(555) 432-1000,
Montgomery Street, San Francisco, CA 94105
Professional Summary
Extensive contractual compliance and Anti-Money Laundering Manager with a solid background in the financial industry, focusing primarily on program development, AML regulations and financial investigations.

Creative problem solver and dynamic leader with exceptional organizational skills.
  • Proficient in - Lotus Notes
  • Outlook
  • Microsoft Office Suite
  • Chips, Swift, Fed wire Processing on Montran 
  • Excel, Conduct Surveillance and due diligence on LexisNexis
  • World Check and Google.
  • Yellow Hammer BSA, AML Systems 
  • (Oracle,. AML Review Database
  • Oracle, Actimize. 
  • FIU (Fraud Investigation Unit) Database. 
FINANCE INSTITUTE Port-Au-Prince, Haiti Expected in 1999 BBA : Financial and Bank administration - GPA :
    College, FINANCE INSTITUTE Port-Au-Prince, Haiti
  • Coursework in Finance and Economics
  • Coursework in Business Administration
  • Emphasis in bank administration
Work History
Green Key FIS Global - AML Compliance Investigator/SAR Analyst
City, STATE, 01/2014 - 07/2014
  • BSA AML Compliance Consultant with Jefferson Wells in the roles as an Anti-Money Laundering Analyst/Investigator at Bank of East Asia.
  • Conducted internal fraud investigations of correspondent banking customers' account statements, cash, checks, ATM, ACH, and wire transfers by reviewing client transaction flow of payments for suspicious activity.
  • Performed enhanced due diligence on customers KYC and source of wealth information including the identification and investigation of politically exposed persons.
  • Document all investigative findings and provide second tier approval for investigation escalation of cases meriting further review.
Wells Fargo - KYC Enhanced Due Diligence Analyst
City, STATE, 03/2013 - 2014
  • Supervised and trained 6 research analysts on all aspects of enhanced due diligence (EDD).
  • Conducted Enhanced Due Diligence (EDD) reviews of existing and potential new high-risk customers (US & Foreign - Latin American) escalated by the markets and banking businesses through the Electronic Customer Acquisition Due Diligence (eCADD) platform and existing paper processes.
  • Contact person for resolution and tracking of relationships identified as potentially high risk (OFAC and PEP) through on boarding process, and periodic review processes; conducting additional research as needed to resolve potential hits, documenting and tracking.
  • Maintained personal compliance with the Bank Secrecy Act, OFAC and US Patriot Act including Customer Identification Program (CIP), customer due diligence, indentifying high risk accounts and reporting suspicious activities to Supervisor or BSA/AML Officer.
  • Validate accuracy of data in KYC platforms and ensure completeness of document package Kick-off renewals and liaise with client on-boarding / sales for required documents and sign-off Review all KYC entries / records and liaise with on-boarder for any issues or questions Validate all documentation uploaded into the KYC tool.
  • Follow up with Compliance for approvals of High Risk clients, and with Sales/Bankers for all other clients.
  • Assisted with the filing of Cash Transaction Reports (CTR) and preparation of SARs.
  • Reviewed and updated information on the KYC database for existing clients when necessary according to Compliance guidelines.
Solomon Edwards Consulting Bank Of America - CTR/BSA/AML Analyst
City, STATE, 2011 - 2013
  • Completed Anti-Money Laundering (AML) training as perquisite before beginning the assignment.
  • Conducted a complete review of the foreclosure file to ensure all default time frames for SCRA members were processed accurately.
  • Performed SCRA harm reviews according to OCC guidelines.
  • Reviewed files to determine where or not any errors, misrepresentation or other deficiencies may be identified in the foreclosure that resulted in financial injury to the borrower or mortgagee.
  • Determined if the foreclosure process in accordance with applicable state and federal laws to include SCRA and US Bankruptcy Codes.
  • Requested additional conditions and documents from bank prior to final re-underwrite and test completion.
  • Handle and implement internal examinations, investigations, and inspections: Advice changes in transaction pattern of customers to the BSA Officer in order to update the monitoring process.
  • Ensure timely implementation of new procedures in compliance with any changes laws and regulations in the BSA/AML/CIP and enhanced due diligence programs.
  • Familiarize and comply with all applicable Bank's policies and procedures, as well as governing laws and regulations.
  • Evaluated foreclosed loans to determine if all required loss mitigation activities were handled and documented in accordance with the requirements of HAMP, proprietary modification or other program requirements.
  • Subject matter expert area KYC, EDD, CDD, CIP, SAR, HUMDA, HAMP.
  • Daily underwrote and/or reviewed 8-10 audits of junior analyst completed files to ensure test review was completed according to investor guidelines including but not limited to, state, and regulatory guidelines; federal laws, Til, Respa laws with banking policy and procedures.
Analyst, ATM, banking, Consultant, client, clients, Database, documentation, Due Diligence, English, filing, FINANCE, financial, French, Languages, Latin, Lotus Notes, Back-Office, Excel, Money, Microsoft Office Suite, Outlook, Oracle, policies, Prince, processes, reporting, Research, Sales, Supervisor, Swift
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