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AML Compliance Officer

Location:
Bear, Delaware, United States
Salary:
60/hr
Posted:
December 01, 2018

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Resume:

Jermaine Walsh

ac7ufu@r.postjobfree.com 302-***-****

Education

Kutztown University of Pennsylvania – Bachelor of Science: Management & Marketing

Professional Experience

TD BANK/Robert Half (Consultant) Philadelphia, PA

AML Compliance Quality Analyst/Senior AML Investigator March 5, 2018-October 26, 2018

Provided guidance and training to less experienced quality assurance and AML analysts

Conducted quality assurance reviews of retail and subpoena case investigations

Conducted transaction monitoring for case investigations including domestic and international wire transfers

Completed Suspicious Activity Reports (SARs) and recommend relationship retention or termination

Conducted Enhanced Due Diligence reviews on high risk clients

Assisted senior management in implementing changes to AML and compliance policies and procedures

Performed User Acceptance Testing (UAT) for AML/GFCC systems initiatives

Conducted regular risk and data quality assessments

WELLS FARGO BANK/Randstad (Consultant) Philadelphia, PA

OFAC AML Alerts Consultant 3 November 13, 2017-February 23, 2018

Ensured compliance with guidelines set forth in federal/state anti-money laundering laws and regulations including the Bank Secrecy Act and various sanctions regulations

Conducted research and background investigations on transactions, individuals, business entities, organizations and locations to identify and mitigate associated sanctions, credit, financial crimes and reputational risks and thoroughly document findings

Screened customers, prospects and/or transactions, including domestic and international wire transfers, against various regulatory reporting lists and regionally based sanctions watch lists

Evaluated risk to determine permissibility under sanctions regulations and/or BSA/AML regulations

Conducted special investigations; prepare/submit regulatory reporting such as SARS

Consulted with line of business managers, legal, agencies, customers and peers regarding due diligence findings

Participated in complex project initiatives as primary subject expert

JP MORGAN CHASE & CO. Newark, DE

AML/ KYC Multi-National Client Onboarding Officer, Sr. AVP November 2015- October 2017

Supported all aspects of multi-national client onboarding including the fulfillment of Anti Money Laundering and Know Your Customer requirements

Partnered with bankers, investors, clients, legal and compliance, serving as a relationship manager

Liaised with the client facing teams to collect required legal documents and associated information to meet all regulatory and internal polices

Performed quality review of clients’ KYC records

Managed and facilitated client due diligence, including coordinating the participation of JPMorgan stakeholders who have KYC responsibilities

Acted as a KYC and AML subject matter resource for KYC due diligence teams

Performed both User Acceptance Testing and Risk and Controls Self Assessments

Partnered with business and technology partners to identify the appropriate data for testing, and prepared said data for test execution

Identified and documented software defects with particular emphasis on the downstream implications for AML/KYC Officers and Analysts

Discussed and escalated with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues

JP MORGAN CHASE & CO. Newark, DE

Global Compliance Due Diligence Operations Manager, Sr. AVP July 2014 –November 2015

Managed a team comprised of ten AML investigators, twelve research analysts and two supervisors to meet service level agreements of five days or less while maintaining a high level of quality standards in a high pressured environment.

Supported the Commercial Bank, Investment Bank and Global Wealth Management by performing “Know Your Customer”, Anti Money Laundering and Enhanced Due Diligence support

Drafted, Reviewed and Filed Suspicious Activity Reports (SARS); recommended retention or termination of accounts

Examined financials to assist in identifying abnormal transaction patterns

Performed User Acceptance Testing (UAT) for AML/GFCC systems initiatives

Partnered with business and technology partners to identify the appropriate data for testing, and prepared said data for test execution

Execution of test scripts

Identified and documented software defects with particular emphasis on the downstream implications for AML DDO and Investigative Analysts

Improved department quality from 26% fail rate to 9.2% fail rate through individualized and team coaching and action plans

Managed daily, weekly and monthly metric reporting to manage daily throughput and quality requirements

Served as Head Recruiter for all of Delaware DDO and have hired 88% of the department staff

DISCOVER FINANCIAL SERVICES New Castle, DE

Fraud Operations Manager September 2012 - July 2014

Managed the consumer lending fraud prevention unit

Provided leadership and motivation to two team leaders and a staff of thirty-five fraud analysts

Managed the fraud strategies and mitigated over 2.5 MM in losses to the firm by preventing credit card accounts from being opened via investigating and interviewing applicants to authenticate the origin of the application

Managed call volume forecast and analysis process; including creation, distribution and maintenance of hourly, daily, monthly and long-term staffing reports.

Managed day-to-day scheduling activities to meet service level specifications. Ensured that ninety percent of all calls were answered within twenty seconds while maintaining a general service level of ninety five percent.

Drafted and administered monthly and annual performance appraisals

Developed solutions to improve productivity and efficiency

Performed both User Acceptance Testing and Risk and Controls Self Assessments

Discussed and escalated with Compliance complex issues surrounding client types and structures, financial products and services, and other Fraud risk-related issues

Operated as Chief Recruiter for the Fraud Department and hired over 45% of the department staff during an eighteen month period

JAKE’S WAYBACK BURGERS Bear, DE

Owner & Operations Manager January 2011 - December 2014

Managed the operations of four fast growing fast food franchises

Created and managed the budget to control costs for each location

Created and maintained financial and marketing growth plans

Managed company payroll, inventory and equipment servicing

Responsible for interviewing, hiring and performance management of all employees

Created and administered monthly, quarterly and annual appraisals for all store managers

Determined the types of, products, supplies, equipment to be used and merchandise to be purchased and retailed

Controlled the ultimate flow and distribution of materials, supplies and merchandise

CITI New Castle, DE

Global Loans Operations Manager, AV P March 2007 - October 2010

Managed the activities of a department specializing in servicing syndicated commercial loan transactions

Activities included the following: 3rd party loan closing and processing, AML/KYC, audit confirmation and agency investigations

Provided leadership and direction to three supervisors and a staff of fifty-five associates

Interpreted policies and adjusted procedures to meet business needs

Reviewed legal documents (Assignment & Acceptance) for compliance prior to execution of trades

Evaluated transactions and client relationships in an effort to detect money laundering activities, identified red flag issues and escalated such issues for further investigation

Responsible for training of new associates and ongoing coaching and development of tenured associates including performance management activities

Interpreted complex loan documentation and interacted with syndicate banks, relationship managers, closing associates, and corporate customers to carry out servicing requirements

Independently performed complex analysis, studies and projects to support specialized servicing of syndications

Performed both User Acceptance Testing and Risk and Controls Self Assessments



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