AML Consultant/Screening Team Lead - Blackstone - Berkeley Heights, NJ
(2024-10)
- Performed daily ongoing adverse media and PEP screenings via Moody's/RDC and open sources.
- Escalated to various business departments alert details concerning positive alerts/negative news with analysis and research.
- Conducted screening for IPO's, credit deals, portfolio deals and onboarding.
- Daily monitoring of SEC, FINRA, FinCEN, FCA, UK gov., OSC, OSFI, CIRO, MAS and EU.
- Monitor regulatory developments in US, Canada and EU.
Senior KYC Analyst/Screening Team Lead - ICBC Bank - New York City, NY
(2022-08 - 2024-09)
- Maintained current knowledge of regulatory changes affecting KYC and AML compliance, recommended improvements and updated Guidance.
- Performed daily ongoing adverse media and PEP screenings via World-Check and open-sources.
- Performed EDD, periodic and ad-hoc Negative News and PEP screenings.
- Prepared Negative News Assessments for all positive alerts/negative news and determined whether Material or Immaterial.
- Calculated Risk Score and Risk Level as result of positive hits.
- Prepared PEP Assessments.
Project Manager - UAT Contractors - ICBC Bank - New York City, New York
(2021-05 - 2022-08)
- Provided guidance to team members regarding tasks assigned to them.
- Performed User Acceptance Testing for development and implementation of NICE Actimize Anti-Money Laundering Solutions Software.
- Interfaced with ICBC Management, IT Department, NICE Actimize and consulting firm.
- Conducted regular status meetings with internal teams and external partners to track progress against established milestones.
KYC Analyst - Sumitomo Mitsui Banking - Jersey City, NJ
(2021-01 - 2021-05)
- Performed Periodic Reviews on High, Medium, and Low Risk Clients.
- Verified customer identity using public records, financial databases, and other resources, and maintained records of all KYC documentation analysis results.
- Analyzed customer data to identify suspicious activity or potential money laundering schemes.
- Calculated customer risk levels.
- Updated client profiles with relevant CIP, SOE, PEP, and KYC information.
- Coordinated with RMs to obtain information and resolve issues.
- Drafted reports summarizing findings from KYC reviews and investigations.
KYC Review and Documentation/Quality Control Analyst - PwC - MUFG Divisions - Remote, New Jersey
(2020-04 - 2020-12)
- Reviewed, researched and updated MUFG's KYC programs for MUB and MUBK Divisions to ensure proper CIP, CDD and EDD and documentation, regulatory compliance and accurate risk-rating.
- Identified customer risk levels based on established criteria.
- Communicated with RMs for information and documentation.
KYC Analyst - PwC - Bank of China - New York, NY
(2020-02 - 2020-03)
- Received extensive KYC training from BoC and PwC.
- Researched third-party sources (Lexis-Nexis, Dow Jones) to update Customer KYC profile and documentation and risk rating for regulatory compliance.
- Project halted by Covid.
Transaction Monitoring Analyst - EY - BNP Paribas - Jersey City, New Jersey
(2019-11 - 2020-02)
- Reviewed and monitored large-scale customer transactions for potential money laundering activity.
- Analyzed suspicious transaction patterns to detect any fraudulent activities.
- Conducted comprehensive due diligence checks on customers' accounts to ensure compliance with AML regulations.
- Utilized various software tools to monitor transactions within the banking system.
- Investigated alerts generated by automated monitoring systems and took necessary action as required.
- Prepared detailed reports on all investigations conducted, including findings, recommendations and follow-up actions taken.
OFAC Client Services Analyst - EY - Mega International Commercial Bank - Hoboken, NJ
(2019-01 - 2019-09)
- Five-year OFAC look-back review of Banks's international trade via surface vessels and air.
- Regulator imposed fine based upon the dollar-value of OFAC violations detected by review.
- Used Dow Jones, CLEAR and Lloyds.
Forensic/Senior Quality Control Analyst - Ernst & Young, EY - Secaucus, NJ
(2018-08 - 2018-11)
KYC/AML investigations for EY CDD and EDD service on prospective relationships (individuals and entities) for firm and clients.
- Conducted CDD and EDD research in multiple syndicated compliance databases (World Check, Lexis Diligence, Factiva, Dow Jones), corporate databases and open-source records.
- Prepared detailed CDD/EDD reports with documentation for EY General Counsel.
OFAC Analyst - EY - Fortune 500 Client - Secaucus, NJ
(2018-05 - 2018-07)
- Emergency investigation of Fortune 500 client's international transactions for OFAC violations for trade with Crimea, Ukraine and Russia.
Alert Investigator/Quality Control Analyst - EY - Credit Suisse - Secaucus, NJ
(2017-09 - 2018-05)
Three-year look-back audit of Credit Suisse's high wealth clients in Private Banking and Investment Division via EY's high risk transaction screening criteria.
- For selected alerts researched client's onboarding and KYC profile, sources of account funding, purpose of account, purpose of transaction, parties to transaction, negative news, PEP status and prior SARs.
- AML typologies focused on insider trading, international wires, money service businesses, real estate, ATM and art transactions.
- Prepared SARs reports for approval by EY and client.
- Prepared detailed investigatory report with documentation for each alert.
AML/KYC Analyst - EY - Various Projects - Secaucus, NJ
(2016-09 - 2017-08)
- AML/KYC for multiple EY projects.
