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BSA / AML Analyst

Location:
Kings County, New York, United States
Salary:
72,000
Posted:
January 09, 2018

Contact this candidate

Name: Rodney Barksdale

*** **** **** ******, *** 4C

Brooklyn, NY 11226

Tel: 718-***-****

Cell: 718-***-****

Email: ac3yxf@r.postjobfree.com and / or ac3yxf@r.postjobfree.com

Current Location: Brooklyn, NY

Availability for Interview: Immediately

Availability to Start: 2 Weeks Notice

Summary:

Excellent customer service skills when supporting the departments focus on delivering quality customer service.

Encourages achievement of common goals, providing leadership, direction, organization and continuity.

Keen analytical focus with strong research and investigative abilities.

Computer Skills:

Actimize, HALO, Fortent, Mantas, Sonar, FSD, HOST, Microsoft Outlook, Office Word, MS Office Excel, MS Office PowerPoint and Bloomberg, Lexus Nexus, World Check, Fiserv - Navigator.

Professional Experience:

Carver Federal Savings Bank New York City, NY Nov 2016 - Present

BSA Analyst

Assist the Bank Secrecy Act (“BSA”) Officer in maintaining BSA, Anti-Money Laundering (“AML”), Customer Identification Program/Know Your Customer (“CIP/KYC”) and Office of Foreign Assets Control (“OFAC”) compliance program.

Review of alerts generated by monitoring system in relation to customer’s transactions for unusual or suspicious activity. If activities are suspicious file SAR and recommend closure or retention.

Document in bank management system results of investigation including supporting data

Provide guidance to the retail network branch managers, personal bankers, tellers and other bank departments for CIP/KYC related matters.

In absence of BSA Officer coordinates and manages the BSA/KYC daily operations.

Supports the BSA Officer for interaction with Regulators, Board of Directors and Senior Management for KYC related matters.

Interacts with other bank departments in cooperation with BSA Officer for KYC related projects.

Review of alerts generated by monitoring system in relation to customer’s transactions for unusual or suspicious activity.

Perform OFAC alerts review as generated by the interdiction system; conduct 314(a) searches in compliance with the Information Sharing requirements of the USA PATRIOT Act.

Periodically scan customer database against the OFAC list.

Perform SAR maintenance and quality assessments Serve as point of contact on matters that impact an investigation or involve law enforcement contact

JP Morgan Chase Bank, N.A New York City, NY Dec 2014 – Apr 2016

Anti-Money Laundering Investigations Officer

Interpret AML risk standards, policies and procedures applicable to cases and make risk based decisions on whether to clear or file SAR where necessary based on transaction monitoring results

If SAR required recommend account closure or retention based or previous SAR filings and account history

Fully document all dispositions including supporting data, analysis and rationale for disposition, within the case management system in a timely manner in case management system

Serve as point of escalation and Subject Matter Expert to investigators to evaluate and resolve issues around quality and content of investigation clarify based on AML knowledge and/or procedures for investigators.

Review the work of investigators to ensure investigations meet quality standards and data was accurately collected and documented, including alert, SAR history, Know Your Customer (KYC) information; relevant account and transaction data, and any other required information used to assist in the investigation. Review with investigators any corrections or differences in final disposition performed in the underlying work.

Function as a key contributor to the Team Lead and Operations Manager and demonstrate knowledge of AML issues as well as broader functional knowledge across look-back team.

Exercise sound judgment and observe the highest degree of confidentiality.

Bank of America New York, NY Jan 2014 – Dec 2014

OFAC Compliance Specialist

Analyze and resolve alerts generated through the company's various economic sanctions / OFAC (Office of Foreign Asset Control) filtering applications

Investigate referrals to arrive at final determination as to whether an individual may be a positive match and violated economic sanctions.

Create and manage virtual files related to investigations in the case management system with supporting documentation and follow-up with relevant parties to ensure cases are resolved

within timeframes

Conduct targeted economic sanctions / OFAC related reviews of client accounts or other activity for evidence of possible violations

Undertake detailed research of customer and other data from internal and external sources to make informed decisions regarding proper disposition of cases

Provide support and economic sanctions / OFAC guidance to other business areas.

JP Morgan Chase New York, NY Jul 2013 – Aug 2013

Project Manager

Create and track audit project plans and develop project time estimates.

Collaborate with key stakeholders to define priorities and effectively manage priorities to ensure timely delivery

Directed investigations into audit discrepancies using problem solving techniques to establish root cause.

Provided continuous assessment of resource utilization tasks, furnishing oversight and guidance regarding process efficiency and schedule adherence.

DF King Inc. New York, NY Sep 2012 – May 2013

Investor Relations Specialist

Assist in managing client accounts through questions and concerns, timely response to requests, multitasking and excellent follow through.

Provide support and coverage to client operations and product specialist team

Responsible for ensuring investors meet eligibility and compliance guidelines during the processing of investor-related transactions.

Solicit investor decision on various proxy statements

Wells Fargo Wachovia Bank New York, NY Oct 1996 – Jun 2010

Securities Processing Supervisor

Review internal operating accounts for receipt of funds, transfer of funds, etc. to ensure accuracy of daily transactions. Monitor disbursement of funds via fed wire, ACH, checks, OPS etc.

Deposit eligible securities to the Depository Trust Clearing Company for collection of income, settlement of sales and capital change activity.

Receive physical certificates, review for completeness of information and attachments, matching all related documents, checking files for missing documents, requested additional information/documentation when otherwise not available. Confirmed with DTC eligibility, verifying accuracy of entries, generating deposit slips, submitting certificates to DTC, and recording post-delivery asset movement.

Coordinated conversion and retrieval of shares from book-entry to certificate form and/or submit request for transfer to agent via DTC. Exchange of securities due to mergers, acquisitions and spin-offs; process stock splits, tender offers and redemptions.

Re-register securities from customer/account name to nominee or fiduciary name to ensure that all future income and reorg actions are processed in a timely manner.

Prepared monthly management reports, recording age and movement of securities throughout transfer process via excel spreadsheet and internal computer tracking system.

Tasked with keeping management informed of ongoing AML/OFAC and KYC issues.

Certifications: Graduate of Wachovia Leadership Development Program

Certified t

hrough bank annual AML/KYC training program, proficiency and understanding of current anti-money laundering regulations, policies and reporting requirements per the Bank Secrecy Act and USA Patriot Act

EDUCATION:

Pace University - New York, NY

B.S., Business Administration

Concentration: Marketing Management



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