I have been in the Financial industry for over twenty years. I have a great track record with the entity, because of my dedication and commitment. I consider my-self as a problem solver, always looking into the best interests of both, the client and the company. I 'am a self-motivated person and I motivate my team members every day.
Responsible to manage a team of fifteen analysts for assuring that client accounts are opened in compliance with applicable policies and procedures as well as U.S. and local laws and regulations.
Responsible to write, update and implement policies and procedures of the KYC/Documentation & Onboarding Unit, including documentation requirements, PEPs definition, CIP , Negative Media, and Client due diligence, to comply with global policies and local regulations.
Responsible to prepare training material and provide with workshops sessions on new KYC and documentation requirements; changes in internal policies, procedures and regulations to the Commercial Area.
Responsible to prepare and present KYC/Documentation & Onboarding Unit statistics and material information to the BSA/AML Committee.
Responsible for the FATCA program implementation including the policies and procedures preparation, systems requirements, training material and audit coordination.
Responsible for the Client Risk Matrix Methodology implementation including factors and weights definition, systems requirements and testing. Assist in development of a Quality Control process to identify data inconsistency that could have in the client risk rating.
Participated in special projects such as ten portfolio acquisitions as part of the due diligence team, and as coordinator for the clients review and documentation projects.
Leader for a special documentation project in another Private Banking unit giving her exposure to local regulatory requirements.
Assist to coordinate Internal Auditors and Federal Reserve Examiners visits, by generating resorts, information, documentation and meetings.
Participate in key strategy projects such as upgrades in systems, enhancements on existing tools, new tools implementation, by assisting with the business requirement development process and documentation, fields mapping, workflows definition, testing and implementation.
Responsible to perform sales practices evaluations on the Commercial Area, by reviewing documentation related to clients risk investment profile and call reports.
Responsible to perform analysis on large transactions, product concentration, clients portfolio which deviate from the initial investment profile, and follow up with the Commercial area in order to obtain the required documentation.
Responsible to monitor discretionary portfolios deviation, documentation and cancellation process.
Responsible for the implementation of an Investment re-profiling project.
Responsible to prepare monthly reports for the Management Committee.
Responsible to review account opening documentation forms and perform a per-screening on parties involved in the account.
Review corporate documents and prepare an analysis report on company's ownership structure, governance and controlling parties.
Assist the Compliance Department with the client's review an analysis.
Supervise the Client Information Data Unit to ensure that required information is included in the bank's system.
Responsible to update procedures and documentation requirements.
Lead an important sovereign and corporate bonds corporate action on debt re-structuring, by reviewing offer terms and prospectuses, preparing documents to be signed by clients, collecting and consolidating responses in order to submit bulk instructions to the custodian.
Responsible for customers complaints.
Responsible for corporate image.
Responsible for new businesses and products.
Risk matrix methodology implementation
Policies and procedures
Training and Workshops
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