senior aml investigator acting team lead resume example with 13+ years of experience

Jessica Claire
  • Montgomery Street, San Francisco, CA 94105 609 Johnson Ave., 49204, Tulsa, OK
  • H: (555) 432-1000
  • C:
  • Date of Birth:
  • India:
  • :
  • single:
  • :
Professional Summary

Driven AML specialist trained in all aspects of financial investigation with over ten years of experience in the compliance, banking, and legal industries. Result focused, detail oriented, and analytically inclined with a solid ability to professionally support a company’s compliance efforts. A dedicated professional with superior oral and written communication skills.

Work History
Senior AML Investigator / Acting Team Lead, 04/XXX5 - Current
Pennymac Moorpark, CA,
  • Assigned to Financial Crime Compliance - Major Case: Special Investigations Unit
  • Provide guidance, direction, and assistance to Senior Investigators, Investigators and other team members in determining whether to close cases, escalate findings and/or file Suspicious Activity Report.
  • Supervise work of other team members to ensure completeness and quality of investigations, and to support quality assurance of investigative documentation.
  • Lead training of consultants covering topics of basic AML principals through bank specific policies and procedures in effort to create effective AML program to help in eliminating Bank’s backlog.
  • Train newly hired investigators and efficiently onboard them so they can become integral part team.
  • Prepared detailed reports on updates to project specifications, progress, identified conflicts and team activities.
  • Minimized resource and time losses by addressing employee or production issue directly and implementing timely solutions.
  • Determine whether alerted activity, including those generated from detection scenario processes, negative media reports, and internal referrals, is suspicious and take appropriate steps to file SAR or close case by documenting mitigating factors and lack of risk.
  • Mitigated or reported “information sharing” cases created from documents received from other Standard Chartered Bank Affiliates.
  • Responded to and investigated 314(b) requests from other financial institutions.
  • Conducted investigations in Supplemental Response Group for indications of continuing activity for SARs filed across different groups at bank.
  • Conduct investigations for exception reports designed to create more efficient detection scenarios that would alter case triggers and case creations across bank.
  • Conduct thorough quality check on SARs being filed by other investigators and submit them to proper groups for filing with FinCEN.
  • Recommend client accounts be placed on Internal Watch List.
  • Transaction Monitoring.
Associate Vice President / Senior Compliance Officer, 12/XXX3 - 04/XXX5
  • Investigate and evaluate referrals to identify criminal typologies including money laundering and terrorist financing for investment banking/high net worth individuals.
  • Analyze account activity for personal, business, and investment accounts by detailing transactional data focusing on cross border wire transfer activity associated with high risk jurisdictions.
  • Determine whether account activity is indicative of various AML typologies such as structuring cash transactions to circumvent Currency Transaction Report (CTR) requirements as defined under Bank Secrecy Act (BSA), evasion of Chinese Currency Restrictions, Black Market Peso Exchange (BMPE), Trade Base Money Laundering (TBML), Informal Value Transfer System (IVTS), human trafficking, and entities being used as conduits for political corruption via Politically Exposed Persons (PEP).
  • Review KYC documentation and due diligence research for existing clients and verify through searches via publicly available information and LexisNexis.
  • File SARs in compliance within established regulatory guidelines and timeframes.
  • Respond to and investigate 314(b) requests from other financial institutions as well as 314(a) requests from law enforcement.
  • Conduct extensive investigations for subpoenas issued by major law enforcement and government regulatory agencies.
  • Recommend client account closure to minimize risk and exposure of bank.
  • Provide training to new hires and cross-training to other departments.
  • Discretely handle confidential material and sensitive information.
  • Transaction Monitoring.
Analyst, 01/XXX2 - 12/XXX3
  • Performed on-site support, as government consultant, for IRS Criminal Investigations Division: Anti-Money Laundering & Asset Forfeiture Unit.
  • Assist Special Agents with investigations pertaining to Money Laundering, Structuring, Fraud, Tax Evasion, and Identity Theft.
  • Review and analyze Suspicious Activity Reports, Currency Transaction Reports , and Foreign Bank & Financial Account Reports.
  • Familiar with Money Laundering and Bank Secrecy Act statutes.
  • Conduct investigative research on individuals to identify fraudulent and/or criminal activity.
  • Collect and analyze legal data.
  • Summarize findings into reports.
  • Serve as point of contact between IRS-CI and other federal, state and local agencies (e.g.
  • Ensure data entered into database is compliant with Court Orders, Warrants, Complaints, SAR’s, Seizures.
  • Ensure assets are properly docketed, seized and forfeited.
Senior Probate Clerk, 01/2007 - 12/XXX0
  • Responsible for ensuring accuracy of motion and complaint documents filed before Hudson County Superior Court, including Family, Civil and Chancery Probate Court divisions.
  • Provide ongoing support related to legal research, document review and preparation of legal briefs, summaries, & judgments.
  • Case Management.
  • Draft emails, letters and other documents on behalf of senior staff.
  • Coordinate administrative staff meetings, special events and other court functions.
  • Provide training for new hires and interns.
  • General office manager duties including inventory upkeep, managing outside vendors and coordinating staff schedule.
  • Serve as first point of contact for visitors and attorneys seeking information about Hudson County Superior Court’s policies and procedures.
  • Discretely handle confidential material and sensitive information.

Bilingual (Fluent Spanish) | Proficient Microsoft Office (Word, PowerPoint, Excel) | Research and Analysis | Transaction Monitoring | Bank Secrecy Act and FINCEN Policies | OFAC/Sanctions | AML Typologies | KYC/Due Diligence | SAR Narratives/Filings | Subpoenas | PEPs | Detica | Quantexa | CERS | CERSTA | Correspondent Banking | ECM | Mantas

Bachelor of Arts: Justice Studies, Expected in 05/2007
Status -

Association of Certified Anti-Money Laundering Specialists (ACAMS)

CAMS Certification Sept. XXX6 – Current


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Job Titles Held:

  • Senior AML Investigator / Acting Team Lead
  • Associate Vice President / Senior Compliance Officer
  • Analyst
  • Senior Probate Clerk


  • Bachelor of Arts

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