James Nesfield

H 252-***-**** acwfdq@r.postjobfree.com

Summary of Experience

Compliance Reviews on various Investment Products such as Separate Accounts, Collective Funds, Mutual Funds, Hedge Funds, and Private Limited Liability Partner ships. Extensive Prime Brokerage Counterparty Risk Exposure Audits, KYC, BSA, AML, Compliance, Derivative, On boarding of Clients (CIP), Mortgage, Total Return Swaps Administration for Hedge Fund Clients experience having worked in the Wall Street banking and stock brokerage environment for over 30 years. Experience in domestic and international projects that involved compliance reviews and anti-money laundering. Heavy experience in residential and commercial mortgage operations. In depth knowledge of computer applications, Windows, Word, Excel, Access, WorldCheck, MortgagePlus Servicing, Adobe, Contour, Calex. Other programs included, banking derivative operations, Norkom, Sungard, and programs responsible for tracking KYC, BSA, and OFAC compliance. Worked with IP monitoring risk for ACH systems for NSF and Fraud using various monitoring systems in conjunction with on-line payments and processing.

Reviewed Investment Performance of Collective Investment Funds (CIF) for Department of Labor DOL Compliance, and associated risk such as compliance, operational, strategic, and reputation, primarily for liquidity purposes.

Reviewed Investment Plan Documents versus performance for analysis

Created SQL Queries and Procedures to isolate anomalies, deficiencies, risk, and business processes unique to applications and platform needs.

Created reports of findings using Business Objects and Microsoft SQL Server 2005 Reporting Services.

Created technical documentation detailing the mapping and translation routine required by the business process such as lderived risk numerics, reference data, and refresh sequencing.

Project Manager Small Family owned Money Transmitters and ATM Operators in North Carolina. 6.2015 to Current.

Organized policy and procedures for AML Compliance in conjunction with request from State and Federal regulators for SOP document Organized and centralized an office to service 24 Family Owned Pawn Shops, ATM Operators, and Jewelry Stores to achieve compliance with various reporting and monitoring mandates.

Business Analyst: Regions Bank Birmingham Alabama 1/2015 to 6/2015

Enhanced Due Diligence for high risk clients using Actimize and Norkom

Wrote procedures and composed compliance matrix of documents for Foreign and Domestic Clients. Researched implementing Pharmaceutical Vendors, Geographic High Risk Areas, Reviewed CTR processes, and reworked business processes to align with application platform. Sourced reference data for various requirements.

Employed SQL Queries and Procedures to isolate the deficiencies within a repository for the required documentation.

Created SQL Queries to generate the findings and the progress of the ongoing Due Diligence effort.

Business Analyst: Guggenheim Investments Rockville MD 1/ 2014 to 1/2015

Reference Data Analyst Charles River, Blackrock Aladdin Data Integrity Project, Actimize intergration of KYC and OFAC.

Working with reference data needed to satisfy Compliance requirements and augment the subscriptions with “per security” request as well as using derived analytical methods to meet the needs of client. Conducted research on expected return values versus request using FTP, XML, and various methods to obtain data, transform, and normalize.

Performed data analysis of source data (BIC, GIC, DTCC, NSCC, SEC EDGAR) transformed and created translator for system defined field elements. Worked with Data Model Standards, updated and documented source and mapping charts, developed and populated validation test for reference and market data. Maintained refresh schedule for securities and entities. Worked with standardized procedures for validation of ETL via Stored Procedures and parsing requirements using SQL. Tested system via reports designed to isolate issues. Performed automated dirt string to isolate potential reputational risk.

Employed SQL Queries to determine the exceptions for Compliance purposes unique to 40 Act Companies.

Reported using SSRS and Crystal Reports the progress of the exception clean up and wrote technical specifications and scripts for feeds and translations.

Reviewed 40 Act ( Mutual Funds) and Collective Investment Plans for compliance purposes for the various risk associated with each product.

Created AdHoc reports for Board Members with graphic and statistical tools for MIS Reports.

Business Analyst : Suntrust Mortgage 1/ 2012-1 /2014

AML FRAUD INVESITIGATIONS

Compensatory Claim rebuttal, Repurchase claims. Worked remotely. Review servicing notes and documentation to respond to compensatory claim as well as repurchase claims. Reviewed Fannie Mae and Freddie Mac claims.

Created SQL Queries and Procedures to isolate potentially fraudulent mortgages and mortgage applications.

Employed Business Objects to report the findings specifically the repurchase risk.

Business Analyst: Fannie Mae 1/ 2011- 1/ 2012

AML FRAUD INVESTIGATIONS

Servicing review on site, repurchase claims. Worked remotely. Reviewed servicing notes, documentation, underwriter criteria to create repurchase demands.

Queried Databases to Isolate from Servicing portfolios delinquent mortgages along with document deficiencies

Maintained reporting database and MIS reporting using Business Objects.

LOYOLA TRUST LONDON LONDON, UK 1/ 2008-1/ 2011

Business Analyst: Anti Money Laundering Operations and Risk Exposure

Charles River Portfolio determined ultimate owner for OFAC and other regulatory requirements. Composed rules to determine violations using amended SQL by Charles River to monitor for compliance violations in the client accounts and portfolio transactions.

Audited and Investigated foreign accounts for suspicious activity involving wire transfers for securities and derivative operations. Audited and Investigated false documentation. Investigated foreign accounts Audited and Investigated and set up systems for isolating false documentation. Other responsibilities included AML programs,reporting suspicious activity verifying the identity of customers,due diligence measures for certain accounts involving foreign persons,transactions in excess of $10,000 in currency,foreign bank and financial accounts. International transportation of currency or monetary instruments. Verified Authorities of Clients and credit extended against trade registry, verified reporting to third party administrators and compared reporting to source reports.

Information sharing among financial institutions and law enforcement. Information sharing among financial institutions an law enforcement. Developed AML programs that covered internal policies,procedures and controls. The designation of a compliance officer,an ongoing employee training program and an independent audit function to test the program. In depth experience with Backrock Aladdin.

Created SQL Queries and Procedures to isolate and determined the deficiencies within the repository of customer documentation.

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Business Analyst: CAPITAL ONE BANK 1/ 2004-1/ 2008

Transaction Audits for Counterparty Risk, Stock Loan, Analyst/Merger/AML/BSA/KYC

Examined the activities of a three bank merger. Capital One, Hibernia

and Northfork. Examined suspicious high risk commercial accounts for all banks

involved in the merger for evidence of money laundering activity, documentation

fraud, wire transfer, stock and mortgage fraud. Reported to management my findings

and created Suspicious activity reports. Verified Authorities of Clients and credit extended against trade registry, verified reporting to third party administrators and compared reporting to source reports.

USAID Capital Markets 1/ 2001- 1/ 2004

Counter-party Fraud Investigations

Chief of Party Kazakhstan Capital Markets

Organized Participants to improve overall compliance with regulatory oversights and implemented business rules to adhere to the legislation.

Independent Consultant to Various Hedge Funds 1/ 1990 – 1/ 2001

Counter-party Risk and Leverage Sourcing Consultant.

Organized trading and leverage with institutional platforms including stock loan, intra-day lending and reporting regimes involving complex chains of third party administrators for feeder funds and fund of funds.

Trader Listed Options, Listed Stock, US Treasuries, and Corporate Bonds 1972 -1990

Worked as Trader on Equity Block Desk, Made OTC Markets, Acted as Brokers Broker for Distressed and Bankrupt Bonds, Sourced Assets for Institutional Clients.

Herzfeld Stern and Kidder Peabody

Education: Rochville University Baltimore MD. 1972

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