Senior BSA/AML Auditor Resume Example
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SENIOR BSA/AML AUDITOR
Professional Summary
Highly-accomplished and detail-oriented professional possessing outstanding interpersonal, analytical and organizational skills.
Skills
CAMS Certified Strong Knowledge of BSA/AML/OFAC |
|
Interests
UNIVERSITY OF HAWAII AT MANOA
HONOLULU, HAWAII
HAWAII STATE BAR ASSOCIATION, INACTIVE MEMBER
STEP UP TO EXCELLENCE, QUARTERLY AWARDEE (BANK OF HAWAII)
Work History
Senior BSA/AML Auditor, 05/2015 to 05/2016
Harbourvest Partners Llc. – Boston , MA
Harbourvest Partners Llc. – Boston , MA
Responsible for participating in Audit projects in one or more areas of compliance audit activity (primarily BSA/AML/Sanctions), which consist of planning, evaluating, investigating, and reporting; continuous monitoring and risk assessments over areas of assigned responsibility; and monitoring and verification of auditee management's resolution of audit findings.Drafts audit results and audit report deliverables.Supports the BSA/AML Audit Manager and Director in developing and maintaining a program of risk-based audit coverage.Assists in maintaining effective and professional relationship with auditees.
AML Operations Team Leader, 01/2013 to 04/2015
Petco – Topsfield , MA
Petco – Topsfield , MA
- Responsible for participating in Audit projects in one or more areas of compliance audit activity (primarily BSA/AML/Sanctions), which consist of planning, evaluating, investigating, and reporting; continuous monitoring and risk assessments over areas of assigned responsibility; and monitoring and verification of auditee management's resolution of audit findings.
- Drafts audit results and audit report deliverables.
- Supports the BSA/AML Audit Manager and Director in developing and maintaining a program of risk-based audit coverage.
- Assists in maintaining effective and professional relationship with auditees.
FINANCIAL INTELLIGENCE UNIT, 01/2013 to 04/2015
Eberstein Witherite Llp – Atlanta , GA
Eberstein Witherite Llp – Atlanta , GA
- Responsible for management of Financial Intelligence Unit (FIU) Agents and Contractors within the FIU; reviews investigations conducted by the Agents and Contractors to ensure adherence to and compliance with the Bank Secrecy Act and USA Patriot Act regulatory requirements, MUFG UB's Bank policy and procedures, Financial Crimes Enforcement Network (FinCEN) directives and Office of the Comptroller of the Currency (OCC); oversight of the 314 Information Sharing Program; assisted the IU Manager in the update and maintenance of the IU Procedures Manual and projects as needed; assist in the interview and hiring process of Agents; and liaison with business units within the bank for gathering of information and referral for further action when necessary.
BSA/AML Risk Manager, 08/2003 to 01/2013
Brown & Brown, Inc. – Albuquerque , NM
Brown & Brown, Inc. – Albuquerque , NM
BSA/AML RISK MANAGER, 04/2007 to 01/2013
Bank Of Hawaii, Corporate Compliance – City , STATE
Bank Of Hawaii, Corporate Compliance – City , STATE
- Assisted the BSA Officer with the enterprise-wise BSA/USAPA/AML/OFAC Risk Management Compliance Program ("BSA Program"); continually maintained and modified (as needed) the BSA Program, including, but not limited to, Enhanced Due Diligence, Customer Due Diligence, Customer Identification Program, Currency Transaction Reporting, 314 Information Sharing and OFAC in accordance with Federal Reserve Bank expectations; responsible for management of four employees in the AML Risk Management area within Corporate Compliance; oversight of Quality Assurance Reviews of business units with the Bank, which are conducted to ensure adherence to the BSA Program and that adequate controls are in place; assisted in the development, planning, implementation and maintenance of compliance training programs for compliance activities and monitoring processes covering high risk compliance activities; conducted training as needed for new hires, front line branch staff and business units with BSA/AML compliance responsibilities as they related to CIP/CDD/EDD, OFAC, 314; participated in BSA/AML/OFAC compliance audits by Internal Audit and FRB/State examinations and was one of the primary contact persons during these audits and examinations; compliance liaison for business units enterprise wide to ensure that BSA/USAPA/AML/OFAC requirements were being met.
BSA Administrator, 10/2006 to 03/2007
BSA Administrator, 10/2006 to 04/2007
NA – City , STATE
NA – City , STATE
- Assisted the BSA Officer with the BSA/USA Patriot Act Risk Management Compliance Program ("BSA Program"); performed Quality Assurance Reviews to ensure that business units' adherence to BSA Program, including appropriate monitoring, documentation and identification/mitigation of risks; reviewed and revised policies, procedures and forms, as necessary; monitored business units for compliance with Customer Identification Program, Customer Due Diligence and Enhanced Due Diligence.
Vice President & Counsel, 08/2003 to 10/2006
Bank Of Hawaii, Corporate Compliance – City , STATE
Bank Of Hawaii, Corporate Compliance – City , STATE
- In-house counsel for Bank of Hawaii, providing legal advice to various areas in the bank, including Compliance, Corporate Security, Client Relations, Training & Support, Consumer & Commercial Collections & Recovery, International Trade Operations, Hawaii Branch Division and other areas as needed.
ATTORNEYS AT LAW, 12/2002 to 07/2003
Bank Of Hawaii – City , STATE
Bank Of Hawaii – City , STATE
- Primarily debt collection practice for Bank of Hawaii and various leasing companies; assisted litigation department with legal research and drafting of court documents; some employment and real estate law.
Partner, 06/2001 to 11/2002
Of Counsel CHUN KERR DODD BEAMAN & WONG – City , STATE
Of Counsel CHUN KERR DODD BEAMAN & WONG – City , STATE
- Primarily debt collection practice for Bank of Hawaii and various leasing companies.
Associate Attorney, 05/1990 to 03/1993
SAKAI & SAKAI, LLP – City , STATE
SAKAI & SAKAI, LLP – City , STATE
- Legal research; drafting of various real estate and corporate documents, including loan documents and land use documents; limited experience in litigation matters.
Audit Leader, 05/2016 to Current
OSHIMA CHUN FONG & CHUNG – City , STATE
The Audit Leader is primarily responsible for the follow up and validation of BSA/AML, Sanctions recommendations primarily as well as other compliance related recommendations issued by the Inspection Group and by Regulatory Agencies. The Audit Leader is expected to support and execute the Inspection Group's findings follow up methodology through direct follow-up or through participation in Audits as well as continuous monitoring activities. The Audit Leader will have regular interactions with other team members, business units, and/or the regulatory relations group in the course of their daily activities.
OSHIMA CHUN FONG & CHUNG – City , STATE
The Audit Leader is primarily responsible for the follow up and validation of BSA/AML, Sanctions recommendations primarily as well as other compliance related recommendations issued by the Inspection Group and by Regulatory Agencies. The Audit Leader is expected to support and execute the Inspection Group's findings follow up methodology through direct follow-up or through participation in Audits as well as continuous monitoring activities. The Audit Leader will have regular interactions with other team members, business units, and/or the regulatory relations group in the course of their daily activities.
Education
J.D.: Law, 1990
WILLIAM S. RICHARDSON SCHOOL OF LAW - City, State
WILLIAM S. RICHARDSON SCHOOL OF LAW - City, State
Bachelor of Science: Human Development, 1981
University of Hawaii - City, State
Diploma in Human Development
University of Hawaii - City, State
Diploma in Human Development
Additional Information
- UNIVERSITY OF HAWAII AT MANOA HONOLULU, HAWAII HAWAII STATE BAR ASSOCIATION, INACTIVE MEMBER STEP UP TO EXCELLENCE, QUARTERLY AWARDEE (BANK OF HAWAII)
Certifications
CAMS
Pacific Coast Banking School
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Resume Overview
School Attended
- WILLIAM S. RICHARDSON SCHOOL OF LAW
- University of Hawaii
Job Titles Held:
- Senior BSA/AML Auditor
- AML Operations Team Leader
- FINANCIAL INTELLIGENCE UNIT
- BSA/AML Risk Manager
- BSA/AML RISK MANAGER
- BSA Administrator
- Vice President & Counsel
- ATTORNEYS AT LAW
- Partner
- Associate Attorney
- Audit Leader
Degrees
- J.D. : Law , 1990
Bachelor of Science : Human Development , 1981
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