Rolando R. Herrera, AMLCA

ac0icl@r.postjobfree.com 813-***-****

Founder & CEO of RRHG Consultants Corp. (Independent Consulting Firm) with ten years of experience in enforcing and ensuring compliance with laws, rules and regulations in the financial and engineering industry. Looking to utilize my experience in project management, analytical investigation, consulting, business analysis and marketing; while contributing to the success of an organization. Possess broad knowledge of engineering duties in planning, designing and overseeing construction including fraud, compliance and risk mitigation towards financial institution with agencies and as an independent consultant.

Valley National Bank, Miami, FL Nov 2016 – March 2017

BSA/AML Compliance Consultant (High Risk Review Investigator)

Key results:

Reviewed Know Your Customer (KYC/EDD) and other documents while acting as a Subject Matter Expert towards all accounts (Low, Medium, High).

Created/Assisted in High Risk Reviews for accounts held while performing investigations towards all accounts (Business, Personal, PIC, Holding Company, etc.).

Prepared Suspicious Activity Reports (SARs) to cases that are unusual and provides recommendation towards the relationship for retention or termination of accounts.

Accumulating facts from investigations/alerts to be utilized to assist with Senior Management and Compliance.

Determine investigative and data analytics approach, use sound decision-making and discretion in making independent decisions that mitigate corporate risk at each decision point throughout the investigation.

Oriental Bank of Puerto Rico, San Juan, PR April 2016 – Oct 2016

BSA/AML EDD/KYC Consultant (Remote Project)

Key results:

Conduct a six-month review while being responsible for analyzing and advising the risks presented per case.

Review documents (Articles of Incorporation, EDD, Municipal Licenses, etc.) verifying if there are up to date.

Ensure that all regulatory, legal, bank and audit requirements were met at deadline

Conducted research using internal/external databases and links to provide validity of clients.

Recommend resolutions (closure, termination, pattern, etc.) of cases that mitigate corporate risk.

Citibank, Tampa, FL Jan 2016 – Mar 2016

BSA/AML EDD Wealth Management Consultant (Project)

Key results:

Disposition of high-risk name screening escalations, conduct name searches (i.e., 314(a) and ad hoc), resolve matches identified during on-boarding and maintenance processes.

Analyzing alerts and investigating customers who match with SDN, Politically Exposed Persons and Negative Media lists during the account opening and maintenance processes.

Conducting searches, gathering data and recording evidence from internal systems, the internet, commercial databases and enquiry with business or Compliance contacts within the organization.

Gather supportive information from a list of internal and external public and private databases based on global standard process.

Building and applying knowledge of sanctions and anti-money laundering processes.

Mercantil Commercebank Investment Services, Miami, FL July 2015 – Dec 2015

BSA/AML Wealth Management/Investment Securities Consultant (Project)

Key results:

Conducted quarterly reviews for investment products on customers account such as: bonds, mutual funds, securities, positions, etc.

Prepared Enhanced Annual Review (EAR) reports regarding High Risk accounts on (Personal, Commercial, Trust).

Perform Know Your Customer (KYC/EDD) while acting as a document specialist towards Wealth Management accounts (Trust, Entities, PIC, Individuals, etc

Conducting enhanced due diligence investigations in support of policies and procedures.

Gibraltar Private Bank & Trust, Miami, FL April 2015 – June 2015

BSA/AML Wealth Management Consultant (Project)

Key results:

Assisted in the quarterly Wealth Management accounts transactional monitoring to determine compliance.

Executed a Quality Control role of alerts monitored to valuate investigations performed from team members.

Conducting searches, gathering data and recording evidence from internal systems, the internet, commercial databases and enquiry with business or Compliance contacts within the organization.

Gather supportive information from a list of internal and external public and private databases based on global standard process.

Helm Bank USA, Miami, FL December 2014 – March 2015

BSA/AML Consultant (Project)

Key results:

Assisted with the backlog of transaction monitoring monthly alerts due to shortage of staff.

Follow up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case/alert.

Conducting enhanced due diligence investigations in support of policies and procedures. Reporting unusual client activities which might relate to sanctioned individuals, money laundering or terrorist financing.

Conduct alert investigation using global standard policies, procedures and tools, aimed at meeting internal and external regulatory requirements.

Ocean Bank, Miami, FL January 2014 – November 2014

BSA/AML High Risk Review Consultant (Project)

Key results:

Assisted in the High Risk review with a two – year scope of review, reporting document and investigation findings while preparing case files with required documentation (e.g. media search results, copies of statement/transactions, results from internal systems).

Write and prepared Suspicious Activity Reports (SARs) and recommend relationship retention or termination of accounts as required.

Determine investigative and data analytics approach, use sound decision-making and discretion in making independent decisions that mitigate corporate risk at each decision point throughout the investigation.

Compiled supporting documentation and data including media and transaction including documenting review findings for Compliance and Business management review

Collect and examine financial statements and documents to assist in identifying unusual transaction patterns.

Liaise/Interact with other units within the bank as needed to identify additional information in support of the case/alert and concerning AML issues.

Citigroup Inc., Tampa, FL October 2013 – December 2013

UAT Business System Analyst Consultant (Project)

Key results:

Served the mission-critical function of understanding specific business needs and documenting requirements that are agreeable, measureable and flexible enough to meet planned benefits.

Aided on the Acceptance Testing phases as a full tester, providing test cases insight and corresponding reports. Support UAT Coordinator/UAT Test Lead in UAT plan preparation including test scripts.

Log issues on the RICA log/defect in Quality Center. Prepare and report test results/risks with appropriate documentation. Review System Integration Testing (SIT) issues

Defined, identified, implemented optimization and automation opportunities for customer support related business processes and solution.

Translate business needs into analytics and reporting requirements while QA/QC process.

Design and implement along with the operations teams, suitable solution and proactive initiatives.

Determine investigative and data analytics approach to financial projects (diagrams, workflows & SDLC), use sound decision-making and discretion in making independent decisions that mitigate corporate risk at each decision point throughout the implementation process for business analysis.

Citigroup Inc., Tampa, FL January 2011 - October 2013

BSA/AML Sr. Compliance Analyst: AML LATAM Operations/Remediation NAM

Key results:

Integrated in the Money Service Business Requesting Monitoring Process Committee as the Primary Analyst (liaison).

Provided support to the following projects: Electronic Check Deposit (ECD), Contextual Data, Poland Review, OCC Suspicious Activity Report (SAR) Review and Worldlink.

Acting as a Subject Matter Expert for multiple products and projects needed to mitigate risk for Citigroup and prevent fraud, money laundering and terrorist financing.

Analyzing processes using various monitoring instruments while finalizing an appropriate conclusion based on the research and activity on the consumer accounts/transactions per project guidelines and regulations to meet Compliance.

Selected for travel team to provide support towards various Citi’s branches worldwide.

Operating within business agreed SLA’s while applying Enhanced Due Diligence (EDD) and Know Your Customer (KYC) towards case investigations for further enquiry, escalation or closure to cases from alerts and investigations.

Assisted in the User Acceptance Testing project for department database and tasks for Risk Control and Self-Assessment (RSCA).

Performed the analysis employing designated tools and software to identify patterns, risks and anomalies while mitigating risk to the company while monitoring products.

Responsible for ensuring testing and documentation of issues identified daily with different task while working cases in a timely manner proficiently following procedures to meet deadline.

Wrote part of the procedures of the Citi’s Global Standard Operations Manual for Wave 2 (Trinidad & Tobago, Bahamas, Barbados).

Provided training and mentoring towards analyst in to work 6 countries

Started the position as a temporary employee and after 4 month was hired permanently. Promoted to Sr. Compliance Analyst for showing great analytical skill, professionalism, and multi-tasking while working seven countries.

Marlin Engineering, Tampa, FL June 2008 - February 2010

Staff Engineer: Planning & Statistical Department

Key results:

Managed up to 5 small to large topographic & aerial projects simultaneously in FDOT District 7 State Roads weekly.

Created & implemented quality assurance/quality control system for the department, for the prevention of budget overages and labor hours including projects.

Responsible for approximately 100 FDOT District 7 Cad files regarding aerials and Straight Line Diagrams.

Conducted weekly field analyses, which consisted of synching project areas with maps, construction plans, and aerials for the collection of road inventory.

Maintained up-to-date information in the FDOT database on a project basis.

Took the initiative in organizing the department’s electronic project files for more efficient access on future projects.

Created District standards for SLD’s format for the clarification on projects to achieve clear vision and avoid errors.

Solved engineering data and information for projects with construction plans and as-builts.

Attended Turnpike training and certified with Basic, Introduction to Data Management, Intermediate Office & Field Data Collection.

Volkert & Associates, Tampa, FL March 2006 - April 2008

Civil Engineer: Traffic/Civil Department

Key results:

Involved with approximately 50+ city, county & state projects within a $5,000 to $2,000,000 budget.

Applied laws, specifications, standards and manuals for design purposes and project requirements.

Revised scope of projects, proposals and conducted engineering analyses while writing field reports.

Conducted cost estimates and quantities assessments for budget analysis per project.

Interfaced with clients to discuss project needs to ensure a great final product while implementing quality assurance and quality control while maintaining the progress of construction within the worksite to comply with planned schedule.

Multi-managed 10 small to medium projects: oversaw staff, budget, schedule, and design.

Directed design of parameters for construction of crosswalks, parking lots, school pods and custom projects.

Created construction plans associated with Roadway, Signalization, Traffic Control Plans (MOT), Signing & Pavement Markings and Utility Plans.

Florida Department of Transportation, Tampa, FL June 2005 - February 2006

Roadway Engineer: Roadway Department

Key results:

Involved with the compiling of technical reports writing from field reviews.

Applied specifications, standards and manuals for design purposes.

Revised and scope of projects, proposals and conducted engineering analyses while assisting in computation of quantities.

Conducted cost estimates and quantities assessments for budget analysis per project.

Implementing quality assurance and quality control in all stages of construction within the worksite to comply with planned schedule.

Review and create construction plans associated with Roadway, Signalization, Traffic Control Plans (MOT), Signing & Pavement Markings and Utility Plans.

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