AML KYC

KEVIN GEOGHEGAN

*** ****** *********, **** *****, NY Cell Phone: 201-***-****

www.linkedin.com/in/kevin-geoghegan-cams-68128948 ********@*****.***

AML/KYC/Investment Operations Executive with a strong regulatory and compliance background and extensive experience in global asset management, banking, and brokerage environments. Expertise includes overseeing sensitive, high-profile and high-risk accounts and documentation, performing anti-money laundering and know your customer analysis and prioritizing high risk case management to reduce operational, reputational and regulatory risks.

Accomplished Adaptable Dedicated Diligent Positive Professional

PROFESSIONAL EXPERIENCE

NATIXIS NORTH AMERICA, LLC 02/18 – 11/18

Client Management and Strategy / Client Service / KYC onboarding

Prepared in-depth client vetting reviews of global institutional clients, ensuring compliance with French and U.S standards

Provided guidance and subject matter expertise to analysts on AML/KYC issues, questions and procedures.

RABOBANK, New York, NY 05/16 – 02/18

Compliance Consultant – KYC

Completed required KYC files for high risk bank and brokerage clients by analyzing client products, transactions and documentation to ensure adherence to Rabobank global and local U.S. regulatory standards.

Liaised with compliance, KYC team leads and QC, RM’s and senior management to review, comment and update desktop procedures, compliance procedures, internal forms and approval documentation.

Provided guidance and subject matter expertise to analysts on AML/KYC issues, questions and procedures.

STATE STREET CORPORATION, New York, NY 01/16 – 05/16

Compliance and Regulatory Reporting Services (CARR’s) Consultant for International Fund Services (IFS)

Prepared in-depth reviews of client profiles, ensuring compliance with AML/KYC policies and procedures for Alternative Investment clients including Cayman Island and Ireland domiciled Hedge funds and Private Equity funds, Real Estate Investment Trusts and Special Purpose Vehicles.

JP MORGAN CHASE BANK, Brooklyn, NY 05/13 – 12/15

Consultant – Corporate & Investment Bank – IB KYC Support Group – Quality Control

KYC Quality Control review and approval of assigned Prime Brokerage cases

Coordinated the participation of JPMorgan stakeholders (Compliance, Credit Risk, Sales) who have KYC responsibilities

Resolved complex issues surrounding client types, financial products, and internal risk ratings.

Reviewed and approved documentation for Hedge Funds, Private Investment Companies, Special Purpose Entities, Bank and non-bank financial institutions, Trusts and global corporate clients.

Consultant – Consumer and Community Banking - Global Financial Crimes Compliance – AML Operations

Identified, evaluated and mitigated reputational, money laundering and terrorist financing risks.

Investigated, researched, and assessed global client transactions to ensure compliance with Bank Secrecy Act, OFAC and FinCen regulations and requirements.

Performed database and media screenings utilizing Bridger, LexisNexis, PACER, and World-Check.

Performed relationship reviews of Politically Exposed clients (PEP’s).

BLACKROCK, New York, NY 2005 – 2013

Vice President, Global Client Group – U.S. Retail – Business Analytics – Contracts & Administration

Provided functional, operational and technical client service and support to high value, high profile clients.

Developed policies, procedures, training processes, management reports and fund Board presentations.

Managed multiple projects which identified and reduced operational, finance, legal and regulatory risk.

Identified, prioritized and managed a pipeline of client non-disclosure, service and selling agreements to enhance relationships, increase sales, and capitalize on additional opportunities for revenue.

Participated with multiple teams (Compliance & Legal, Defined Contribution, Finance, Fund Administration, High Net Worth, Marketing, Global Consultant Relations, Global Operations, and Strategic Relationships) on multiple platforms and products to identify gaps, offer higher revenue options or reduce overlap in underperforming funds.

BANK JULIUS BAER, New York, NY 2003 – 2005

Assistant Vice President, Compliance Specialist – Legal & Compliance

Responsible for handling all compliance related matters on behalf of Julius Baer North America; Bank Julius Baer New York, Julius Baer Securities Inc., and Julius Baer Investment Management LLC.

Implemented policies and procedures for AML, code of ethics, conflicts of interest, KYC, and portfolio management and trading.

Tested and assisted in the installation of software to comply with regulatory requirements, including e-mail monitoring and personal trading.

COMMERZBANK CAPITAL MARKETS, New York, NY 1999 – 2003

Assistant Vice President, Middle Office – Equity Derivatives

Located on the trading floor, booked, monitored, and reconciled proprietary positions for Equity Derivative, Equity Finance, and Program Trading desks.

Tracked and maintained customer documentation, agreements, and correspondence.

MORGAN STANLEY, Brooklyn, NY 1997 – 1999

Associate – Correspondent Clearing International Group

Monitored and resolved domestic and international settlement issues, including corporate actions, for equity and fixed income client accounts.

Point of contact between clients and global operations teams in Hong Kong, London, New York, and Tokyo.

Co-manager of Foreign Exchange processing.

EDUCATION

Fordham University - New York, NY 1994

Master of Business Administration (MBA), Finance with an International Business Designation

Florida State University - Tallahassee, FL 1987

Bachelor of Science, Real Estate

CERTIFICATIONS AND PROFESSIONAL LICENSES

Certified Anti-Money Laundering Specialist (CAMS)

Certified Risk and Compliance Management Professional (CRCMP)

FINRA Registrations through March 2013: Series 7, Series 63, and Series 24

COMMUNITY ACTIVITIES

Long Beach Volunteer Fire Department – Long Beach, NY 2005 – Present

Department Treasurer and Firefighter – Ladder 2362

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