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Manager Sales

Location:
Forest Hills, NY, 11375
Posted:
November 02, 2012

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Resume:

I r is Ponce

***-** *** * ****** (#***) T el: 917-***-****

Forest H ills, NY 11375 E mail:

i r ab8xmh@r.postjobfree.com S U M MARY

Bi-lingual Compliance Analyst delivers an extensive, proven t rack record of success.

I n banking having conducted research, managed global teams, and led

organizations through regulatory compliance while possessing core competencies in:

• Investigation in Alert t ransaction and AML monitoring activity

• Analyst KYC, AML Investigation & Documentation to comply with

Compliance Standards;

• Know Your Customer (KYC) Document Review, approval, Translations Anti-

Money Laundering Policies and administered USA Patriot Act Regulation.

• Customer Identification Program Management;

• Funds Transfer Activity, Collections, End-of-Day Bank Transactions; and

• Risk Management.

PROFESSIONAL EXPERIENCE

AML COMPLIANCE INVESTIGATOR (Consultant)

HSBC, New Jersey City 08/12 – 10/12

I nvestigating automated alert monitoring activities conducted by the HSBC North

A merica Holding Inc. AML compliance payment and cash management .

• Responsible for reviewing alerts generated automatically by Norkom system.

• Escalating any transactions that are potentially suspicious to their Team Lead

• Conduct AML monitoring for the correspondent banking and Corp account maintained by

the cash management business.

• Worked in the ceiling Threshold review project, review transaction from Jan thru June.

AMLCOMPLIANCE INVESTIGATOR (Consultant)

Citigroup, Long Island City 09/10 – 8/12

I nvestigating alert generated due to activity related to money laundering, terrorist

f inancing or other related financial crimes in the wealth management In ternational

p rivate banking Unit.

• Manage investigation and work cases to completion according to internal Citigroup AML

process and procedures.

• Conduct research over internal bank systems, the Internet and database during case

investigations.

• Collect and examine financial statements and documents to assist in identifying unusual

transactions patterns.

• Review customer background; search for SARs in the internal bank system and send AIR

request to Relationship Manager, after review of the account and researching process is

completed and cannot explain the transaction. Before determine to close the alert or

escalated for further investigation for SARs.

INVESTIGATOR (Consultant)

HSBC New York, NY 05/10 – 6/10

I dentifies patterns of suspicious activity and investigate suspected cases of activity

related to money laundering, terrorist financing or other related financial crimes.

• Completes due diligence and money laundering investigations of existing customers.

• Review customer information files from all banking areas and/or conduct intelligence

gathering via third party sources.

• Correspond with US based Financial Analysis Unit (FAU) Manager, to verify information

and ascertain whether the activity is legitimate or if any further actions are required to

address the situation according to established procedures.

• Provide due diligence for potential and existing customers and parties involved in various

transactions to identify suspicious activity, structuring etc.

• Prepare reports on identified incidents of suspicious activity related to money laundering,

terrorist financing or other financial crimes.

C OMP L IANCE ANALYST

American Express Banking/Standard Chartered Bank 04 /07 - 02/09

Analyst worldwide Banks accounts to comply with compliance standards:

• Reviewed/approved KYC customer identification from respondent bank, to

ensure documents required by law and bank policy complied with

s tandards.

• Implemented and administered new USA Patriot Act policies to keep

banking division operational and avoid fines/penalties for lack of

compliance.

• Translated AML/ KYC documentation between Spanish and English to

ensure compliance and process new client accounts.

• Monitored regulations to incorporate with the review of KYC.

• Analyzed industry t rends and developments to determine changing client

requirements and a reas of country r isk .

• Ensure KYC and AML information met internal compliance standards.

• Conducted investigations using research during the KYC document review

p rocess.

• Monitored Bank Knowledge client database to ensure due diligence process

was followed.

• Provided guidance to worldwide relationship managers with regards to

client due diligence.

• Worked with remote global project team to conduct testing in order to

develop system-enhancements.

• Conducted monthly t raining to prevent r isk during analysis and regulatory

compliance.

ASSISTANT MA NAGER (P romotion)

Israel Discount Bank. New York, NY 12 /99 - 11/06

Responsible for supervising several staff members, and supporting the Sales

Representatives and Banking officers from Latin America:

• As an A class authorized signature approved to sign off on a wide range of

money t ransfers, 60-100 new accounts, and Team documentation.

• Supervised staff and supported Sales Representatives and Banking Officers

f rom Latin America.

• Reviewed staff funds t ransfers and time deposits, open account activity

daily and authorized t ransactions with authori ty guideline s w hile

i nteracting with in ternational Private Banking officers and managers.

• Conducted client due diligence, reviewed new accounts, KYC

documentation, before approving client accounts.

O FF ICER ASSISTANT 03/97- 12/99

Delivered a wide range of authorize signature responsibilit ies within Private

B anking unit:

• Served as a go-between Representatives in New York and In ternational Sales

Representatives to identify potential areas of r isk associated w ith new

accounts activity.

• Completed pending i tems and resolved documentation discrepancies.

• Provided client relationship management and issue resolution by working

i n conjunction with Customer Care Teams.

• Reviewed internal reports (overdraft reports, large i tems and significant

balance reports) on behalf of international bank customers.

• Monitored high r isk accounts for suspicious activity as mandated by the

Patriot Act.

• Reviewed fifty (50) payments daily received from Latin America and

p repared for processing before sending to other dept. on the bank to be

p rocessed.

ADD I T IO NAL SK I L LS

• Expertise with Excel, World Check, Lexis-Nexis, Factiva, Quick screen, On

Demand and Banker Almanac. Norkom system

ED UCAT ION

Queens College Flushing, NY.

Continuing Education course-work completed.

American I nstitute of Banking, New York, NY

Certification: Principles in In ternational Banking



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