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Customer Service Information Security

Location:
United States
Salary:
73,000
Posted:
August 16, 2018

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Resume:

*** ***** ******** **.

Davidson, N.C. *****

704-***-****

ac6o2v@r.postjobfree.com

JOSETTE A. SANACORE

OBJECTIVE

Seeking position utilizing my professional investigative experience focused on anti-money laundering, financial crimes, Analytics and securities risk management.

SKILLS

Offers over 17 year’s experience in fast-paced, financial environments (NYSE) knowledge of FINRA, SEC, NASD, FINCIN, BSA, AML and OFCA experience. Series 14, 14A, 24, 25.

Solid analytical skills with the ability to collect, organize, analyze, and propagate significant amounts of information with attention to detail and accuracy.

Was part of a new group that was created due to consent order on major bank and MRA.

In-depth knowledge and understanding of BSA /AML/OFCA compliance practices and methodologies, including risk assessment, monitoring/surveillance, testing activities and project management. Detail oriented and able to ensure accuracy when working with business rules, data, and reports.

Excellent skill level with use of LexisNexis, Mantas, Branch Net, Actimize and BETA applications.

Maintains complete confidentiality in dealing with financial sensitive documentation.

Demonstrated experience making independent critical fact based decisions while understanding the appropriate escalation points able to meet tight deadlines.

WORK HISTORY

US BANK CHARLOTTE, NC

July 2015- Present

Conduct review of all system generated alerts created from the centralized monitoring programs within Enterprise Financial Crimes Compliance EFCC and manually created alerts from internal and external referral sources. Responsible for reviewing alerting transactional activity and making a recommendation to close an alert or send it to AML Investigations for further review by utilizing internal systems to review customer and transactional information, conducting public data searches, and utilizing internal guidance to make a determination.

Analyze customer account transactions to detect unusual activity, decide on appropriate action, and create a clear and concise comment that supports that action.

Work cooperatively with business lines to establish procedures for identifying suspicious customer transactions, specific to money laundering, including the proper method for reporting such activity.

Work with internal departments to obtain and analyze necessary information related to the investigation.

Assist in implementation of AML/BSA detection and prevention methods, including the creation of instruction manuals and training.

Assist with any special projects or critical alert reviews.

Actively ensure compliance with the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies and procedures.

KELLOGG GROUP LLC., NYSE NEW YORK RESOLUTION CLERK & COMPLIANCE OFFICER/TRADING ASSISTANT

2003-2012

Supported special surveillance committee. Compiled detailed list of procedures to meet NYSE and FINRA regulations. Served as a liaison between market maker and on-floor surveillance team. Create, maintain and review policies, procedures, and practices to ensure compliance with all laws and regulations for firm that specializes in multi-asset class offerings including forex, equities, options, and futures products. Monitor firm and employee activities by conducting ongoing reviews for employee correspondence and their activities via the firm’s various social networking sites. Perform prospective client analysis on high risk accounts, including enhanced due diligence for effective assessment of viability and risk level of prospective client.

Preformed work on projects and pilot implementation of new policy and procedures.

Working knowledge of SEC and FINRA regulations relating to equities market making and proprietary trading, including but not limited to, Reg ATS, Reg NMS, Reg SHO, ACT, OATS and other various trading rules.

Providing advice on general and complex trading rules and regulations.

Experience in developing, implementing and enforcing a detailed compliance program (including policies and procedures) to ensure compliance with SEC and FINRA regulations and firm policies.

Experience with ensuring infrastructure and processes associated with equities market making are robust and effective.

Liaising with business leaders and information systems teams to assist with systems enhancements and development as related to regulatory and firm obligations.

Skilled in researching new or amended laws and regulations to determine impact on internal processes, procedures, surveillance and trading systems. Providing compliance briefs on upcoming rules, revisions to rules, and industry practices.

Ability to identify potential areas of compliance vulnerability and risks.

Experience in participating in regulatory exams, responding to regulatory inquiries and assisting in internal audit reviews.

Knowledge of AML compliance

LABRANCHE AND CO LLC. NYSE, NEW YORK COMPLIANCE ANALYST, TRADING FLOOR OPERATIONS TEAM LEAD

1998-2003

Process licensing and registrations for employees, fingerprinting, and background searches for NFA and FINRA registrations.

Compile and maintain monthly payables/receivables, invoicing, expense sharing, and record keeping to firm CPA and FINOP

Creation of yearly educational programs such as Firm Element – Continuing Education, Ethics Training, and Employee Development programs to maintain efficiency with securities, futures, and forex markets

Research and respond to customer formal complaints against the firm and/or employees and report them to regulators as required

Create and maintain corporate records (minutes, bylaws, shareholder meetings, etc.) for all affiliated companies.

Perform surveillance of employee outside business activities and accounts

Serve as operational (new accounts, customer service, and margins department) liaison on behalf of the department

Screen customer daily trading and cash activities for any inconsistencies in relation to firm and industry guidelines

Daily monitoring, construction, drafting, and proofreading of firm-related correspondence

Review, edit, and provide guidance for promotional material in accordance to FINRA and NFA advertising regulation

U.S. CLEARING CORP/QUICK & REILY GROUP, NYSE, NEW YORK TRADING ASSISTANT

1992-1998

Executed basic trades, P&L reconciliation and booking amending, confirming trades. Acted as liaison between floor trader and back office. Worked under supervision of head floor broker. Worked independently as well as collaboratively within team environment. Worked accurately and efficiently in a fast-paced, high-pressure and rapidly changing environment.

EDUCATION

B S LONG ISLAND UNIVERSITY CRIMINAL JUSTICE 1991

PARALEGAL CERTIFICATION LONG ISLAND UNIVERSITY

Avon Walk for Breast Cancer 2009,2010,2011



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