AML Analyst Resume Example
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AML ANALYST
Professional Summary
Well Rounded, Adaptable and Capable Compliance Analyst bringing over 10 years of experience in due diligence, special investigations, risk assessment, KYC and research and analysis.
Certifications
CAMS- Certified Anti-Money Laundering Specialist
ICCAP- Certified Investment Advisor Compliance Officer
FINRA Series 24, 7 & 63, Life and Health Insurance (Former Holder)
ICCAP- Certified Investment Advisor Compliance Officer
FINRA Series 24, 7 & 63, Life and Health Insurance (Former Holder)
Skills
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Work History
AML Analyst, 02/2014 to Current
Citizens Financial Group, Inc. – Brodheadsville , PA
Citizens Financial Group, Inc. – Brodheadsville , PA
- Conducted investigations into potentially suspicious activity. Articulated AML/TF findings, risks and detailed recommendations to upper management.
- Supported management through risk identification, control testing and process improvement procedures utilizing "Actimez" software addressing a variety of scenarios such as Structuring, High Risk Jurisdiction, Changes in Patterns of money transfers and Behaviors of banking customers.
- Supervised and coordinated casework for a team of analysts to ensure alerts are addressed accurately and submitted in a timely manner.
Foreclosure Litigation Paralegal, 08/2011 to 11/2013
Wells Fargo – Alameda , CA
Wells Fargo – Alameda , CA
- Prepared legal briefs, motions and pleadings associated with the foreclosure process
- Developed and managed up to 300 cases.
- Drafting of legal documents, motions and affidavits for all .
- Communicated case status to clients in regards to the progress and outcome of court appearances.
- Conducted detailed client intakes and entered information into company database.
Title Closer/Settlement Agent , 08/2010 to 07/2011
Autotask Corporation – Irvine , CA
Autotask Corporation – Irvine , CA
- Reviewed Deed of Trust, Title Commitment and prior bankruptcies documents.
- Clear title of all taxes, liens and judgments. Collected funds to satisfy any open mortgages.
- Confirm the identity of all parties to the transaction, prepared and finalized title bills, notarized deeds, mortgages and assignments of mortgage and recorded them with the county clerk.
Compliance Associate, 08/2006 to 01/2009
Autotask Corporation – Richmond , VA
Autotask Corporation – Richmond , VA
- Responsible for Client On-boarding, Monitor & review subscription documents for hedge funds, entered investor information into firm database.
Performed enhanced due diligence and KYC investigations on subscribers utilizing "Lexis Nexus and World Check". Conducted risk rating assessments on the clients based on geography, industry/occupation, product, political status, and reputational risks.
- Verified the jurisdiction of incoming and outgoing wire activity to ensure that they are not facilitating transactions with any OFAC sanctioned countries, entities, or individuals.
- Escalated any money laundering/terrorist financing issues to upper management, assisted in the preparation of SAR filing.
Compliance Analyst, 08/2005 to 07/2006
Independent Financial Marketing Group, A Divison Of Sun Life Financial – City , STATE
Independent Financial Marketing Group, A Divison Of Sun Life Financial – City , STATE
- Responsible for intake and acknowledgment of written customer complaints on securities and insurance transactions.
- Conducted investigations based on the customer claims in the complaints.
- Identified suspicious sales activities internally and reported all discovery to senior management and counsel.
- Communicated cases of fraud to regulatory agencies "FINRA" and "New York State Department of Insurance".
- Assisted counsel as the liaison with regulators handling written requests for documentation and information.
Compliance Analyst, 08/2001 to 07/2005
North Fork Bank – City , STATE
North Fork Bank – City , STATE
- Audited sales recommendations of investment products to customers based on suitability and risk indicators.
- Communicated with sales staff on any documentation deficiencies and reconciled all outstanding issues.
- Assisted on brokerage desk taking unsolicited orders from brokerage customers for stocks, bonds and mutual funds.
- Trained and directed new hires during department orientations.
Education
MBA: Banking and Finance, 2004
Dowling College - City, State
Coursework in Economics, Markets, Finance, Accounting, Compliance, Operations, Technology.
Dowling College - City, State
Coursework in Economics, Markets, Finance, Accounting, Compliance, Operations, Technology.
Bachelor of Arts: Music Business Management and Operations, 1998
Berklee College of Music - City, State
Berklee College of Music - City, State
Entertainment law, Statistics, Record Company Operations, Accounting, Business computer applications and Marketing.: 1998
Berklee College of Music - City, State
Berklee College of Music - City, State
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Resume Overview
School Attended
- Dowling College
- Berklee College of Music
Job Titles Held:
- AML Analyst
- Foreclosure Litigation Paralegal
- Title Closer/Settlement Agent
- Compliance Associate
- Compliance Analyst
Degrees
- MBA : Banking and Finance , 2004
Bachelor of Arts : Music Business Management and Operations , 1998
Entertainment law, Statistics, Record Company Operations, Accounting, Business computer applications and Marketing. : 1998
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