Assistant Sales

JESSE U BROWN

* * * * * A N K L I N S T R E E T A P T. 512, S A N F R A N C I S C O, C A 9 410 2

H : 415 3 5 9 9 5 9 0 C : 3 2 3 3 7 7 5 9 6 6

Email: abm3ei@r.postjobfree.com

Union Bank - San Francisco, CA July 07 - Present

Investigator

• Conduct investigative reviews of client account activity for adherence to regulatory and bank

policies within the terms of Bank Secrecy Act (BSA). The researched and assessed transactions

result in a written report of findings. The report is used as the narrative in the Suspicious Activity

Report (SAR) filed with the federal government when appropriate.

Bank of Tokyo-Mitsubishi - Los Angeles, CA Apr 07 - Jun 07

Lead Due Diligence Investigator - Consultant

• Supervised investigators assisting Private Bankers in performing Due Diligence on selected

clients

Union Bank, Los Angeles, CA Apr 06 – Mar 07

Lead Compliance Investigator - Consultant

• Managed the On-Site Investigator Task Force that assisted the Affluent Markets (Private Bank)

Group with the remediation of customer KYC (Know Your Client) information for compliance to

BSA and Anti-Money Laundering (AML) acts.

City National Bank- Los Angeles, CA July 05 - Apr 06

Assistant Vice President, Regional Compliance Analyst

• Monitored account activity for AML risk assessment that included:

• Gathered information from Internet sources for Due Diligence of client transactions.

• Preparing spreadsheets and other supporting documentation.

• Identifying, assessing and documenting activity requiring additional reporting pursuant to bank

policies and procedures including assisting in filing the SAR with the federal government.

Union Bank - Monterey Park, CA Nov 04 - Jun 05

Senior Money Laundering Compliance Analyst - Consultant

• Reviewed exception reports designed to detected and prevent money-laundering activity in

international retail and institutional accounts.

• Investigated individual and corporate financial activity suggestive of money laundering and

assisted with filing the SAR with the federal government.

HSBC Bank USA - Los Angeles, CA Dec 03 - Feb 04

Compliance Officer - Consultant

• Reviewed exception reports to detect and prevent money-laundering activity in retail and

institutional accounts.

• Conducted Internet research.

Banc of America Securities LLC - San Francisco, CA Jun 99 - Sep 03

Assistant Vice President, Senior Compliance Officer

• Coordinated and responded to regulatory agencies and exchanges inquiries regarding customer

trading activity to ensure compliance with Securities Exchange Act 1934 and Insider Trading

regulations. This included the creation and maintenance of a database for these inquiries.

• Conducted monthly review of Private Client account activity.

• Liaison between Compliance Department and bank IT Department to develop client account

monitoring reports.

Smith Barney - New York, NY May 96 - Jun 99

Market Surveillance Analyst

• Coordinated and responded to regulatory agencies and exchanges inquiries regarding customer

trading activity to ensure compliance with Securities Exchange Act 1934 and Insider Trading

regulations.

• Mediated and conducted interviews of Financial Consultants with regulatory agencies and

exchanges.

• Approved employee trades in employee-restricted stocks.

National Association of Securities Dealers - New York, NY Mar 94 - May 96

Sales Practice Examiner

• Conducted on-site reviews of member firms books and records to ensure compliance with

Securities Exchange Act 1934, Investment Company Act of 1940 and Insider Trading regulations.

This included reviewing trading activity in client accounts versus the recorded client investment

objective to ensure suitability.

Merrill Lynch, NY and San Francisco, CA Jan 83 - Mar 94

Positions held:

• Sales Assistant, Merrill Lynch Private Client Services

• Merrill Lynch International, Latin America Division

Bookkeeping Supervisor

• Merrill Lynch International Operations

Compliance Specialist

• Merrill Lynch

Margin Bookkeeper

• Merrill Lynch

Mutual Fund Trade Coordinator

EDUCATION

Baruch College - City University of New York BBA - Marketing

Management

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