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Management Service

Location:
New York, New York, United States
Posted:
April 11, 2018

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Resume:

Alejandro Baca, CAMS

*** *** ******, *** **** City, 11201; 917-***-****; ac43zv@r.postjobfree.com

Summary

Certified anti-money laundering specialist, Bilingual English/Spanish. Proficiency in the U.S Compliance Banking Sector

Experience

KYC & Enhanced Due Dilligence Supervisor

National Bank of Argentina, New York City Branch

November 2017 – to present

oPerform and supervise KYC review and Enhanced Due Diligence of all business areas, ensuring the information and supporting evidence are compliant with regulatory standards and meets internal policy and guidelines

oDeep KYC expertise and experience on a wide range of different type of clients: Brooker Dealers, Financial Companies, Trading, Lodging, Not Profit Organizations, Private Foundations, Investment, Trust, Insurance Companies, Pensions Plans, Utilities, Transportation, Construction, Agricultural, Manufacturing, Mining and Exploration, Foreign Banks with Corresponding Banking Accounts in U.S. {Argentina, Brasil, Bolivia, Colombia, Paraguay, Chile} as well with Foreign Government and Central Banks

oKYC Risk Factors scrutiny and calculation, if the case doing the rationale for a Change of Risk

oUSA Patriot ACT certification and recertification

oCorporate Structure and Beneficial Ownership verification process according to FINCEN rule

oCIP {Customer Identification Program) on Share Holders, Board of Directors, Senior Management, Signatories, World Check Case Reports and additional background verification process

oReview and evaluate Customer AML Policies and Procedures are among the U.S and International Standards

oCase Management, investigation and analysis of unusual transactions

Compliance Analyst

Itau Bank, New York City Branch

May 2016 – October 2017

oPerform Onboarding Process for retail and corporate clients. Initiate workflows to enable timely and accurate submission of KYC files within the bank’s internal on-boarding system

oObtain KYC related material needed, ensuring documents are compliant with regulatory standards and meets internal policy and guidelines.

oExecute CDD, ODD and EDD on Customers, review and remediation

oConduct research from internal and external sources to obtain most current back ground information on new and existing customers, industry codes, Tax ID, etc

oBeneficial Ownership verification process on all Customers

oMonitoring on foreign correspondent accounts. Perform research and analysis of unusual activity/ transactions with counterparties and other related parties, international wire transfers

oCompliance review in standby letters of credit, loans approval and disbursements, inactive, dormant accounts and accounts closing

Manager

KPMG, Mexico City

March 2015 – November 2015

oAnti- money laundering practices. Assisting Financial Institutions seeking to set a foreign branch in the U.S.

Manager

Gauss Energy, Mexico City

January 2013 – February 2015

oDrive Compliance and Quality Assurance for Multinational Companies participating in Energy Projects in Latin America. Contract award and management

oDrive Compliance in Energy Projects. Monitor deliverables on an ongoing basis by evaluating progress and Quality Assurance of tasks and products

Manager

ABC Consulting, Mexico City

January 2010 – December 2012

oDrive Compliance and Quality Assurance for Multinational Companies participating in Infrastructure Projects in Latin America. Contract award and management

Compliance Supervisor

Ministry of Treasury, Mexico City

January 2007 – December 2009

oFinancial Intelligence Unit, monitoring and reporting. Liaison with the General Attorney Office

Compliance Supervisor

Ministry of Communications and Transport, Mexico City

January 2004 – December 2006

oDesign, implementation and enforcement of Anti-Money Laundering regulations, Anti-Fraud and Anti-Corruption Rules in the National Infrastructure sector. Guidance in Procurement Procedures

Compliance Supervisor

Federal Energy Regulatory Commission, Mexico City

January 2001 – December 2003

oDesign, implementation and enforcement of Anti-Money Laundering regulations, Anti-Fraud and Anti-Corruption Rules in the National Energy sector. Guidance in Procurement Procedures

Deputy Comptroller

National Comptroller Office, Mexico City

January 1997 – December 2000

oAudit of Public - Private Infrastructure Projects. Energy, Information Technology, Transportation and Communications

Education

Certified as Anti-Money Laundering Specialist. ACAMS, New York City

Certified in Information Technology & Communications. Georgetown University, Washington D.C.

PhD in American Law. LLM, Master in International Law. JD in Latin America Law. Universidad Nacional Autonoma de Mexico, School of Law, Mexico City



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