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Senior Officer AML Investigations--Quality Assurance Resume Example

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SENIOR OFFICER AML INVESTIGATIONS--QUALITY ASSURANCE
Summary
Anti-money laundering and quality control professional with nearly 20 years of credit card, retail, and correspondence banking experience. Areas of expertise include: fraud investigations, quality assurance, compliance programs, risk management, auditing, and cross-functional communications. Driven by the ability to enhance processes and mitigate potential risk.
Skills
  • Knowledge of Anti Money Laundering (AML) laws and concepts
  • Suspicious activity report (SAR) writing
  • Vigorous investigative and analytical skills
  • Ability to multi-task in a constantly changing environment 
  • Strong problem-solving ability
  • Coordinated investigations with local and federal law enforcement
  • Self-starter with strong communication skills
  • Sound judgment
  • Detailed oriented 
  • Proficient with Word, Excel and Access
Experience
Senior Officer AML Investigations--Quality Assurance04/2016 to CurrentHSBCWilmington, DE
  • Reviewed cases from the alert status through SAR filing
  • Performed 170 quality control reviews monthly
  • Ensured accurate, high quality Investigations which conformed to internal procedures and regulatory requirements
  • Executed quality reviews for multiple lines of businesses including; Retail, Wealth Management, Private Banking, Correspondent Banking, Trade, and Embassy accounts
  • Interpreted case transactions for high risk money laundering concerns such as; Office of Foreign Assets Control (OFAC), sanctions, terrorist financing, weapons, and human trafficking
  • Deciphered high risk attributes to include; geographical, transactional, senior public figures, and money service businesses
  • Analyzed sensitive, complex investigations with large amounts of data
  • Ensured case disposition was adequately supported by documentation and research
  • Reviewed SAR(s) for completeness and accuracy of content
  • Identified trends, analyzed cause and effect, and recommend solutions
Anti-Money Laundering Investigator10/2013 to 06/2015Capital OneWilmington, DE
  • Identified and evaluated accounts for evidence of AML activity using system generated reports, client onboarding, transaction monitoring, and Currency Transaction Report (CTR) filings
  • Rotated between two teams in Anti-Money Laundering Unit: Alerts and Cases
  • Conducted 15 in-depth AML case investigations weekly with 2% resulting in SAR filings
  • Dispositioned and fully documented 60 alert reviews per week with 3% raised to a case level
  • Performed in-depth investigations using information obtained from internal reports, internet research, and LexisNexis findings 
Audit/Quality Specialist through Assistance Vice President, Credit10/1997 to 09/2004CitibankNewark, DE
  • Directed three departments encompassing four Supervisors and 90 employees
  • Conducted quarterly compliance testing
  • Identified and tracked risk issues
  • Implemented new controls to eliminate process deficiencies
  • Created and implemented quality assurance program
  • Supervised the quality assurance program for over 300 employees
  • Orchestrated 20 process improvements quarterly
Senior Credit Card Fraud Investigator (1998-1997)05/1988 to 10/1997Discover CardWilmington, DE
  • Headed major fraud cases, coordinated investigations with Federal and local law enforcement resulting in numerous arrest
  • Investigated account takeovers, fraudulent applications, non-receipt of credit card, and stolen cards
  • Interviewed customers and merchants
Education and Training
• Fraud & The Bank Security Act presented by Health & Human Services -- 2017
• What is a "Boiler Room" presented by Homeland Security-- 2017
• Human Trafficking presented by Homeland Security and ICE-- 2017
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Resume Overview

Companies Worked For:

  • HSBC
  • Capital One
  • Citibank
  • Discover Card

School Attended

  • • Fraud & The Bank Security Act presented by Health & Human Services -- 2017
  • • What is a "Boiler Room" presented by Homeland Security-- 2017
  • • Human Trafficking presented by Homeland Security and ICE-- 2017

Job Titles Held:

  • Senior Officer AML Investigations--Quality Assurance
  • Anti-Money Laundering Investigator
  • Audit/Quality Specialist through Assistance Vice President, Credit
  • Senior Credit Card Fraud Investigator (1998-1997)

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