Kenneth Anthony Lee, BA, CAMS

** ***** *****, ******, ** 08859-2501

908-***-**** / acg0ns@r.postjobfree.com

Core Professional Skills:

• OFAC compliance and risk assessment • Regulation research and analysis

• High-risk account analysis and assessment • Third-party due diligence

• Customer due diligence and enhanced due diligence • Trade Finance risk mitigation

• Policy and Procedures development and enhancement • Data mining and analysis

• Effective staff trainer and development • Excellent oral presentation skills

• Compliance risk assessment and controls • Quality Assurance Reviews

• SAR QA and Law Enforcement relations • Bank examination management

experience

Education:

Association of Certified Anti-Money Laundering Specialists (ACAMS)

o

American Bankers Association: Bank Secrecy Act and Anti-Money Laundering Training

o

General Electric: Six Sigma Training (Green Belt achieved)

o

Board of Governors of the Federal Reserve System: Examiner Certification Program

o

American Institute of Banking: Compliance Training

o

Rutgers University Graduate School of Management, Newark, NJ: MBA course work

o

Robert Morris Associates (RMA) Philadelphia, Pa: Lending To Commercial Businesses

o

Oberlin College, Oberlin, OH: Bachelor of Arts: Mass Communications Studies

o

Certification:

o Certified Anti-Money Laundering Specialist (CAMS) #845572

Employment History:

Sterling National Bank (Post merger with Provident Bank) - Montebello, NY:

2013 to 10/2014

FVP, BSA/AML/Financial Crimes Investigation Unit - Advisor

Provide regulatory and process advice regarding BSA, AML, financial crime and OFAC compliance to

the combined bank’s BSA/AML/Financial Crimes Investigations Unit. Perform targeted business unit

training, developed and led roll out of a new, robust customer onboarding tool which include KYCC

elements. Monitor specialty business lines customer base, with focus on customer, account and

enhanced due diligence. Provide advisory support to the bank’s consumer compliance function.

Received a significant retention bonus during merger integration.

Sterling National Bank- New York, NY: 2004

to 2013

FVP, Deputy Compliance Officer and OFAC Officer

Provide compliance oversight for bank and bank subsidiaries. Schedule and perform bank

compliance reviews, high-risk account reviews and support for bank Marketing Department.

Developed and conducted training for subordinate compliance department staff, new employees and

business units. Compliance department manager. Enterprise OFAC SME.

Provide KYC, ADD, CDD and EDD compliance guidance to bank’s business units. Developed compliance

department policies and procedures with focus on OFAC compliance and anti-money laundering testing.

Kenneth Anthony Lee, BA, CAMS

28 Glynn Court, Parlin, NJ 08859-2501

908-***-**** / acg0ns@r.postjobfree.com

Oversaw SAR reporting and high-risk account activity monitoring process. Bank point of contact for USA Patriot

Act §§311, 314, 318, 326 and related FinCEN compliance mandates. Responsible for ensuring that foreign

correspondent bank relationships, MSB accounts and foreign embassy accounts were compliant with bank

policies and federal banking law. Managed SAR and CTR filing process. Managed bank’s USAPA §314(a) & (b)

process. Performed key elements of enterprise-wide money laundering risk assessment. Initiated and drove

acquisition and implementation of the bank’s first automated AML detection and monitoring software solution.

Provided compliance support to Fraud Team and Marketing Department.

Woori America Bank- New York, NY 2001 to 2004

SVP, Chief Compliance Officer, BSA/OFAC Officer:

Developed and implemented bank-wide compliance policies and procedures addressing federal and

state bank regulatory compliance requirements. Developed and performed staff and expatriate senior

bank officers’ compliance training. Worked closely with outside counsel regarding bank applications,

customer subpoenas and consumer complaints. Monitored suspicious customer account activity,

wrote and filed SARs and CTRs as required. Bank’s OFAC SME. Implemented CIP, KYC and

enhanced due diligence procedures. Performed enterprise BSA risk assessment, CRA and HMDA

analysis, data compilation and annual compliance reporting. Provided monthly compliance reports to

Board of Directors. Additional responsibilities included: Loan and deposit disclosure review,

Regulation O compliance, CRA Officer and new product review.

Madison Bank- Blue Bell, PA 2000 to 2001

AVP, Compliance Officer:

Developed and rolled out bank’s compliance policies and procedures. Provided compliance training to loan and

bank operations staff, officers and Board of Directors. Conducted fair lending reviews of loan portfolio, new

products and services. Assisted in review, investigation and reporting suspicious account activity. Managed

federal and state examinations. I oversaw the bank’s CRA compliance program.

GE Capital Mortgage Services, Inc. - Cherry Hill, NJ 1998 to 2000

Department Manager, Regulatory Compliance:

Responsible for ensuring that GE’s compliance policy was established, implemented and monitored for

first mortgage, correspondent and home equity originations, to comply with state and federal

mortgage lending laws and regulations. Managed Regulatory Compliance Project teams and state

examinations and state licensing process. Managed forms and loan disclosure control design to

ensure compliance with federal and state compliance requirements, updated and enhanced

company compliance procedures. Researched and communicated state and federal mortgage

lending legislation impacting business units.

Federal Reserve Bank of Philadelphia- Philadelphia, PA 1991 to 1998

Assistant Senior Examiner:

Department of Supervision, Regulation and Credit. Performed risk-focused consumer compliance

field examinations assessing Third District, state member banks’ compliance with federal banking

regulations.

Professional Associations:

American Bankers Association (ABA)

Association of Certified Anti-money Laundering Specialists (ACAMS)

Technical Skills:

Proficiencies: MS Office applications including Word, Excel, PowerPoint

Kenneth Anthony Lee, BA, CAMS

28 Glynn Court, Parlin, NJ 08859-2501

908-***-**** / acg0ns@r.postjobfree.com

Military:

US Army Reserve: Co. C, 11th Special Forces Group (ABN)/HHD, 1st Bn - Honorable discharge 1988.

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