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kyc compliance officer quality control analyst resume example with 6+ years of experience

Jessica Claire
  • , , 609 Johnson Ave., 49204, Tulsa, OK 100 Montgomery St. 10th Floor
  • Home: (555) 432-1000
  • Cell:
  • resumesample@example.com
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Summary

Experienced Accuracy-driven Compliance professional, focused on evaluating and optimizing company policies and procedures across board. Disciplined and forward-thinking with results-oriented approach. Offering over five years of corporate and banking experience. Highly analytical and result-driven specialist in KYC, CDD, EDD, and OFAC.

Proficient in preparation of reports such as Suspicious Activity Reports (SARs). Monitored AML/BSA trends for related industry practices, and evaluated transactions for possible Fraud, Money laundering and Terrorist Financing activities within AML framework along with reviewing negative feeds of OFAC/Watch List/PEP alerts generated systematically and manually.

Skills
  • Data Analysis
  • Quality Control
  • Document Control
  • Risk Mitigation
  • Audit Documentation
  • Document Review
  • Compliance Reviews
  • Project Coordination
  • Risk Identification
  • Compliance Reporting
  • Process Implementation
Experience
KYC Compliance Officer (Quality Control Analyst), 07/2022 to Current
EtoroAustin, TX,
  • Facilitated adherence to safety and regulatory objectives and managed client-specific projects.
  • Reviewing accuracy of retail and business account profiles
  • Anticipates and implements changes to testing plans as a result of changes in Bank's business environment including regulatory changes.
  • Perform Quality Assurance review for new onboarding, periodic reviews, ad-hoc reassessment and FINCEN triggers.
  • Play key role in development and roll-out of both strategic and tactical process changes.
  • Support development of QA processes based on identified quality standards.
  • Maintain working knowledge of all regulatory obligations and relate them to Citigroup policies and procedures.
  • Handling eight (8) cases or more per day which increases QC productivity to over 100%
  • Provide subject matter expertise to KYC functions throughout enterprise.
  • Review all information and documentation ensuring compliance with local regulation and Citigroup standards.
AML/Fraud Investigator, 06/2020 to 07/2022
Vantage Credit UnionCity, STATE,
  • • Evaluate transactions and customer relationships for Money laundering activities, identifying red flag issues and escalating within AML framework for further investigation.
  • • Prepare required reports including Suspicious Activity Reports (SARs), following regulations and time limitations
  • • Prepare and file Suspicious Activity Reports ("SAR") for accounts which have been identified to have carried out possible structuring.
  • • Prepare and file No Further Action Report (NFA) for accounts which have been identified to have not carried out any form of suspicious activity.
  • • Perform name and account research based on lists and reports provided through established resources to determine if evidence of money laundering activities exists.
  • • Collect and examine financial statements and documents to assist in identifying unusual transaction patterns
  • • Maintain current understanding and knowledge of AML, KYC, Due Diligence, and financing issues, policies, and procedures.
  • • Write suspicious activity reports addressing Currency Transaction Report (CTR) alerts, sanctions alerts, and other applicable AML processes according to regulation and time limitations.
  • • Recommend relationship retention or termination based on SARs prepared
  • • Provide additional support with AML compliance organization on more complex issues, including research techniques and capabilities, as well as other solutions.
  • • Ensure that decision not to file ("SAR") were properly documented.
  • • Conduct investigations on questionable account activities.
  • • Conduct suspicious activity investigations, currency transaction reporting, global sanctions screening, enhanced due diligence or other AML processes.
AML/KYC Analyst, 08/2018 to 05/2020
Alliance CreditCity, STATE,
  • • Perform AML investigations and compliance reviews (on-boarding and maintenance) in conjunction with countries/regions, particularly in relation to high-risk customers
  • • Responsible for appropriate collection and examination of financial statements and documents.
  • • Accountable for documenting and reporting investigation findings in case management system.
  • • Ensuring bank performs financial transactions and maintains required documents and records in manner as required by law
  • • Handled and managed caseload of investigations, performed analysis and follow-up.
  • • Evaluated transactions and customer relationships for money laundering activities and identified red flag issues and escalated within AML Group.
  • • Performed detailed research on suspicious activity and drafted Suspicious Activity Reports when deemed necessary.
  • • Utilize U.S. Patriot Act, Bank Secrecy Act, AML and OFAC laws as guideline for carrying out investigations on individual and company accounts.
  • • Prepare regulatory reports, Requests for Information (RFI), Patriot Act 314(b) requests, and SARs (Suspicious Activity Reports).
  • • Reviewed and analyzed compliance monitoring reports and other related source documents for suspicious and unusual patterns of activity.
KYC/Due Diligence Analyst/Onboarding Specialist, 09/2015 to 11/2017
Wema BankCity, STATE,
  • • Ensure customers are classified in line with required (CIP, CDD, KYC) programs.
  • • Proven KYC analyst, experience with ability to review and interpret complex data from other varieties of sources.
  • • Delivery of target and objective in line with timelines dictated by BAU and Refresh program.
  • • Analyze customer due diligence reports for retail/business banking customers.
  • • Conduct reviews of new and existing clients KYC files and ensure it adheres with customer identification program (CIP).
  • • Analyses ownership structures and nature of business.
  • • Identify, document and file transactional or evidence of money laundering.
  • • Review system generated alerts and alerts generated from business partners to assess presence of illicit activities.
  • • Ensure that all customers' files meet Know Your Customer (KYC) standard of the bank
  • • Analyze high risk wire transaction activities and provide investigation case analysis utilized for SAR preparation and filing.
  • • Investigate individuals and corporate financial activities suggestive of anti-money laundering.
  • • Prepare investigative case review summaries analyzing transaction activities occurring in high and medium-risk accounts maintained by Bank.
  • • Gather information from outside resources such as internet searches, third party vendors and public records to help in proper implementation.
  • • Participate in several AML/KYC related projects requiring Enhanced Due Diligence (EDD), transaction monitoring investigations.
  • • Collect and screen all documents of customers to be onboarded in accordance with set standards.
  • • Review and research suspected items and or transactions and report suspicious activity as required.
  • • Communicate with AML Compliance Manager any customer activity or trend that could implicate potential money laundering or terrorist financing.
Education and Training
Bachelor of Science: Business Administration, Expected in 10/2010 to Ambrose Alli University - Ekpoma, Edo State, Nigeria,
GPA:

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Resume Overview

School Attended

  • Ambrose Alli University

Job Titles Held:

  • KYC Compliance Officer (Quality Control Analyst)
  • AML/Fraud Investigator
  • AML/KYC Analyst
  • KYC/Due Diligence Analyst/Onboarding Specialist

Degrees

  • Bachelor of Science

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