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Compliance Case Analyst Resume Example

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COMPLIANCE CASE ANALYST
Executive Profile

Strong Understanding of Compliance Audits/Risk Assessments, Organizational and Research Skills,Ability to Communicate Effectively,Ability to Act Decisively and Independently in Situations Requiring Quick Analysis.

Working Knowledge: Bank Secrecy Act, OFAC, AML institutional guidelines, FINCEN Investigations and US Patriot Act.

Skill Highlights
  • Microsoft Office, Excel, Word, Access, and Time Management
  • Power Point, Outlook, QuickBooks, Host Complex Problem Solving
  • System , Teller Express, Lexis Nexis, World
  • Check, IN Duro, Actimize, Bridger, Business
  • Objects and Customer Assist.
  • Monitoring
  • Critical Thinking
  • Judgment and Decision Making
Professional Experience
February 2015
to
March 2015
Company NameCity, StateCompliance Case Analyst
  • Reviewed and investigate credit and debit card transactions detail for potentially suspicious activities.
  • Conducted enhance due diligence on debit and credit card transactions, and presented evidence to support risk-based decisions.
  • Reviewed transaction detail and client know your client information to identify potentially suspicious activity or information.
  • Escalated potentially suspicious activity and high risk customer for further review.
  • Researched accounts and transactions identified as potential source of risk to the Firm utilizing web-based research tools and other business sources.
February 2014
to
December 2014
Company NameCity, StateSR. Compliance Client Screening Analyst
  • Conducted due diligence investigation of applicants, Collected and documented, data including alerts, investigation, or Suspicious Activity Report history; Know Your Customer information; relevant account and transaction data, and any other requested information to assist the investigation.
  • Gathered and analyzed KYC information independently.
  • Verified customer identity and related documentary proof.
  • Follow up with relevant parties on outstanding KYC issues/ documentation.
  • Researched unusual or questionable transactions/situations detected as a result of the review of system generated reports.
  • Approved and passed all transactions deemed non-suspicious associated with the aforementioned reports.
  • Referred all transactions/customers deemed suspicious to the BSA Investigations Unit in a timely manner and in accordance with Bank policy.
  • Performed Periodic Transaction Review reports for accuracy, and ensure reviews are completed within the specified time period.
  • Investigated account holders for negative news and matched against government watch lists Performed AML, KYC Investigations utilizing Bridger, and various peripheral supporting applications, i.e., search engines, proprietary database services (Lexis- Nexis, World Check).
May 2008
to
April 2013
Company NameCity, StateAVP Assistant Branch Manager
  • Managed Bankers and Tellers in sales and services activities.
  • Established and achieved sales through effective sales management techniques.
  • Recruited, Trained and mentored Staff on client profiling, conducting sales meetings and closing deals.
  • Exceeded goals and expectations; conducted skills assessment, performance management, development feedback, and coaching of employees and sales force.
  • Directed and coordinated activities of workers providing financial services to customers, and assisted in cash management activities, and Branch Subpoena's and other legal request.
  • Delivered on time high quality audit reports, SARS, Internal Audit and Regulatory issues validation and (where appropriate, branch examinations, as well as business monitoring and governance committee reporting.
  • Examined documents prepared by subordinates such as Saving bonds applications, vault entries and exit records to ensure compliance with established policies and procedures.
  • Evaluated establishment procedures and recommended new changes.
  • Increased small business loan portfolio from $1.6 mil to over $6 Million Grew cash asset portfolio from $12 Million to $18 Million Decreased branch net losses from $2000 to under $100.00 per month.
  • Achieved customer service excellence awards in years 2009, 2010 and 2011.
May 2005
to
May 2008
Company NameCity, StateAssistant Branch Manager
  • Co-Oversaw the day-to-day branch operations and ATM network.
  • Develops and Implement new products and services in line with WAMU product deliverables.
  • Directed branch staff, community outreach programs, and business development to increase branch profitability.
  • Evaluated and promoted employees into management.
  • Grew branch sales up to $15 million in one year; exceeded branch sales and lending goals by 50%.
  • Improved communications among operations, management, and frontline branch network by implementing an employee discipline process and documentary consistency worksheet; used by all branches.
  • Assisted with the training of an Online manual to aid staff with the procedure and processes.
  • Recognized for exceeding sales goals and service goals in years 2003, 2005, 2006 and 2007.
October 2002
to
May 2005
Company NameCity, StatePersonal Financial Representative
  • Expanded and retained customer relationships, actively cross sell and resolved customer problems quickly and efficiently with little directive or supervision.
  • Developed and maintained customer relationships by selling Bank products and providing excellent customer service Met all goals, actively participates in all sales activities in the Branch, and assists in coaching Tellers and Personal Bankers.
  • Has a proven track record of acquiring and retaining customer relationships by providing relevant solutions to meet customer needs.
  • Conducted customer appointments and engaged in customer conversations following a prescribed sales process designed to effectively uncover customer needs and provide relevant customer solutions.
  • Provided personalized banking services to current and prospective customers, consistently seeking to expand customer relationships and provide the highest level of customer service, through aggressive profiling of each customer and prospective customer to determine their needs and matching products/services to those needs.
  • Consistently recognized as top producer in the region, achieved top awards in the production club in successive years 2002, 2003, 2004, 2005.
  • Pre-screen customers for mortgage Loans and Lines of credit.
  • Prepared and process Loan and Line of credit applications for customer.
April 2000
to
October 2002
Company NameCity, StateAccounts Receivable Associate
  • Saint Elizabeth Ann's Healthcare & Rehabilitation Center Account Receivable.
  • Associates Worked closely with customers and management for account problem resolution.
  • Processed Medicaid and Medicare transactions and applied to appropriate account and invoices Provided recommendations to sales and collection personnel on needed account status changes.
  • Coordinated with the finance team of the pharmacy and hospice business to ensure timely collection of receivables.
  • Worked directly with designated payers to ensure proper reimbursement.
  • Ensured compliance with state and federal laws regulations for Managed Care and other third parties.
January 1992
to
February 2000
Company NameCity, StateMortgage Associate
  • Analyzed credit and financial information for processing of loans and other bank products.
  • Ensured applicable lending policies and procedures are followed.
  • Qualify documents to adhere to compliance and regulations within the lending policies and procedures.
  • Acquired and organized all pertinent credit and collateral information needed to document mortgage loan files for the appropriate product type.
  • Works closely with insurance agencies, Realtors, Closing agents and Borrowers to schedule closings.
  • Performed technical functions related to the preparation of all mortgage loan files.
  • Worked closely with Loan Originators and outside sources to gather the necessary credit and collateral information.
  • Evaluated the data collected and presents the requirements needed in order to obtain underwriting approval.
Education
2005
College of Staten Island, CUNYCity, StateB.S: Marketing, Finance

Marketing, Finance

Marketing, Finance New York State Notary Public Mortgage Loan Origination Pre Licensing Certificate
Skills

ATM network, audit reports, banking, bonds, business development, Business


Objects, cash management, Closing, coaching, credit, Critical Thinking, client, excellent customer service, customer service, database, debit, Decision Making, documentation, due diligence, Finance, financial, government, hospice, insurance, Internal Audit, legal, Lexis- Nexis, Lexis Nexis, Marketing, meetings, Access, Excel, Microsoft Office, Outlook, Power Point, 2000, Word, Works, mortgage loan, mortgage Loans, Mortgage Loan Origination, network, Notary Public, search engines, performance


management, personnel, policies, problem resolution, Problem Solving, processes, producer, quality, Express, QuickBooks, Rehabilitation, reporting, research, selling, sales, sales management, supervision, Time Management, type, underwriting, validation

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Resume Overview

School Attended

  • College of Staten Island, CUNY

Job Titles Held:

  • Compliance Case Analyst
  • SR. Compliance Client Screening Analyst
  • AVP Assistant Branch Manager
  • Assistant Branch Manager
  • Personal Financial Representative
  • Accounts Receivable Associate
  • Mortgage Associate

Degrees

  • B.S : Marketing, Finance
    Marketing, Finance New York State Notary Public Mortgage Loan Origination Pre Licensing Certificate

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