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Financial Analyst Customer Service

Newark, Delaware, United States
November 30, 2017

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Qualifications Profile

Proven Operational Risk Manager who capitalizes on broad exposure to tax, regulatory law, fraud, due diligence, business continuity, operations, project management, controls, anti-money laundering to effectively assess risk and implement policies, systems, and controls that not only mitigate risk exposure but also reduce audit load and ensure full regulatory compliance.

Core Competencies:

Compliance Management

Risk Management

Anti-Money Laundering

Policy/Process Development

Research and Investigations

Working with Regulators(FinCen/ OFAC


Audit Preparation & Support

Certified Anti-Money Laundering Specialist (CAMS) with a record of achievement overseeing assessments, identifying risks, and leading projects that improve compliance and financial metrics across multiple departments.

Implement and support a plan to achieve the operational risk management goals of the business/function, including complex testing, monitoring, and reporting requirements as well as supporting operational risk awareness training.

Known for developing and implementing preventive action plans that identify and mitigate areas of weakness before issues arise.

SAR writing experience, including identifying, researching, and reporting suspicious activity through thorough forensic accounting of transactions, leads, and negative media reports as well as using section 314 of the Patriot Act to share information with other banks and law enforcement.

Provide recommendations such as re-training and updating policies and procedures to ensure enterprise-wide awareness of operational, legal, and concentrational risks.

Career Background

Wells Fargo (Ranstad) Temporary Consultant ú Philadelphia, PA May 2016-Present

Global Sanction AML Officer

AML Testing program for OFAC sanctions list correcting and resolving false positive’s for global watch list . Assisted with the annual OFAC risk assessment

Assist with developing, implementing and monitoring a risk-based compliance program to ensure compliance with regulatory requirements and firm policies and procedures.

Work on OWS wire filter case management system Level 3 false positive matches, and true match alerts for customer identification watch-list system. Properly identifying and coding customer risk levels ranging from low to high priority, creating a clear audit log for auditors and other regulatory agencies

HSBC (Appleone) Temporary Consultant ú New Castle, DE July 2015-May 2016

Global Sanction AML Officer

Work on FCC Sanction Team, HSBC US AML Grey list for Global reject Watch-list worldwide. Provided a Full scope written summary of case results with recommendations on whether to remove subjects from filter, or confirm whether original AML concern still exist for the bank.

Created a more efficient workflow that increased productivity by 40% on a special project for upper management, and produced new procedures for team to follow new workflow.

Bank of America (Adecco) Temporary Consultant ú Newark, DE March 2015-July 2015


Provided risk analysis and knowledge of regulatory law to prevent fraudsters from Account takeover, and identity theft of bank customers in the credit card department. Provide customer service and resolution to bank customers. Responsible for fraud detection and investigating fraudulent claims, in addition to performing analysis that will minimize risk and exposure to the bank.

Citibank (Mindlance) Temporary Consultant ú New Castle, DE May 2014-October 2014


Monitored and Analyzed transactions of customers and client’s clients accounts in investigation of suspicious and money laundering activities; filed suspicious activity reports (SAR).

Documented and reported the investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches.

Collected and examined financial statements and documents to assist in identifying unusual transaction patterns.

Triage cases and identify items appropriate for Senior Management escalation

Provided direction to more junior staff

HSBC (Robert Half Int’l) Temporary Consultant ú Wilmington, DE November 2013-April 2014


Monitored and Analyzed transactions of customers and client’s clients accounts in investigation of suspicious and money laundering activities; filed suspicious activity reports (SAR).

Investigated domestic and international customers and clients of high risk jurisdictions.

Performed quality assurance review of due diligence investigations.

Performed AML Investigations utilizing Norkom/Scion and other supporting applications.

Assisted law enforcement and federal agencies in identifying suspicious and unusual activities within the AML laws and Act’s that support these investigation to prevent career criminals, drug traffickers, money launders, and terrorist.

Maintained the team’s production/error monthly reporting metrics for upper management using Advanced excel formulas such as Vlookups, if statements, Pivot table etc. In addition to creating Supplemental review report that track cases created, and assist with monthly reconciliation.

M&T Bank (Kelly Service Staffing Agency) ú Wilmington, DE November 2012-June 30th 2013


Responsible for analyzing and arranging 1099 and 1042 forms for multiple organizations as well as filing the forms with the IRS.

Royal Bank of Canada (Aero-Tek Staffing) ú Wilmington, DE April 2012-November 2012

FINANCIAL ANALYST (7 month Temporary Assignment)

Prepared and analyzed monthly custodian statements, providing accurate reconciliation.

Managed Custodian portfolio, which contributes to 28% of company statement holdings bringing in revenues of 1.12 million of the departments 4 million revenue.

During my management of the custodian portfolio, revenues from addition statements have increased revenue 4%.

Executed numerous accounting functions, such as reconciliation, pricing, adding securities, corporate actions, foreign taxes, and fees, monthly, quarterly, and annual closings.

Jackson Hewitt Tax Services (Seasonal) ú Wilmington, DE Dec 2011-April 2012


Prepare Income Tax Returns for Individuals, using extensive knowledge of federal, state, and local tax codes and publications to make sure clients do not pay unnecessary taxes.

Impact Charity Servicing Inc (Non-Profit) ú Philadelphia, PA May 2009-Dec 2011


Manage various responsibilities such as providing financial services for high net worth individuals and professional athletes. Render different services including organizing foundations and other tax shelters that provide relief and positive impact for immediate communities and individuals involved.

Assigned to manage various accounting functions, such as providing custom reporting to include bookkeeping and financial statements as per client request.

Took part in various projects from conceptualization, planning and development through completion, of the project life cycle.

PNC Financial Services Group, Inc.ú Wilmington, DE Feb 2008-Jun 2009


Effectively supervised and checked daily and periodic prospectus, SEC and IRS compliance for mutual funds serviced; prepared weekly, monthly quarterly and annual fund surveys. Monitored daily mutual compliance as well as regularly assessed and completed Warning/Violation Matrix for impending violations

Proactively organized and maintained investment portfolio accounting designed for large institutional clients.

Prepared net assets values, yields, distributions and other fund accounting output for subsequent review.

State Street (Open Systems Staffing Agency) ú Malvern, PA Dec 2007-Feb 2008


Prepared proofs of account balances; conducted research and resolved exceptions.

HSBC(Ranstad) ú Wilmington, DE Aug 2007-Dec 2007

FINANCIAL ANALYST-CONSULTANT (4 month Temporary Assignment)

Conducted financial and operational analysis to enable efficient execution of plan to attain the highest level of customer satisfaction.

J.P Morgan Income Securities ú Newark, DE Feb 2006-Jun 2007


Researched and evaluated differences between balance sheet and general ledger.

Worked collaboratively with the Middle Office in order to resolve differences and issues with bond setups, and oversaw ticket transaction from traders and brokers.


Drexel University ú Philadelphia, PA

Bachelor of Science in Finance (Jun 2004)

Universal Accounting ú Online

The Professional Accounting, Bookkeeping, and QuickBooks Program March 2012

Certified QuickBooks Specialist

Jackson Hewitt ú Wilmington, DE

Basic Income Tax Course pass (PTIN) issued from IRS (Dec 2011)


OWS, Norkom, Wolf Database, RDC, World-Check, Lexis Nexis, CIF, ECRM, LoanServ, NGT, Actimize, Mantas, Scion,Global Plus, QuickBooks Premier, SAP, RECON PLUS, IMPACT, Crystal Reporting, Bloomberg, Partnership SQL,SAS, IAS Extra Enterprise, SunGuard-Investier, Account Ability Tax Software, SEI, CertMaster, Advanced Excel

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