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AML/KYC Case Lead Support Resume Example

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AML/KYC CASE LEAD SUPPORT
Professional Summary

Motivated professional with over 10 years of experience within the financial sector. Specialization in client onboarding and client management. Experienced in monitoring complex account activities. Strong relationship management skills.Highly adept at comprehensive AML, KYC, OFAC and LATAM policies, transaction and project management.

Skills
Know Your Customer (KYC)-Anti-Money Laundering (AML)- Suspicious Activity Reports (SAR)- Office of Foreign Assets Control (OFAC),-Currency Transaction Report (CTR)- Research & Analysis- LexisNexis-Needs assessments
    World-Check-Bank Secrecy Act- U.S. Patriot Act-Financial Markets-Project Management-Due Diligence- Boolean Searches- Strategic partnerships-One Source-FepWeb-Dun & Bradstreet. Fluent in Spanish
Work History
AML/KYC Case Lead Support, 01/2014 to Current
 JP Morgan Chase & Co – Brooklyn, New York
  • Manage and facilitate client due diligence of KYC records for all types of Institutional clients, primarily High Risk level clients.
  • Coordinate and manage relationship with client owners across various regions to ensure assigned KYC recordsare handled according to the firm\'s internal, USA Patriot Act, Bank Secrecy Act (BSA), Anti-Money Laundering Act (AML) OFAC and specific country requirements.
  • Review KYC records for accuracy, completeness and validity; analyzing client\'s financial reports, overall business, prospects, and CIP documentation.
  • Communicate daily updates to Senior Managers and key stakeholder on the status of Client\'s KYC records.
  • Discuss and escalate any complex issues surrounding client types, structures and CIP requirements with Quality Assurance team.
  • Provide control functions such as requesting and receiving KYC record sign offs from client owners.
  • Subject matter resource for KYC/AML due diligence teams and train newly hired individuals.
Small Business Relationship Banker, 01/2007 to 01/2014
 JP Morgan Chase & Co. – Jersey City, NJ
  • Provided analytical insight, compliance support and superior client management for High Net Worth accounts.
  • Researched and compiled detailed client reports to provide management teams with actionable insights.
  • Cultivated thorough knowledge of rules, federal regulations, and business regulatory laws.
  • Developed and reviewed pitch books for clients and prospects based on research, analysis and needs assessment.
  • Evaluated transactions to look for layering activities; ensured due diligence, AML, KYC, SAR, OFAC and CTR compliance.
  • Performed quality assurance of transaction monitoring to identify suspicious activities for all client accounts, maintained client documentation and submitted Suspicious Activity Reports when necessary.
Senior Sales Manager, 01/2006 to 01/2007
 Bank of America NA – Bordentown, NJ
  • Monitored and processed electronic transfers from customer\'s accounts while identifying and reporting suspicious transaction and activity.
  • Identified and assessed customer needs and matched products and services accordingly, ensuring customer satisfaction.
  • Facilitated retention and expansion of banking relationships with existing customers, while acquiring and qualifying new clients.
  • Coached personal bankers to attain their book of business throughout the district daily.
Education
Bachelor of Science: Business Finance, New Jersey City University - New Jersey
Certifications
Series 6- Series 63-Certified NMLS-Life Annuity & Insurance Licensed.
Accomplishments
  • Consumer Research
    Effectively executed new marketing outlines bydeveloping and reviewing pitch booksbased on market research for clients and prospects.
  • Process Improvement
    Worked in close collaboration with internal teams, acting as SME to improve local due diligence process by implementing and comply with domestic and international regulatory requirements bystreamlining end to end process.
  • Targets and Completions
    Achieved monthly KYC remediation targets as one of the top KYC support, with high volume record completion. 
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Resume Overview

Companies Worked For:

  • JP Morgan Chase & Co
  • JP Morgan Chase & Co.
  • Bank of America NA

School Attended

  • New Jersey City University

Job Titles Held:

  • AML/KYC Case Lead Support
  • Small Business Relationship Banker
  • Senior Sales Manager

Degrees

  • Bachelor of Science : Business Finance ,

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