Project Manager Quality Assurance
Resume:
***-** **** ***., ****** 917-***-****
Apt.*** E-mail:
Jamaica, N.Y. *******@***.***
Ernestine Hurdle-Robinson
Employment
August 2012 - October 2012 HSBC Technology and
Services USA, Jersey City, NJ
Compliance Monitoring Enhancements, Global Payments and Cash
Management
Ceiling Threshold Review Project, Investigator
Reviewed low and medium risk transaction alerts generated in
Norkom; escalated any transactions that were potentially
suspicious.
Complete and update monitoring spreadsheet.
Reviewed daily, weekly and monthly transaction ceiling threshold
alerts.
May 2012 - June 2012 Credit Suisse, New
York, N.Y.
Private Advisor, Central Compliance Group, CID Analyst
Know Your Client/ Client Identification Remediation Project
Review existing client accounts for approval in the Americas.
July 2009 - March 2012 Citigroup N.A., Long
Island City, N.Y.
Citigroup Smith Barney, New York, N.Y.
Global Wealth Management, Compliance- Financial Intelligence Unit
Research weekly 314A and Ad Hoc projects.
Daily review and escalation in Name Entity Screening System for
Client Onboarding Unit; SPF and PEP's.
Perform due diligence on all risk levels of institutional
accounts for new and existing clients.
Compile research from various sources, both internal and
external, to meet KYC requirements.
Monitor EDD queue of all new/existing accounts for review and
assign to analysts.
Open and manage Client Onboarding cases in Actimize.
Daily review and escalation of OFAC list, Politically Exposed
Persons and CDC Alerts for AML team.
June 2008 - October 2008 Bank of
New York Mellon, New York, N.Y.
Investment Banking, Compliance - Anti Money Laundering
Analyze due diligence and complete the Client Identification
profile for institutional remediation accounts.
Compile internet research and supporting account documentation
for quality assurance review.
Complete the Business Customer Profile for Relationship Manager
and Division Head approval.
August 2007 - June 2008 UBS Investment
Bank, Stamford, CT
Client Onboarding, Municipal Securities Organisation
Client Vetting Unit - Responsible for approval and opening of all
new and existing institutional accounts.
Review "Know Your Customer" documentation from the Business Desk
i.e. Preliminary Offering Statements, Capital Commitment
Memorandum for bond issuances and remarketing syndications.
Research institutional, municipal and non-profit organizations
via the internet and various databases to gather identifying
client information for each account.
January 2007 - April 2007
HSBC Securities (USA), New York, N.Y.
Client Services Unit, Onboarding Account Management
Client Look Back Project - KYC/CIP analysis on existing
institutional accounts.
Create updated KYC profiles using due diligence tools to insure
compliance with bank AML procedures.
Prepare approval Business Customer profiles for management
approvals.
January 2005 - December 2006 Deutsche
Bank, New York, N.Y.
Investment Banking Risk & Credit Management
Special Projects: NYSE Audit, Prime Broker Review and KYC
Institutional Revalidation Documentation Imaging Implementation
Reviewed account documentation and due diligence to meet quality
assurance standards.
Team leader on Documentation Imaging of compliance documents
Prepared client information packets of required documentation for
weekly mailings.
Liaison with sales assistants and managers on Daily Violation and
Settlement reports.
Assisted project manager in KYC presentation and training for new
hires.
May 1989 - May 2002
PaineWebber New York, N.Y., Garden City, N.Y.
Assistant Operations Manager, Client Service Associate, New
Accounts Administrator, Senior Wire Operator
Provided support to the Operations Manager with branch management
and administrative directives, compliance and financial advisor
requests and inquiries.
Manages the branch error accounting and reporting, reconciling
trade discrepancies, adjustments and corrections.
Calendar maintenance and project management for operations staff.
Client service; expedited all client requests both written and
verbal regarding account approvals, openings, transactions for
trading, credits/debits and account transfers and closures.
Processed "real time" equity, option, municipal, mutual fund,
annuity and commodity orders for the branch.
Prepared and compiled new account documentation for all accounts.
Skill set Programs: Microsoft Office, Word, Excel, Access, PowerPoint,
Adobe Acrobat, Bloomberg, Norkom, Actimize, WorldCheck, Factiva,
Lexis Nexis,WestLaw, Lotus Notes, Ascent-Kofax Imaging
References Available Upon Request
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