ANN DEHAESELEER

**W*** Farmview Court • Maple Park, Illinois 60151

abhq9i@r.postjobfree.com • H: 630-***-**** • C: 630-***-****

COMPLIANCE OFFICER

Accomplished finance professional well-versed in techniques for identifying compliance risks through

effective auditing and investigations. In-depth expertise in methods for driving compliance with federal

regulations and legislation including various tenets of the USA Patriot Act. Experience steering financial

intelligence and anti-money laundering efforts within the banking industry. Proven capacity for liaising with

key business decision makers in formulating strategies for maintaining adherence with regulatory

guidelines. Skillfully assemble and coach top-notch teams of multidisciplinary employees.

Core Competencies

• Corporate Compliance • Risk Assessments & Auditing

• Risk-based Monitoring Programs • Financial Reporting Controls

• Bank Secrecy Act • Regulatory Compliance

• Fraud Investigations • Consumer Lending Regulations

CAREER EXPERIENCE

JPMORGAN CHASE, St Charles, Illinois, Corporate Compliance Financial Intelligence Unit / Anti-money

Laundering (2004-2009)

Implemented policies and procedures to drive compliance with Federal Bank Secrecy Act, USA Patriot Act,

and anti-money laundering and terrorist finance legislation. Monitor and evaluate potential suspicious

activity in bank accounts via a wide range of techniques and referral channels. Facilitated responses to

and investigations into 314(b), subpoena, Comptroller of the Currency requests, and national security

letters (NSL). Pursued corrective actions to resolve compliance issues upon identification of regulatory

violations. Coordinated loss control efforts through internal audits and investigations. Composed and filed

suspicious activity reports.

• Recruited to position based on direct referral by compliance manager due to exemplary compliance

knowledge.

• Successfully investigated and closed case in which a banking center aided a customer in

structuring funds, resulting in termination of five employees.

• Played key role in three mergers including development and training of employees in all new

policies and procedures.

• Honored with Certificate of Recognition for above and beyond accomplishments in support of

JPMorgan Chase Corporate AML Compliance.

• Significant hands on Compliance experience in retail, mortgage, auto loans and credit card

• Preparing for ACAM’s certification when position eliminated

Assistant Banking Center Manager (1994-2004)

Guided, mentored and trained a team of 20+ banking employees in processing of daily financial

transactions. Coordinated efforts with police and fire departments in conducting safety and compliance

reviews. Coordinated loss control, compliance and customer retention efforts. Monitored and reviewed

performance of team members. Interviewed, hired and trained new employees. Scheduled employees to

ensure timely and accurate completion of daily activities. Responsible for P&L

continued...

DAVID SMITH • PAGE 2

• Skillfully initiated and responsible for multiple audits, all of which received passing reviews.

• Boosted pre-tax profit by 27.2 % by effectively instilling in team members techniques for delivering

top-notch customer service to ensure high retention / referral levels.

• Instrumental in cutting operating costs by 41% by filling in during busy periods, eliminating overtime

and limiting new hires.

• Consistently demonstrated an outstanding track record of customer service and retention, meeting

over 90% of all sales goals.

Prior experience with JPMorgan Chase as Lead Teller

TRAINING AND CREDENTIALS

Professional Development

Management Training Terrorist Funding Human and Drug Smuggling Money Service Business

Possible Money Laundering Money Launderers Use Black Market Red Flags in Money Laundering

Monitoring Teams and Processes Suspicious Activity Reporting Make Compliance Department

Profitable Best Practices on Getting Through Layers of Money Laundering Money Laundering Program

for Legal and Compliance

Technical Proficiencies

SEMS Search Space LexisNexis Westlaw Sonar MS Office (Word, Excel, Outlook, PowerPoint)

Windows 9x/NT/2K/XP

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