Resume

Sign in

Manager Vice President

Location:
Highland Mills, New York, 10930, United States
Posted:
May 26, 2010

Contact this candidate
Sponsored by:
TalentDesk
Post Jobs to
Multiple Job Boards &
Get more Candidates
Try it Free!
Start your 30-day
Free Trial

******* D. ******

________________________________________________________________________

** ****** *** ******** ***** NY 10930 ************@***.*** (845) ***-

****

Professional Experience

Fiduciary Trust Company, NY 4/07 - Present

Vice President/Manager - AML Transaction Monitoring Compliance

Lead team of 5 Transaction Monitoring Analysts responsible for the daily,

weekly and monthly research and review of approximately 1,000 cases

consisting of multiple suspicious activity Alerts generated on GIFTSWEB

EDD, the Bank's suspicious activity detection software, for multiple

banking products including DDA, savings, CDs, private banking, mortgages,

loans, trust and custody;

Oversee Bank's successful compliance with OFAC and FinCEN 314(a) programs;

Completion of annual AML Risk Assessment which measures and evaluates the

level of money laundering risk posed to the Bank at the account, client and

product level;

Responsible for the approval and filing of all Suspicious Activity Reports

(SARs);

Key member of Bank's AML Compliance Committee which includes the Bank's

CEO, CFO, CCO, Department Heads and other Senior Managers;

Assist in management of relationships with Bank regulators, including FDIC,

New York State Banking Department and the OTS, as well as Internal Audit on

regulatory examinations and Internal Audit reviews;

Partnered with IT in designing and building specifications for a

proprietary interim transaction monitoring system, resulting in cost

savings of approximately $40,000.00;

The Bank of New York (Private Bank), NY, 5/06 - 4/07

Vice President/Manager - Surveillance Unit

Managed a team of two Surveillance Analysts;

Completed and updated Bank's annual AML Risk Assessment;

Compiled monthly management reports for presentation to Senior Management;

Tracked and reported on critical Compliance and business initiatives

including KYC remediation projects and KYC renewals;

Administered tracking and ensured accurate completion of 90-day reviews for

new accounts by the business

JPMorgan Asset Management, NY 3/05-5/06

Assistant Vice President/Anti-Money Laundering Compliance Officer

Authored and updated Firm's annual AML Risk Assessment;

Created Firm's first on-line, interactive, AML Training Program;

Achieved 100% completion rate for AML Training amongst 1,500+ employees;

Division representative for Bank-wide AMLOC;

Assisted Assistant General Counsel in updating Firm's AML Policies and

Procedures, as appropriate, consistent with changes in regulations and law

Morgan Stanley, NY 5/04 - 3/05

Anti-Money Laundering Compliance Associate

Review daily exception reports consisting of numerous transaction-based

scenarios relating to potential suspicious activity amongst the Firm's

institutional and Private Wealth Management client accounts.

Review weekly OFAC exception reports.

Provide guidance with respect to Cayman Islands entities that maintain

accounts with the Firm.

Assist in providing monthly AML/PATRIOT Act training sessions to numerous

business lines within the Firm.

Assist in the creation and implementation of the Firm's web-integrated

transaction-based monitoring system.

Daily surveillance of outgoing wire transfers.

Mellon Financial Corporation, NJ 12/02 - 5/04

AML/OFAC Compliance Officer / Equities Trade Desk Compliance Officer

Managed all aspects of Firm's Anti-Money Laundering Program.

Provide support to the Chief Compliance Officer and company counsel with

regard to BSA OFAC and AML compliance;

Reviewed and cleared all potential OFAC matches through Prime Compliance

Manager pursuant to all new Investor accounts and periodic SDN updates

received from OFAC;

Filed annual report of blocked property with OFAC;

Developed and implemented updates and modifications to BSA/AML compliance

manual as required by changes in law, company products/services, corporate

structure or other factors;

Responsible for the day-to-day activities of the Legal Compliance

department, with respect to the Bank Secrecy Act (BSA) and anti-money

laundering (AML) activities, including but not limited to daily review and

in-depth analysis of transaction activity of various product lines,

fielding inquiries from company personnel, filing suspicious activity

reports (SAR) with the government, maintaining relevant records,

communicating with internal and external counsel, communicating with

various federal or state government representatives including law

enforcement, preparing and presenting compliance status reports to senior

management and developing and delivering training to relevant personnel;

Designed and implemented the Firm's Customer Identification Program

(CIP)pursuant to the USA PATRIOT Act.

Brown Brothers Harriman & Co., NY 3/02 - 12/02

Compliance Officer

Spearheaded Bank's first KYC/AML department.

Responsible for review and approval of all KYC documentation prior to the

opening of customer accounts.

Administered Bank's adherance to USA PATRIOT Act.

Education

State University of New York at Plattsburgh, Plattsburgh, New York

Bachelor of Arts, Radio/Television Mass Communications, 1997

Computer Skills

Proficient in Microsoft Access, Excel, Office, Outlook, Powerpoint, and

Word, Lotus Notes and Internet



Contact this candidate