Trey L. Otey

acvwgd@r.postjobfree.com:acvwgd@r.postjobfree.com

202-***-****

PROFESSIONAL EXPERIENCE:

Unitedlex, Richmond, Virginia March 2016 - Present

Project Attorney Document Review

Involved in a large scale pharmaceutical document review project. I was involved in coding documents for privilege, relevancy, responsiveness, marketing and miscellaneous other categories. Additional responsibilities included initial coding and Q.C. review.

●Native redaction

●Field redaction

●Tiff redaction

Burke and Herbert Bank, Alexandria, VA September 2015-March 2016

AML Investigator, Contract (Remote with some travel)

●Review and investigate transaction patterns utilizing the BSA Yellow Hammer transaction monitoring tool.

●Interpret AML risk standards and policies and procedures applicable to cases and make risk based decisions on whether to clear or proceed to draft SAR.

●Research, document, and analyze background information on Burke and Herbert’s clients through public record databases.

●Depending on DDA Account Level responsible for conducting a 2 Page synopsis of review and depending on the account then further conducting anywhere from 2-16 page analysis report of findings.

●Review and assign levels of risk for each customer to determine escalations and CTR’s.

●Determine whether the cash or wire transactions are consistent with the nature of business and the risk associated with customer if appropriate.

●Assist the AML Compliance team in areas outside of regularly assigned duties as is deemed necessary.

●Evaluated and QC (Quality Check) high profile, alerted party, and high risk cases and escalated depending on alert level to investigation team.

●Assist with special project related to SAR’s filings; Liaison between bank and client gathering information of why the CTR and SAR need to be filed. Responsible for looking at prior SARS filed within the internal database.

●Assist and review escalations from departments.

●Assist with develop an internal resource for database management to make the company’s workflow more productive.

●Ensuring the requirements of the U.S. AML Program is maintained at level corresponding with regulatory expectations.

Robert Half Legal, Denver, CO March 2015- June 2015

Senior AML Investigator, Contract (Remote with some Travel)

●Identified, analyzed, and reported high risk suspicious transactions in a timely fashion; On average 2-3 Suspicious transactions a month on high risk and international wire transfers.

●Analyzed key performance indicators of AML Compliance to identify areas of potential risk or non-compliance.

●Performed detailed investigations, prepared suspicious activity reports (SAR’s) and evaluated adequacy and effectiveness of management BSA/AML controls over transactions.

●Responsible for Enhanced Due Diligence by ensuring clients’ are in compliance with the Banks regulations.

●Prepared 2 page written memoranda or investigative reports maintaining adequate documentation and conducting follow up activities to support conclusions.

●Reviewed and assigned levels of risk for each customer and completed risk review on each alerted party.

●The cash or wire transactions are consistent with the nature of business and the risk associated with customer if appropriate.

●Utilized approved websites and systems such as Lexis Nexis, Google, World Check, FinCEN to identify negative or suspicious activity.

●Assisted with special projects related to AML controls, including reviews of high risk MSB (Look Backs).

●Reviewed all cases for accuracy/completeness and compiling the report, leading to a significant reduction in the error rate.

Ashford University Denver, CO June 2014– Feb 2015

Admissions Counselor

●Recruited students to attend college and assist them through the admission process and procedures when reviewing.

●Due Diligence Forms (DDF) to ensure that internal controls and regulatory processes are carried out.

●Reported student fraud with access Financial Aid received to students.

●Documented account analysis, database management.

●Responsible for Quality Assurance as it relates to compliance with federal and state law with title 4 funding to the university.

●Trained and took part in continuing education to better understand higher education and to research risk associated with our students and businesses practices.

Western Union, Denver, CO June 2013– January 2014

AML/BSA/Compliance Analyst

●Performed audits on all fraud or misrepresentation identified in origination QC audits, EPD audits, Investor Repurchase Demands, and Investor mandated audits. Conducted fraud and repurchase loan audits on distressed loans.

●Utilized fraud prevention, identification tools and various internal quality control procedures that validated the authenticity of the loan application data and property valuation.

●Audited fraudulent loans to determine origination deficiencies against Investor or MI guidelines. Risk review assessments and investigations.

●Conducted necessary EDD (Enhanced Due Diligence) research and audits to ensure that Western Union was in Compliance with the banking standards.

●Reviewed and Clear AML surveillance alerts.

●Completed Summary Reports of Findings.

●Entered all necessary data into the database, to be reviewed and, continuous analysis may be performed and client reports delivered.

●Updated client systems with review findings and saved supporting documentation to clients shared drive. Operation, FinCEN reports and using GIS for monitoring and tracking.

●Identified all avenues of recourse options available.

●Made final determination whether case investigation findings merit SAR filing or case closure.

Legal Source Legal Staffing Washington, D.C. August 2011-April 2012

E-Discovery Project Manager

●Plan, organize and manage high-risk high-demand e-discovery projects for large corporate clients and their law firms. This involves defining and managing scope, time, cost and quality of a project, as well as organizing cross-functional teams, resources and communications around it.

●Establish best practices in identification, preservation, collection, and delivery workflows.

●Serve as an eDiscovery representative on cross-functional, enterprise wide projects and initiatives.

●Advise and educate corporate clients and their law firms on risks, costs and opportunities associated with each e-discovery approach and work to determine the best suitable course of actions for a given project.

●Initiate and implement changes in company’s operational processes to streamline existing and add new procedures.

●Initiated, implemented and manage regular reporting mechanism used by senior management to measured company’s operational performance and analyze changes in business and industry.

●Perform cost-benefit analysis of potential client and internal improvement projects.

Law Office of Frank E. Shaw August 2007 – August 2011

Paralegal

Conducted research and wrote legal documents in federal and state criminal law, corporate law, civil litigation, immigration and personal injury cases including PERM applications, H-1B, L-1, TN and E visas and family-based petition; Participated in the drafting of legal documents including power of attorney, living trust, appellate brief, sentencing memorandum, discovery request, complaint and motion for summary judgment, partnership agreement, bylaw and other corporate legal documents.

Computer Experience:

●Norkom, World Check, Mantas, Actimize, Fiserv Risk Management, LexisNexis, MS Office Suite, Excel Relativity, Encord.

Investigatory Experience:

●Transaction monitoring, Lookback, SAR filing / SAR QA, Audit, Design Audit Plan, Complex International Wire transfers, Correspondent Banking, Retail Banking, Trust Accounts, KYC / EDD, Lookback.

Regulatory and Compliance Experience:

●Federal Anti-Money Laundering regulations, Patriot Act, Bank Secrecy Act, Homeland Security banking regulations, Ethics, Fair Housing Act, RESPA

EDUCATION:

University of Arkansas School of Law, J.D. MAY 2010

University of Central Arkansas, B.S. in Political Science DEC 2004

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