Customer Professional Experience

Darcell D. Kelly

Email address: ************@*****.***

Mobile: 201-***-****

PROFESSIONAL SUMMARY:

Polished professional, specializing in regulatory reporting and enforcing Anti-Money Laundering/Anti-Terrorist Financing practices involving domestic/international financial institutions, to ensure they are being compliant according to the state, federal, and international banking guidelines.

Professional Experience:

Bank of China, New York, New York

FIU Investigator (Consultant) – FIU Unit 11/14 – 02/17

Utilize the Prime system to monitor, detect, and report alerts of any suspicious intermediary wire transfers, in order to pinpoint any form of money laundering or terrorist financing violations domestically and/or internationally (20 Alerts per day)

Research and provide an annotation of the background of the originators and the beneficiaries in order to conclude their legitimacy and the purpose of intermediary wire transfers

Identify “Red Flags” and initiate a Legal & Compliance Unusual Activity Review Checklist (PSAR) and forward to the SAR Team (average 25 Checklists per month)

Manage AML Look-Back Alerts focused on the Chinese Foreign Exchange regulations regarding correspondent account’s wire transfers under $10K and/or $50K

Determine clearance or escalation of the Look-Back Alerts and ensure that the Chinese’s regulations in conjunction with the Bank Secrecy Act’s guidelines are met

Deutsche Bank, Jersey City, New Jersey 06/14 – 08/14

AML Analyst (Consultant) – AML Compliance Surveillance & Monitoring

Monitored newly generated alerts in Mantas

Prepared field inquiries, conduct QA and answer field inquiry related questions about AML transaction monitoring

Conducted background research, analysis and due diligence related to SAIFs and escalations

JPMorgan Chase, Brooklyn, New York 10/13 – 06/14

AML Alert Analyst (Consultant) – AML Operations-Negative Media/PSARs

Reviewed Potential Suspicious Activity Report (PSAR) of Consumer/Business accounts

Compiled pivot macros and analyze transactions that involves unusual or unexpected activity (such as structuring) related to money laundering, fraud, and terrorist financing

Utilized dirt string and exonerated string searches on Consumer/Business clients

Summarized the facts of the PSAR referral to asses if further action is require

Investigated various internal alerts that may deem a reputational risk to JPMC

Conducted an analysis of customers and determine the validity of negative news

Recommended to Senior Management if the customer’s relationship with the bank should be escalated to the next “Line-of-Business” for further review or termination

KYC Analyst (Consultant) - AML Compliance (PEP On-Boarding) 04/13 - 09/13

Researched and analyzed required Know Your Customer/Anti-Money Laundering related issues, associated with high risk foreign customers that are Politically Exposed Persons or Politically Connected Individuals

Obtained required information and/or documentation from internal/external sources including Relationship Bankers to identify the level of due diligence needed according to JPMC’s procedures

Determined appropriate action to be taken based upon the customer review, which will result in the retention, restriction and/or closure of the relationship

Standard Chartered Bank, New York, New York 09/11-02/13

Compliance Analyst (Consultant) - OCC Division 01/13-02/13

Escalated the importance of completing overdue Customer Due Diligence (CDD) cases to Relationship Managers

Minimized regulatory risk of 400 overdue Customer Due Diligence cases

Screened the progression of all cases and reported results to Senior Management

Darcell Kelly pg. 2/2

Compliance Analyst (Consultant)-Legal Division 12/12-12/12

Examined various internal reports involving “Dodd Frank” regulations

Client Coverage Manager Specialist - CDD (Consultant) 09/11-08/12

Conducted Customer Due Diligence (CDD) on Wholesale Banking clients and related activities

Re-evaluated the bank’s periodic review requirements for Financial Institutions & Corporate customers of all AML risk assessments and determined what should be addressed to the Relationship Managers

Researched any criminal or regulatory actions taken against their clients and instructed the Relationship Managers to verify the validity of each alert

Consulate with Relationship Managers that their client’s reputation had no adverse impact that could affect the relationship with Standard Chartered Bank

Israel Discount Bank of New York, New York, New York 02/08 – 09/09

KYC Analyst (Consultant) - Compliance Customer Division

Reviewed and organized the bank’s Annual Activity Review (AAR) to ensure that the “Know Your Customer” (“KYC”) forms are meeting standards according to the Banking (BSA/AML) & Regulatory policies

Assisted in lifting of “Cease & Desist Order” imposed on IDBNY

Resolved remediation issues in a Compliance Officer role involving the Annual Account Activity Review (approximately 100 cases were reviewed per week)

Collaborated with Relationship Officers the severity of high risk clients and determined if their accounts should remain “open” or “restricted”

UBS Financial Services, Inc., Weehawken, New Jersey 02/00 – 11/08

Compliance Officer (Firm Surveillance/Regulatory)

Researched/Responded to regulatory inquiries, that were sited for a formal and/or informal investigation that may deem a disciplinary action pursuant to Exchange Rule 15.7/17.2 (approximately 25 investigations a month)

Evaluated/Summarized Branch Officer’s written responses regarding registered representatives & clients trading activities in order to accurately document whether or not there are any violations that could be determined by SEC, FINRA, etc…

Collaborated with all levels of operations regarding internal procedures that may have been in violation with federal regulators

Created an analysis and reported the case matters to the Law Department

Surveillance E-mail Communications (Assentor) of all Branch Offices in order to minimize firm exposure of any inappropriate correspondence, unapproved trading activity, and any potential conflict of interest

Volunteer Experience:

Greater Newark CARES, Newark, New Jersey

National CARES Mentoring Movement, New York, New York 5/10 – Present

Volunteer Chair

Assist Directors and staff of Trinity Mentoring; Mentoring USA/Greater Newark CARES/Metropolitan Church, working with Eagle Academy of Young Men of Newark School of any administrative concerns and supervised mentors assigned to the school’s Saturday program including managed the retention involving their year commitment

Education: Bachelor of Science, Business and Management

State University of New York / College at Old Westbury, Old Westbury, New York

CAMS : April 2017

Systems: Mantas, Prime, LexisNexis, World-Check, World Compliance, Orbis, HALO, Sonar, Bridger, Dow Jones Factiva, Norkom, Omgeo Alert, Dealogic, & various Regulatory websites

Leadership: Volunteer Foster Care Advocate of Essex County: Court Appointed Special Advocate (CASA), Chair; National CARES Mentoring Movement of Greater Newark CARES, Former Community Liaison; Mentoring USA, Mentored; Newark Communities In Schools, and Former Committee member; Big Brothers/Sisters of New York City of Bigs United, 9/11 Help Center

References upon request

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