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Professional Summary
Seasoned Anti-Money Laundering (AML) Compliance Officer with 12 years of experience working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction.
Skills
PPE Compliance
SOX Compliance, IT General control, Risk/Compliance Assessment
Vulnerability Assessment
Risk Management Framework
Compliance Monitoring
Transaction Monitoring
Violations and Infractions
FINRA Rules
Supplier Audits
Continuous Quality Improvement (CQI)
Risk mitigation & commodity risk management
Quality Management System Compliance
Credit risk
Traceability Compliance
Audit Compliance
Quality Compliance Auditing
Work History
01/2021 to CurrentSenior Risk IT Compliance ConsultantIcw Group | , , Hunt Valley, MD
Preparing reports, metrics and research to support fraud prevention initiatives and projects.
Identifying potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
Responsible for building processes for responding to GDPR, CCPA, FCRA 609(e), and PIPEDA requests and for handling sensitive member escalations.
Maintaining fraud analysis models to improve PayPal Credit Systems.
Responsible for defining and overseeing the execution of the company’s enterprise process to achieve compliance with NIST, COSO framework
Developing reports, presentations, dashboards, and other metrics detailing identified security risks
Responsible for tracking compliance monthly metric risks report to ensure awareness of risks across all of PayPal's products
Implementing a customer risk rating criteria with KYC management and procedure for both consumer and corporate customer
Responding to subpoena requests and regulatory complaints and compiling metrics for analysis and presentation
Developed short-term goals and long-term strategic plans to improve risk control and mitigation.
Updated existing client KYC risk profiles to ensure compliance with CDD requirements as well as ATLAS country risk scoring and PEP materiality guidelines
Created and maintained comprehensive project documentation and make sure that project deliverables are in place and meeting quality requirements
Improved and implemented customer risk rating criteria with KYC management and procedure for both consumer and corporate customer
Assisted both client service managers with modeling, performance monitoring, and analysis, and reporting for various portfolio companies
Measured project performance and make appropriate adjustments to deliver project goals and objectives for the Maryland Tollway budget
Led the client through entire implementation lifecycle – deployment, adoption, and sustainability
Reviewed contracts and agreements to identify potential risks and ideal mitigation strategies.
Responsible for SAP ERP Post-Implementation Audit process for the tollway; actively involved in testing documenting financial records and identification and evaluation of control deficiency through remediation
Promoted enterprise-level risk management practices and helped instill strong culture focused on protective policies and procedures.
04/2014 to 06/2019AML/KYC Senior OfficerSC&H Capital | , , Ellicott City, MD
Managed $10 Million monthly US clearing fees and market exchange reconciliations, posting fee adjustments and providing rebates reports for client and client service teams
Global reconciliation of exchange fees for EMEA, USA, APAC and involves in production of metrics across all exchanges for revenue control teams
Identified potential compliance vulnerability and risk areas to develop and implement corrective action plans.
Performed the required KYC screenings on customers documenting the information obtained on the client's as required by global KYC procedures
Contacted clients and lenders to confirm loans, bonds, new and settled trade balances are correct
Responsible for Enhanced Due diligence reviews of Consumer and Business Banking customer
Effectively conducted AML /KYC formality reports on questionable accounts and transactions
Reviewed and monitored client accounts for potential matches to designated sanctions targets and prohibited persons lists
Audited and verified assets and liabilities by comparing items to documentation and balancing asset custody accounts
Supported integrated KYC requirements as needed, and performs other duties and special projects as assigned.
Assisted the financial reporting teams by reviewing financial information, disclosures, and implementing new accounting requirements to ensure compliance with US GAAP, IFRS, SEC reporting rules.
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