance with the Bank's policies and procedures, including ID&V of the client; Understanding the client's business and nature/purpose of the client relationship; Understanding the ownership and control structure of the client; Reviewing name list screening (Dow Jones) and review of any potential negative news alerts.
Enhanced Due Diligence (EDD) Analyst - Consultant - Signature Bank - NY, New York
(2020-01 - 2021-03)
- Conducted EDD reviews on High-Risk client accounts (personal and entities) and third-party payments processors based on transactional activities (debits, credits, transfers, checks and wires).
- Extracted client transaction history (3-month period) from the Bank's internal database to an Excel Spreadsheet and presented in a pivot table.
- Worked/communicated with Private Client Groups (PCGs) and the Compliance department to resolve issues regarding KYC/EDD requirements.
- Conducted due diligence and negative media searches on the client, owners, associated signers and entities with whom the client conducts transactions.
- Conducted searches on and reviewed Subpoenas, Suspicious Activity Monitoring (SAM) reports, Expected Versus Actual (EVA) activity reports and Suspicious Activity Reporting (SAR) documents.
- Presented a completed review in a written summary analyzing the client's risk rating and usage of the account.
- Assisted the Transaction Monitoring Team with TM reviews.
- Utilized the following programs to conduct the reviews: Actimize, PARC, EVision, Little Rock, RDC, LexisNexis, OTG and Microsoft Excel.
Enhanced Due Diligence (EDD) Analyst - Consultant - Deutsche Bank - NY, New York
(2018-12 - 2019-07)
Remediation of High-Risk client files. Provided comprehensive and quality-led advice to the Bank's Anti-Money Laundering, Sanctions and Anti-Bribery, Fraud & Corruption (ABFC) compliance units.
- Reviewed client files for completeness in accordance with the Bank's policies/procedures, including ID&V of the client; Understanding the client's business and nature/purpose of the client relationship; Reviewed and confirmed ownership and control structure of the client; Reviewed name list screening (Lexis, PCR and RDC) and dispositioned PEP, AML, Sanctions and ABFC alerts.
- Used strong analytical skills to formulate and clearly articulate a supportable written summary assessing the client's risk.
- Assisted Team Lead with QA of files (2017-2018 review).
Enhanced Due Diligence (EDD) Analyst - Consultant - Deutsche Bank - NY, New York
(2017-10 - 2018-05)
Sanctions Analyst – Consultant - K2 Intelligence - NY, New York
(2018-05 - 2018-10)
- Reviewed and dispositioned first and second level potential OFAC alerts.
