AML Compliance Analyst with extensive experience, primarily within the Banking and Financial Services industry. I have comprehensive understanding of current AML/BSA guidelines & regulations like Reg E, OFAC, Dodd/Frank, UDAAP, Patriots Act . I am self-motivated, conscientious, industrious, imaginative and professional. I am generally comfortable working under huge amount of pressure with minimum to no supervision.
- Supervision and Training |
- Ensure timely and complete/accurate rendition of regulatory reports including Electronic Blue sheets, SIAC, FTP, OATS, LOPR and Short Interest
- A key component of my role is to ensure best practices as the operational guideline within the company to ensure compliance with the regulatory bodies in the Financial Services and Banking sector
- Implementation of policies and procedures across both bank and brokerage business lines to help ensure compliance with all relevant regulations
- Conduct in-depth investigations of trade related customer activities specific to identifying market manipulation across equities, options, and future product offerings
- Ensure that daily operational processing is completed in accordance with established AML program, SLAs and regulatory requirements
- Assist with ongoing AML projects including trade and transaction surveillance module development, testing, documentation and implementation
- Employing risk-based approach review customer activity that may violate anti-money laundering regulations or economic sanctions in countries in which the firm conducts business
- Investigate transactions for deviations from historical patterns and/or assess the presence or lack thereof of economic, business, or lawful purpose, based on OFAC guideline
- Perform detailed research, analysis and enhanced due diligence of certain customers and/ or activity Document findings in comprehensive memos for senior management
- Work with the business to ensure complete understanding of compliance requirements as they relate to business processes within collections
- Ensure that legal and regulatory requirements are disseminated throughout the organization and are executed by the business consistently and correctly
- Drive effective identification and management of compliance risks, provide solutions and ensure resolution
- Ensure significant risks are promptly escalated to the appropriate level
- Help the business embed effective tools, systems and controls for analyzing and monitoring regulatory risks; be an expert on appropriate controls and documentation of compliance management
- Help maintain effective relationships with all functional areas
-Play an active role in compliance risk assessment activities for the Collection Process
- Conduct targeted compliance reviews and continuous monitoring activities - Ensure cross-functional Compliance calibration; focusing on Critical to Compliance (CTC) monitoring
- Provide compliance support to existing Functional Quality teams and Quality Oversight
- Conduct Enhanced Due Diligence (EDD) research and Politically Exposed Person (PEP) review as part of a new client on-boarding process
- Performed Customer Due Diligence (CDD) utilizing Research Data Center (RDC) in order to identify high risk individuals
- Liaise with Compliance Risk Officers (CROs) as a follow-up Negative news Items screening
- Manage approval process for international wire transfers sent to high risk jurisdictions
- Review and recommend updating KYC on suspicious international and domestic banking transactions per Bank Secrecy Act (BSA)
- Track database of Suspicious Activity Alerts as reported by Union bank branches
- File Suspicious Activity Reports (SARs) based on investigation of fraudulent banking activity from structuring, unexplained third part activity, etc
- Manage staff banking operations training on policies, procedures & control at unit/branch level
- Supervise and coordinate unit activities and tellers
- Branch daily Teller activity review (transaction call over) and supervision
Daily review of General ledger report
- Manage service quality at all service delivery points
- Line manage all tellers
- Daily review of Proofs and reconciliation of ATM & General ledger balances and inter-branch entries on daily basis
- Management of vault and monitoring of all cash limits management of automated teller machines & reconciliation of ATM transactions & resolution of all differences and dispense errors
- Preparation & rendering of Branch/Unit daily, weekly & monthly reports like STRs, Income tax/VATs, and monthly GL proofs/reconciliations
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