Experienced and diligent Senior Associate with strong analytical and flexible methods to meeting special challenges. Decisive and knowledgeable, leads through obstacles with a thorough and results- oriented approach. With over 15 years of risk management, ready to apply my skills through new challenges.
● A subject matter expert in BSA/AML/financial crimes matters while leading topics of engagement to the stakeholders in the Line of Business.
● Serves as the primary point of contact and provides guidance to the Line of Business for all escalations concerning BSA/AML and ABC (Anti-Bribery and Corruption) concerns.
● Coordinate and facilitate financial crimes training which includes web-based learning sessions to cover FAQ documents, Best Practice Reminders and Line of Business updates.
● Establish ongoing connectivity with the International KYC Teams in order to identify opportunities for increased consistency, across the global footprint.
● Research and administer account information to inquiries for 314(a)/ 314(b) requests, negative news alerts, as well as for OFAC and other regulatory screenings.
● Facilitates communication within Financial Crimes Operations and the Commercial Capital Business Control Group to address financial crimes hot topics and urgent items with engagement to the Line of Business.
● Most recently, resolved audit findings by developing a risk control design that reconciles BSA risk classifications across multiple platforms.
● Responsible for the annual requirements of Periodic Reviews; which ensure compliance with legal and regulatory requirements by obtaining and re-verifying updated information on high risk customers.
● Evaluate high risk customers by performing enhanced due diligence (EDD); which requires a robust and comprehensive risk narrative by utilizing compliance analysis and risk assessment.
● Responsible for conducting accurate and timely preliminary investigations. Utilizes customer records from external data, publicly available information, along with various internal system resources and applications, to make a risk-based decision on the disposition of
referrals related to fraud, money laundering, or other financial crimes.
● Performs onboarding of new customers into the Commercial Banking platform while ensuring each customer meets all the KYC/AML/BSA requirements in order to be in full compliance
● Dispositions negative news through regulatory screening as well as reviewing screening alerts as it relates to OFAC and other BSA/AML screenings.
● Operates in full compliance with internal policies and procedures related to Financial Crimes Compliance with knowledge of BSA/AML, OFAC policies, and KYC regulatory requirements.
● Responsible for underwriting large ticket requests for material handling products and transactions above $1 million.
● Prepare risk assessments and present senior management with a clear and consistent approach to mitigate risks with scorecard analysis and following risk guidelines on risk acceptance criteria exceptions.
● Assist sales and dealers in negotiating terms and conditions for transactions by providing competitive financing structures while maintaining a high level of customer service and providing a prompt turnaround time. Additionally, reviewing and negotiating
nonstandard documentation changes the guidance of legal counsel.
● Responsible for onboard screenings of KYC as well as the regulatory requirements for Customer Identification Program (CIP). Enhanced due diligence performed by screening for Adverse Media Checks for new and existing customers.
● Responsible for underwriting commercial and municipality leases up to $1 million in the flow leasing platform.
● Managed existing commercial accounts, performed rigorous analysis
of transactions, and resolved problem accounts in partnership with deal teams and specialists.
● Prepared risk assessments and presented senior management with a clear and consistent approach to mitigate risk. Responsible for onboard screenings forKYC as well as the regulatory requirements for Customer Identification Program (CIP).
Certified Anti-Money Laundering Specialist (CAMS)
Association of Certified Anti-Money Laundering
Specialists (ACAMS) member.
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