Director Of Erm Bsa Aml Compliance And Fraud Resume Example

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Jessica Claire
, , 100 Montgomery St. 10th Floor
Home: (555) 432-1000 - Cell: - - -
Highly motivated Sales Associate with extensive customer service and sales experience. Outgoing sales professional with track record of driving increased sales, improving buying experience and elevating company profile with target market.

Strong working knowledge of the federal requirements under the Bank Secrecy Act requirements including Customer Identification Program/USA Patriot Act and OFAC (Office of Foreign Assets Control)

Coordinated, monitored, maintained day-to-day compliance with requirements of BSA/AML policy and the BSA/AML program.

Strong verbal and written communication skills required for interfacing with the teams, members, peer group and senior leadership.

Strong leadership skills - which ensured that adequate/timely monitoring takes place (including those remotely), adequate training is provided, and staff development needs are met.

Strong aptitude for understanding, interpreting, and developing reports and data that support all functional processes.

Able to be a problem solver with a ‘get it done’ attitude and strongly self-motivated.

Strong attention to detail and ability to identify where process changes will improve operational efficiency.

Prioritize work, remain organized and manage multiple tasks/projects and deadlines simultaneously.

Able to analyze BSA/AML software (VERAFIN) analysis results and make appropriate changes to the selection criteria for improved efficiency and effectiveness, while retaining proper supporting documentation.

Able to understand and be aware of possible suspicious activities or transactions by members or by employees, volunteers, directors, or executives of the credit Union. Promptly provide notification as required by credit union policy if unusual activity is observed which could be an indication of financial crime or efforts to evade reporting requirements of the Bank Secrecy Act or other laws and regulations

Skilled in Managing team members, member and business process compliance activity for the enterprise

Strong Collaborative ability to work with management teams to make sure that the enterprise is aware of compliance requirements and issues

Developed internal controls and policies designed to ensure that all compliance needs were met

Worked closely with department leaders to review all departmental policies for compliance issues

Performed new product/service analysis of controls, reviewed and assessed.

Internal/External reviews, with remediation follow-up

Process improvement reviews

Regulatory based compliance reviews

Provided input to management on control weaknesses, policy enhancements and training needs, as applicable.

Strong working knowledge of ALM and Financial Reporting

Strong working knowledge of all Collection Regulations / State Laws and legal proceedings

01/2008 to 05/2021
Director of ERM BSA/AML Compliance and Fraud Chartway Federal Credit Union City, STATE,

Assisted All departments with Compliance questions concerns of issues. Participated in all Projects to ensure Compliance and Risk issues were managed. Reviewed and submitted all CTR's and SAR's created by the BSA Team. Monitored the CFPB - NAFCU - FED and ALL Regulations for any chances to ensure we remained complaint. Wrote policies and procedures for all departments. Managed contracts and performed due diligence reviews for all active Vendors whether Critical - Non Critical or Hosted. Performed annual Risk Assessments for all Departments. Worked Fraud Cases and Supported the Fraud Team with guidance and Regulatory Guidelines. Responsible and Accountable for:
• Lead and manage team of BSA Specialists.
• Ensures all alerts are reviewed in a consistent and timely manner by holding self and team members accountable.
• Review BSA/AML policy, program, and procedures annually to ensure they were complete, effective, accurate and updated as necessary.
• Completed the annual BSA/AML risk assessment that addressed products, services, delivery channels, members and geographies.
• Reviewed investigations on alert escalations/cases; analyzed/reviewed financial transactions of members, employees and nonmembers to determine unusual or inconsistent activity patterns.
• Ensured the timely review/monitoring and reporting of all documents required under the BSA/AML Program – i.e. SAR reports, Currency Transaction Reports (CTR)
• Ensured thorough documentation supported all investigations and reviewed those originated outside of the AML software -i.e. Suspicious Activity/Incident Referrals (internal notification) received from branches, external parties and lines of business.
• Drove data management/validation efforts as it related to BSA, and identified data anomalies as they relate to AML initiatives, BSA/AML regulations.
• Maintained an effective BSA/AML internal control structure and Customer Identification Program
• Developed and maintained ongoing, risk-based Customer Due Diligence/Enhance Due Diligence monitoring as designated by intervals based on unusual activity.
• Led and performed follow-up on department projects & audits
• Prepared complete & accurate leadership reports -i.e. productivity reports, committee reports, board reports.
• Maintained records and documentation as required per regulations.
• Monitored regulatory requirements including changes in laws and regulations, compliance trends and communicated and made adjustments for those changes that would impact the credit union
• Complied with all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML) including the Bank Secrecy Act (BSA), and Consumer Finance Protection Burea (CFPB)

01/2008 to 03/2019
Chief Operating Officer / Acting Chief Executive O PortAlliance Federal Credit Union City, STATE,


PortAlliance FCU merged with Chartway FCU and my PortAlliance years of service were recognized and carried over to Chartway.
Prior to the merger, I Managed Security/Maintenance - Retail - Human Resources - Operations - Vendors - Collections - Compliance - Indirect Lending and Marketing. Responsible for Delinquency, Charge Offs, Repossessions and all daily Collection Reports. Managed the Loan Participation Portfolio spoke with all participants on a monthly basis following the submission on their monthly reports. Reviewed all contracts worked side by side with Retained Counsel for all legal matters including but not limited to POA's - Trusts - Contracts - HR Issues. Managed and ensured all incoming Dealer Contracts were reviewed and verified to ensure all contracts met the approved deal and STIPS received within the approval month. Assisted Retail with all Member Fraud,
Following Board approval to engage in merger discussions our CEO walked out, the Board then appointed me Acting CEO. Once I became Acting CEO I was responsible for all aspects of the credit unions day to day processes along with managing and supporting the merger talks and process. During my time as Acting CEO the Credit Union profited.

11/1996 to 10/2007
Officer of Classification/Records/Staff Paralegal Norfolk City Jail City, STATE,

Responsible for all inmate movements to and from court. Responsible for all inmate time calculations. Responsible for the housing and management of all inmates. The Norfolk City Jail was rated to house 800 inmates and we averaged 1200 - 1300 inmates daily. Worked with Departments Attorney on RFP's - Contracts - Citizen Complaints and Human Resource Issues. During my tenure my departments past all DOC annual inspections

01/1989 to 10/1996
Admiistrator Horton Adamson Plastic Surgeons City, STATE,

Managed scheduling of surgeries. Processed and submitted all requests for surgical approval to the insurance companies. Organized managed and prepared the Annual Conference (which hosted 100 surgeons from around the world. Assisted in the preparation and creation of a surgical journals and videos'

Education and Training
Expected in 05/1996
CERTIFICATE: Paralegal Studies
Regent University - Virginia Beach, VA
Expected in 09/2015
Certificate CCUE : Credit Union Management Executive
CUNA Management School - University Of Wisconsin,
Expected in 09/2019
Certificate NCCO : Compliance And Regulatory
NAFCU Compliance School - Minneapolis, MN ,

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Resume Overview

School Attended
  • Regent University
  • CUNA Management School
  • NAFCU Compliance School
Job Titles Held:
  • Director of ERM BSA/AML Compliance and Fraud
  • Chief Operating Officer / Acting Chief Executive O
  • Officer of Classification/Records/Staff Paralegal
  • Admiistrator
  • Certificate CCUE
  • Certificate NCCO

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