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AVP, Compliance, BSA/AML Manager

Burbank, CA
October 22, 2018

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Glendale, CA /818-***-**** /


Highly motivated professional with extensive experience with more than 15 plus years of Retail Banking, BSA/AML and Compliance, Policy and Procedure experience. Provided exceptional, accurate and timely follow up while in all my leadership roles. Establishing new branch offices and developing growth, deposits, sales, lines and loans, team member engagement along with implementing new products and procedures based on the financial trends. Detecting irregular activities and stopping fraud and crimes in progress. Expert in Bank Secrecy Act and Anti Money Laundering along with detecting Global High-Risk Monetary Funds. Managing a group of analysts detecting suspicious activity while reviewing high-level transactions within BSA/AML guidelines and High risk personal/business customers.


CIT Bank N.A. Compliance AVP, Complaint Management (Consulting) February 2018 – July 2018

Identifying, assigning and responding back to complaints that have been filed by customers,

Consumer Financial Protection Bureau (CFPB), Office of the Comptroller of the

Currency (OCC), Better Business Bureau (BBB), State Attorney General and Executives.

Being able to identify if a complaint requires prompt escalations to Compliance and or

Law Department

Working with the Director one on one in identifying opportunities, issues and trends. Working with Business Units to write, edit, and provide feedback on response letters to the customers.

Time management- ensuring all complaints get responses within a proper time line

Worked with Director and team to implement a new systems (PEGA)

Responsible for putting together training for our newly established Pega system

Trained 68+ individuals on how to input a manual and bulk entry on Pega

Working closely with executives/managers in different business units to establish response

letters to customers that is within police and procedure and compliance.

Documentation, reporting, SharePoint

Ensuring that response letters are factual, accurate and within Compliance

Maintain knowledge of global and local regulatory standards

Write, review policy and procedures for new process and or audit existing ones

East West Bank

Assistant Vice President-Anti Money Laundering -Supervisor July 2016 - September 2017

Review international Wires incoming/outgoing, ACH's, credits/debits, CIP, CTR, OFAC screening for the bank for new and existing accounts

Worked with BSA/AML management to develop, implement and maintain department policies and procedures related to BSA/AML

Completed Risk Reviews for enhanced due diligence high risk customers

Identified operational risk and compliance issues

Managed KYC/AML due diligence process for new customers and existing

Coordinated production of periodic performance reports for senior management, including trend analysis and recommendation

Reviewed and analyzed BSA/CIP documentation for new accounts

Developed compliance training and educational materials

Monitored business activity be reviewing over 6000 AML transactions monthly

Monitored, researched, and reported unusual activity related to potential money laundering and other suspicious activity

QC'd 17 analyst’s work providing feedback, coaching and training

Responded effectively to regulators and regulatory inquiries with outstanding results

Experienced in Lexis-Nexis Enterprise Bridger applications to support AML screening process

Identified patterns and trends and trends consistent with money laundering and terrorist financing, and flagged any suspicious activity detected

Participated in other areas of BSA/AML programs

Working with Global Compliance to stop fraud in progress

Bank of America N.A

Assistant Vice President- Financial Center Manager October 2014 - July 2016

Maintaining a profitable financial center with sales and service

Achieved highest customer service score within 30 branches

Acting district manager

Daily coaching, training, observing associates and providing feedback

Reviewing CTR’s, MIS's and CIP errors

Stopping fraud in progress

Working alongside business, MLO, merchant, Small business, FSA partners

Having daily huddles, cool downs, and monthly staff meetings

Preparing and passing of yearly audits, along with semi annually

Recruiting teller and relationship manager candidates

Managing my budget, quarterly audits

Managing daily time keep for associates

Ordering of cash from main vault for my center daily

Servicing 2 ATMS weekly, cash replenishment and deposit pull

First Financial Credit Union

Assistant Vice President -Executive Branch Manager November 2012 - July 2014

Achieved and surpassed auto and visa goals monthly and quarterly

Business development with schools and district offices

Solving member issues and concerns in a timely matter

Coaching, training new products and ideas

Conducting morning, mid-day and evening huddles

Building and tracking sales calls for the district

Recognizing and implementing good behaviors in the work field

Wells Fargo Bank

Assistant Vice President, Banking Center Manager September 2004 - July 2012

Managing sales and customer service

Hosting partner days

Implementing new products and services

Coaching, developing and training new hires

Mitigating risk

Annual audits

Performance evaluations


University of Phoenix, Business Administration, currently enrolled

Glendale Community College, General Studies

High School Diploma, Glendale High School


Technical Skills:

NICE, Actimize, PARC, BAM, Account Transaction Reporting (ATR), Synergy, FIS (VISION), Lexis/Nexis, IBS, SAR (suspicious account reporting), PSAR, Pivot Tables, Hogan, SVP, SVT, Remedy, Pega, CFPB portal, OCC portal, BBB portal, SharePoint


Compliance, Training and development, Complaint Management Operations, Employee Relations, Staff Management & Leadership, Research & Analytical Skills, Bank Secrecy Act/Anti Money Laundering, Loans & Lines, Credit Expert, Small Business Banking and Payroll Management.

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