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Resume alert |
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Hauppauge, NY
... FINRA licenses currently held: Series 4, 7, 24, 27, 52, 53, 63, 99, SIE PROFESSIONAL EXPERIENCE SALOMON WHITNEY, LLC a/k/a SW Financial Melville, NY November 2019 – May 2023 Chief Compliance Officer, Operations Principal, AML Officer Responsible for ...
- Apr 25
Bronxville, NY
... com) New York, NY, 02/17 – 03/19 PRODUCT & PROGRAM MANAGER ● Led a new Financial Crimes (AML) platform build, superseding multiple legacy ad-hoc point systems, enabling entry into a Managed Services market ● Led stakeholders to define goal/approach; ...
- Mar 27
White Plains, NY
... repository ●Draft, edit and negotiate contractual terms of agreements ●Conduct preliminary compliance review (KYC, FINRA/OFAC, AML) for all prospect customers to determine eligibility of service ●Investigate areas of risk to ensure compliance with ...
- Mar 11
Garden City, NY
... in order to remediate significant deficiencies Worked with clients to perform testing on compliance with provisions of AML/BSA, FATCA, Fair and Accurate Credit Transactions Act, and Regulation 9 laws Designed and executed tests of key controls; ...
- Feb 18
Plainview, NY
... • Build visual flow charts using VISIO from requirements gathered • Strong understanding in AML/CTF and sanctions • Working with business partners/stakeholders to elicit and document high level requirements via JAD sessions • Designing and ...
- Feb 15
Farmingdale, NY, 11735
... Monitored branch activities for compliance with BSA and AML, reporting issues to Loss Prevention Department. Conducted monthly meetings with staff to review performance, discuss challenges, and provide support. Planned and completed group projects, ...
- Feb 03
Huntington Station, NY
... • Prepare, review and submit Company ADV • Prepare review and submit 13H and 13F • Conduct AML and KYC due diligence. • Conduct trade surveillance for client and employee accounts. • Review and update the employee handbook to ensure all company ...
- Jan 31
Huntington Station, NY
... Coordinate responses to RFPs, RFIs, SAR, AML, KYC, SEC reporting. Professional Experience BNY Mellon, New York, NY Operations Relationship Manager – Corporate Trust 1996-2007 Mortgage-Backed Securities Relationship Manager within the Corporate Trust ...
- Jan 25
White Plains, NY
... OF THE REFINERED PRODUCT,WHETHER IT BE(LPG,J1,J54,OR BONY LITE OIL PRODUCT.FOR I AM A MANAGING PARTNER WITH A OIL COMPANY.AML,KYC AND ANTI-FINANCIAL CRIMES SPECIALIST DUE DILIGENCE AND WORK PRODUCT COMPLIANCE,OFTEN USING THE BLUE FRMS FOR THE ...
- Jan 18
Uniondale, NY
... Carried out management responsibilities in accordance with Chase policies, compliance, KYC and AML and applicable state laws for the team of underwriters including training, coaching, supervising, motivating, planning, assigning and directing work; ...
- Jan 15