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Manager Case

Location:
Wyncote, Pennsylvania, 19095, United States
Posted:
October 29, 2018

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Resume:

Franklin J. Moultrie Jr.

(Cell) 267-***-****

HOME: ** *** ********** ** *******, PA 19095

Email: ac7jgi@r.postjobfree.com

PROFESSIONAL PROFILE:

Banking Compliance experience - AML/BSA II/III Specialist (4yrs), New Business Case Manager (1yr), Data Analyst Biotech Pharmaceutical Company (1yr). Banking experience – AML Specialist (3yrs), excellent organization, time management and multi-tasking dexterity.

Risk & Compliance Analyst Shinhan Bank Korea – Hamilton, NJ

Compliance Consultant Analyst III JP Morgan Chase – Newark, DE

Compliance Consultant Analyst III Wells Fargo N.A – Philadelphia, PA

BSA Compliance Alert Analyst Fulton Financial Bank – Mount Laurel, NJ

AML/BSA Reg. Ops. Specialist III BNY Mellon – Wilmington, DE

AML/BSA CIP Specialist II TD Bank – Mount Laurel, NJ

New Business Case Manager Prudential – Dresher, PA

AML/BSA Specialist I J& J Staffing Agency – Horsham, PA

AML/BSA Specialist Adecco Agency – Horsham, PA

Risk, Operations

Legal Compliance

Knowledge of AML/BSA and requisite regulatory requirements

OFAC, FinCEN USA Patriot Act and FINTRAC regulations

Understanding of money laundering laws and regulations

Understanding of cash flow as it relates to policy/contract and brokerage accounts

Knowledge of Mutual Fund, Life/Annuity and Broker Dealer products

Proficient use of Microsoft Office Suite to include Excel, Access and PowerPoint

TECHNICAL SKILLS:

Office Suite-Word, Excel, PowerPoint, Access

Customer Identification Program

Storefront Advantage MS

Align Plus

Quattro Pro

Dataflux

Adobe

Outlook Calendar

LexisNexis – Ant-Money Laundering Solutions

LexisNexis Bridger Insight

EDUCATION:

WBA-World Basketball Association - Marietta Storm – Atlanta, GA 4/2011 – 7/2012

Professional Overseas Basketball – Canada, Australia and Iceland 2007 - 2011

Kutztown University - Bachelor’s Degree (Scholarship) - Lehigh Valley, PA 8/2002 – 4/2007

William Tennent High School - Point Guard - Warminster PA 8/1998 – 6/2002

PROFESSIONAL HISTORY: BANKING COMPLIANCE – BSA/AML – RISK MANAGEMENT

Risk & Compliance Analyst Shinhan Bank Korea – Hamilton, NJ 8/2018 – 8/2018

( 1 Month) Assignment ended of August with Hamlyn Williams

a look-back project with extensive experience AML investigations, particularly alert clearing.

Conduct reviews of bank customers (individuals/entities), related parties (owners, board of directors, executives) and/or transactions that present the highest level of complexity and risk to determine appropriateness.

Responsibilities may include: conduct research and/or background investigations on transactions, individuals, business entities, organizations and/or locations to identify and mitigate associated sanctions, credit, financial crimes, and reputational risks and thoroughly document findings.

Review and analyze due diligence data from a variety of sources to determine overall risk. Screen customers, prospects and/or transactions against various regulatory reporting lists and regionally based sanctions watch lists. Evaluate risks to determine permissibility under sanctions regulations and/or BSA/AML regulations.

Compliance Consultant Analyst III JP Morgan Chase – Newark, DE 5/2018 – 7/2018

( Month to Month) Assignment ended with Randstad

Independently manage and disposition AML alert, including conducting investigations and research as needed. Manage Alert volume, including performing intake controls to ensure all Alerts are documented and assigned in a timely manner.

Create and maintain investigation documentation, including alert, investigation, or Suspicious Activity Report (SAR) history; Know Your Customer (KYC) information; relevant account and transaction data; plus any other required information for the investigation. Augment investigation documentation as needed, including conducting independent research through Lexis/Nexis, Web and other sources. Determine need for, compose, send and asses replies to LOB requests for information to determine whether unresolved identified anti-money laundering and/or terrorist financing risk(s) can be mitigated

Review and analyze underlying data gathered to assess whether the alert should be cleared or if there is reasonable cause to escalate to case and/or SAR. Disposition and fully document all alerts, cases and SARs, including supporting data, analysis and rationale for disposition, within the case management system in a timely manner and in compliance with regulatory guidelines. Flag significant SARs to senior management and LOBs, as appropriate

Build relationships with other AML Investigations units, effectively communicating and transferring information, as needed. Function as a key contributor and demonstrate knowledge of AML issues, as well as broader functional knowledge. Meet departmental quality standards

Compliance Consultant Analyst Wells Fargo N.A – Philadelphia, PA 6/2017 – 04/2018

( 10 months) Assignment ended Randstad

Conduct reviews of bank customers (individuals/entities), related parties (owners, board of directors, executives) and/or transactions that present the highest level of complexity and risk to determine appropriateness.

Responsibilities may include: conduct research and/or background investigations on transactions, individuals, business entities, organizations and/or locations to identify and mitigate associated sanctions, credit, financial crimes, and reputational risks and thoroughly document findings.

Review and analyze due diligence data from a variety of sources to determine overall risk. Screen customers, prospects and/or transactions against various regulatory reporting lists and regionally based sanctions watch lists. Evaluate risks to determine permissibility under sanctions regulations and/or BSA/AML regulations.

Work with high risk customers (e.g. casinos, MSBs, payment processors) to understand controls and activities. Provide appropriate direction to the line of business. Escalate confirmed sanctions alerts, PEP matches and other risks appropriately.

Consult with line of business managers, legal, agencies, customers and peers regarding due diligence findings. Participate in complex project initiatives as primary subject matter expert. Senior level role may conduct special investigations; prepare/submit regulatory reporting and requests; act as a team lead; mentor consultants with less experience; focal point for escalated issues; develop and deliver procedures/training; assist in the review of staff cases to ensure compliance with regulatory and departmental guidance.

BSA Compliance Alert Analyst Fulton Bank – Mount Laurel, NJ 8/2016 – 10/2016

(2 month) Assignment End

The Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) Alert Analyst position serves as an expert research specialist performing a wide range of functions with a high level of difficulty and complexity.

The alert analyst is responsible for utilizing a wide variety of databases and applications to develop a base of information from which to draw inferences and summaries.

Responsible for accurately evaluating customer information and taking the appreciate action to protect

the company against risk of money laundering activity in accordance with law and bank policy in consultation with the BSA/AML management staff.

Alert Analysis is responsible for providing the FIU Investigations unit with an initial formal assessment of potential money laundering, terrorist financing, and other nefarious activity based on system and manually sourced alerts, consistent with government and bank standards.

AML SPECIALIST III BNY MELLON - Wilmington, Delaware 4/2013 – 8/2016

Support management with day-to-day compliance efforts with Politically Exposed Persons and FinCEN Section 314(a) requirements

Understand the overall direction of Compliance business, core services and knowledge of policies and department procedures.

Identify required customer information to complete identification of the shareholder as it relates to USA Patriot Act compliance.

Working knowledge in of USA Patriot Act regulations for prevention of fraud, terrorism and anti-money laundering policies.

Ensure absolute compliance with regulatory policies through the review, resolution and escalation of unconfirmed or questionable attributes that present risk to the company and clients

Point of Contact Resource for Client and Investor inquiries regarding documentary or informational requirements.

NEW BUSINESS CASE MANAGER Prudential - Dresher, PA 4/2012 – 11/2012

J& J Staffing Agency (7 month) Contract End

Manage new business cases in Annuities and IRA investments

Perform detailed analysis of potential and existing clients, identifying high-risk criteria.

Document results and consult with AMLU Management for appropriated disposition.

Monitor new/existing clients for potential suspicious activity and undertake appropriate review by

drafting Suspicious Activity Reports under the supervision of AMLU Management.

Perform other Anti-Money Laundering and OFAC compliance duties as required

Analyze cause and recommends corrective measures. Manage new and existing case with minimal supervision and direction. Utilize excellent time-management and critical thinking skills.

AML -/BSA CIP SPECIALIST II TD Bank - Mt. Laurel, NJ 3/2010 - 4/2011

(1 year) Assignment End

AML (Anti-Money Laundering) Management - Duties to include reviewing exceptions derived from various prevention filters and monitoring suspicious activities. Responsible for performing diverse and complex analysis of potential AML suspect accounts and activities. Ensure accuracy of documenting and tracking of investigations and decisions.

Risk/Regulatory – Review, research and make determination of suspicion on items and transactions identified according to the Bank Secrecy Act via AML automated alerts or manual reports/referrals. Prepare and complete required forms (as needed) for regulatory filing according to FinCEN guidelines. Ensure that filings are completed accurately, timely and meeting regulatory requirements. Understand and stay current on the Red Flags and industry trends related to AML and OFAC program requirements. Monitor and review AML and OFAC alerts related to deposit account activity and coordinate with Compliance staff to resolve potential OFAC matches.

Investigations - Conduct AML Investigations, including customer and account level research on a

wide variety of data, to detect and determine suspicious and/or illegal activity. Conduct background investigations as required.

All functions will communicate with BSA Officer, branch personnel and/or other departments as

needed. Provide guidance to Customer Support representative to ensure timely and accurate escalation of suspicious activity. Partner with Operations, Compliance, Finance and IT teams to ensure policy drives and process changes as needed for continuous growth.

Knowledge of CIP, BSA and/or AML regulations requirements and procedures

AML - SPECIALIST I J& J Staffing Agency – Horsham, PA 6/2008 - 4/2009

AML - SPECIALIST Adecco Agency – Horsham, PA 4/2006 - 6/2008

J& J Staffing Agency (2 years and 10 month) Contract End

Risk/Regulatory – Review, research and make determination of suspicion on items and transactions identified according to the Bank Secrecy Act via AML automated alerts or manual reports/referrals. Prepare and complete required forms (as needed) for regulatory filing according to FinCEN guidelines. Ensure that filings are completed accurately, timely and meeting regulatory requirements. Understand and stay current on the Red Flags and industry trends related to AML and OFAC program requirements. Monitor and review AML and OFAC alerts related to deposit.

AML (Anti-Money Laundering) Management - Duties to include reviewing exceptions derived from various prevention filters and monitoring suspicious activities. Responsible for performing diverse and complex analysis of potential AML suspects accounts and activities. Ensure accuracy of documenting and tracking of investigations and decisions.

Patriot Act compliance. Support management with day-to-day compliance efforts with politically

Exposed Persons and FinCEN Section 314(a) requirements.

All functions will communicate with BSA Officer, branch personnel and/or other departments as

needed. Provide guidance to Customer Support representative to ensure timely and accurate

escalation of suspicious activity. Partner with Operations, Compliance, Finance and IT teams to

ensure policy drives and process changes as needed for continuous growth.



Contact this candidate