Carl Steele

*** ******* ****** • Baldwin, NY ****0 • 516-***-**** • acvhxl@r.postjobfree.com

Objective – Compliance Associate

Financial Service / Operations Team Building / Training Risk Assessment / Mitigation Regulatory Compliance Security Data

Project Management Strategic Analysis / Planning Account Migrations Quality Assurance Audits Key reports / Metrics

Top performer who offers experience in high-volume financial operations within fast-paced, solutions-driven environments, including identifying and implementing improvements to streamline processes and achieve goals.

Ambitious self-starter who demonstrates superior attention-to-detail and sharp analytical abilities, including planning and prioritizing efforts to complete simultaneous tasks and projects within strict, high-pressure deadlines.

Financial Services Highlights

Migrated 10,000+ investment accounts from New York to Pittsburgh while ensuring seamless operations despite a 20% reduction in staff, and additionally coordinated migration with business analysts and programmers in both locations.

Generated a 30% increase in bank revenue by performing fee schedule increases for 10,000+ accounts at migration.

Achieved a 99% average performance rate by conducting QA reviews for Trust, Custody, and Investment accounts.

Professional Synopsis

Anti- Money Laundering Investigator, Astoria Bank – Lake Success, NY 2015 -2015

Perform reviews of transactions activity to identify and prevent money laundering, structuring, and terrorist financing. Conduct investigations utilizing appropriate research techniques to evaluate activity which includes the use of bank systems internal and external vendor solutions.

Escalate unusual or suspicious activity to AML management for review.

Interact with branch personnel to obtain account information which includes account openings documentation that details a customer profile.

Keep current on money laundering trends, preventive measures and procedures ensuring compliance with Bank Secrecy Act and the USA Patriot Act. Ensure compliance with all regulations, policies, and procedures.

Compliance Analyst, JPMorgan Chase & Company, New York, NY Consultant 2014- 2014

Conduct an enterprise-wide screening on account holders and their transactions looking for known or suspended money launderers, terrorists or drug dealers based upon OFAC guidelines and politically exposed people watch list.

Determined and evaluated the risk factors, the Bank’s exposure, then escalated to the highest level – Sanction Operation and Anti-Corruption Team.

Worked on multitude of internal accounting databases and online search tools, Lexis/Nexis, to scrub data and conduct analysis.

Quality Control Analyst, JPMorgan Chase & Company, New York, NY Consultant 2011 – 2013

Utilize broad scope of industry knowledge and dynamic financial acumen toward expertly conducting quality reviews and audits to proactively identify strengths and deficiencies to ensure credit accuracy, regulatory compliance, loan documentation, and development of reports and metrics to maximize bottom-line performance.

Drive business success by identifying root cause of existing issues impacting financial controls, along with resourcefully reviewing internal systems to determine irregular activities and documenting findings.

Billing Supervisor, The Bank of New York Mellon, New York, NY 1997 – 2008

Played a vital role in supporting the bank’s Wealth Management Unit and branches by managing all inquiries, new account openings / closings, and account maintenance, as well as developing new processes to improve results.

Managed 10,000+ specific groups of Trust and Investment accounts ranging from $100,000 to $50 million in value, including calculating commissions and posting predetermined fee schedules to bank journal entries.

Education, Professional Development & Technical Summary

Bachelor of Arts in Economics (Business Minor) Long Island University

Financial / Leadership / Computer Courses Completed: Advanced Money Laundering and Know your Customer.

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