DAVID W MORRIS, CAMS

201-***-**** ac79rx@r.postjobfree.com

SUMMARY

Certified financial services professional with expertise in Anti-Money Laundering, Due Diligence, and Risk Assessment. Analyst with strong verbal, written and organizational skills. Experience includes:

Correspondent Banking

Retail Banking

Broker-Dealers

Transaction Monitoring

SAR/CAR Filings

Remediation Projects

Lexis Nexis/RDC/OFAC

MicroSoft Suite (Word/Excel)

EXPERIENCE

BANK of MONTREAL

Quality Assurance Analyst (Consultant), New York, New York 2018

Reviewed the accuracy of the KYC/On-Boarding files in accordance with bank policy and regulatory guidelines, including independent research and evidence of customer information and documentation, adjudication of information and alerts related to PEPs, Adverse Media and Sanctions, data entry within the Capital Markets CIP Risk Scoring system.

Ensured that appropriate documentation was received, and each customer profile updated.

Provided feedback and guidance to KYC analysts for completion of client on-boarding process.

DEUTSCHE BANK

KYC/EDD Analyst (Consultant), New York, New York 2017 - 2018

Reviewed the completeness of the KYC files in accordance with bank policy procedures and AML/BSA regulatory guidelines, which include identification and verification of the client, understanding the client’s business and background, the purpose and nature of the relationship with the bank and the control and ownership structure of the entity.

Provided a written summary assessing the risk the client poses to the bank.

COMMERZBANK 2016 - 2017

Senior Investigator (Consultant), New York, New York

Reviewed alerts for potentially suspicious account activity for broker-dealer and correspondent banking clients. Analyzed transactions, performed due diligence, submitted RFIs. Drafted SARs/CARs.

Conducted Percentage of Market Cap Analysis when warranted. Participated in lookback project, resulting in clearance of approximately 1,000 alerts.

Reviewed, assessed and provided direction of Investigator’s case work for case completion.

CHINA MERCHANTS BANK 2016

Transaction Monitoring/KYC Analyst (Consultant), New York, New York

Reviewed alerts for potentially suspicious account activity for high net worth international clients.

Performed analysis, cleared alerts, submitted RFIs and/or escalated cases when warranted.

Performed OFAC checks. Acted as a liaison between business units and BSA/AML Senior Management on KYC/EDD related matters.

OPPENHEIMER & COMPANY 2015

KYC/Transaction Monitoring Analyst (Consultant), New York, New York

Reviewed system generated alerts for potentially suspicious account activity.

Cleared alerts, submitted RFIs and/or escalated cases when warranted.

Performed due diligence including OFAC checks on existing clients, primarily high net worth individuals and entities in high risk jurisdictions.

DAVID W MORRIS Page Two

JEFFERIES LLC 2014

AML Analyst (Consultant), Jersey City, New Jersey

Analyst for a Remediation Project. Responsibilities included onboarding clients onto Jefferies Bank systems.

Performed enhanced due diligence including OFAC checks on individuals, entities and their principals, trusts and trustees. Performed risk analysis.

BROWN BROTHERS HARRIMAN 2013

Compliance Analyst, AML (Consultant), New York, New York

Advised the Anti-Money Laundering Division management team on potential securities risks related to recent transactions.

Conducted enhanced due diligence on Over-the-Counter (OTC), Nasdaq, NYSE, private securities and associated individuals.

Created reports from the analysis of SEC documents, public records, legal and news sources. Made recommendations as to the investment suitability of researched securities.

LLOYDS BANK 2012 - 2013

Quality Assurance Analyst, AML (Consultant), New York, New York

Reviewed KYC Due Diligence Specialist completion of KYC remediation files.

Reviewed existing customer files including data collection, conducted due diligence on entities and principals, performed on-boarding procedures to Lloyds Bank’s application and creation of KYC files before forwarding to Compliance Department.

Maintained progress statistics and met production target volumes.

TD BANK 2011 – 2012

KYC/Transaction Monitoring Analyst (Consultant), Mahwah, NJ

Analyzed KYC data of existing clients to meet the KYC, AML, BSA and Bank guidelines.

Conducted due diligence/OFAC research on Private Bank clients.

Reviewed and analyzed account transactions for suspicious activity. Made recommendations to Relationship Managers to maintain TD AML guidelines.

EDUCATION

BS, Business Management, Fairleigh Dickinson University, Teaneck, NJ

CERTIFICATION

Certified Anti-Money Laundering Specialists (CAMS)

PRIOR LICENSURE

Series 7 and 63

New York State Life & Health

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