Sign in

KYC Analyst

New York City, NY
March 05, 2019

Contact this candidate


Anny Francisco - 646-***-****

New York, New York


Microsoft Office Finet System Fintra System AS 400 Midas System ADP System Telecash Sterlink Reuters RIBS BESS Intellimatch eGifts System Dashboard System Netx360 JP Morgan Access/Eserve Bloomberg Harris Bank JP Morgan Chase Bank Bank of New York and Mellon Bank Wires System Workstation Citadel Tripod (Confirmation Manager) STIX, TREND Alexandria Cosima Factiva Global Plus ConsultWorks


KYC Specialist - UBS AG, New York, NY

02/2018 – 01/2019

As part of the Periodic Know Your Customer Review (PKR) KYC Review process conduct Due Diligence searches utilizing Cosima, Factiva and Google for LatAm and Private Banking business.

Search for any negative news in connection with the client and/or their activities including Beneficiary Owners, Authorized Signatories, account holders and Power Of Attorney (POA).

Run client's Transaction Report and review their history for a twelve month period.

Business Drafter Analyst - Morgan Stanley, New York, NY

03/2017 - 07/2017

Reviewed booking in the Risk System to ensure applicable risk rating was applied.

Built and maintained relationships with Internal Partners such as Trading support and Incoming Confirmations Group.

Drafted and second checking of Confirmations for Structure Interest Rate and Hybrid Derivative Transactions under ISDA definition (2006 and others), including the production of language for the confirmation of bespoke transactions.

Client Account Opening Specialist - JP Morgan Chase & Co., Brooklyn, NY

01/2016 - 12/2016

Opened accounts for Domestic, Global and Tier One Institutional Clients.

Reviewed all required Account Opening documentation to ensure it complied with all policies procedures.

Ensured Global accounts were linked to corresponding Foreign Markets.

Processed account Technology View Access (Entitlements) for the Institutional clients.

Numerous projects as directed by management.

Onboarding Specialist - JP Morgan Chase & Co., Brooklyn, NY

03/2015 - 09/2015

Performed comprehensive Client-Onboarding activities for LatAm and Private Banking business.

Liaise effectively with client-facing team to provide information as needed around institutional client documentation, account opening policies, or global Private Banking standards.

Validated all client data and supporting documentation was appropriately recorded and stored on proprietary systems.

Partnered regularly with Service team to fulfill client requests such as update account information and answer general inquiries.

Actively participated in Account Opening Group (AOG) project such as collection of missing documentation, remediation activities, client reference data reconciliation and regulatory control standards.

Enhanced Due Diligence (EDD), Suspicious Activity Reports (SAR) and Financial Risk.

Client Service Associate Analyst - Barclays, New York, NY

04/2014 - 12/2014

Managed account opening process for new and existing clients. This included collecting account-specific information, recording data via account-opening system, retrieving relevant executed documentation from clients and ensuring compliance with regulatory procedures including ‘Know Your Customer’ protocols.

Utilized Well Check and Google to obtain any available negative information from the client.

Reviewed client account activity on a daily basis to ensured overall accuracy, proper settlement of transactions and reconciliation of sales credits and fees.

Performed array of client administration activities including fund disbursements, subscriptions and redemptions for managed products, facilitating performance reporting, etc.

Prepared client correspondence for Sr. Relationship Managers and Financial Advisors following Firm guidelines.

Responded in a timely manner to the changing needs of the clients while maintaining a high standard quality such as wire transfers and checks.

Reconciliation Specialist - RBC, New York, NY

11/2013 - 02/2014

Responsible for the reconciliation of Bank accounts: JP Morgan Chase, Canadian dollar, Federal Reserve and Official Checks.

Ensured the daily reconciliation of the Federal Reserve, JP Morgan Chase and Canadian Nostro accounts were completed and reports distributed.

Ensured Sarbanes-Oxely Act (SOX) requirements were maintained.

Followed-up on open items to ensure timely resolution.

Client Service Associate - Oppenheimer & Co. Inc., New York, NY

11/2005 - 01/2013

Constant interaction with International clients in regards to account balances and trade information to facilitated client's trading activities.

Processed journals, wires, checks, ACATs, address changes, trade errors, DTC and Euroclear settlements.

Performed regulatory AML and KYC Due Diligence searches.

Ensured International clients and companies had the proper documentation for the On-Boarding process.

Researched, follow-up and resolved client inquiries through effective interaction with customers, custodians, and other service providers. Ensured client’s needs were met in an accurate, timely and highly professional manner.

Handled expense accounts for Financial Advisors.

Reconciliation Specialist

10/1998 - 10/2005

Confirmed company guidelines and policies for cash processes were followed adequately and effectively, to prevent errors in cash balance calculations.

Reconciled cash amounts on company’s accounting ledger in agreement with bank balances.

Swift investigations: Prompt response required to avoid loss of dollars due to sell out of customer’s account for lack of information or delayed response to unallocated and open Swift inquires.

Arranged back value and cash compensation cases due to non-receipt of funds.

Answered to customer telephone inquiries regarding status on incoming and outgoing wires.

Daily input on check writing system and customer wires.

Assured proper investigation procedures for checks collections were followed.


Lehman Herbert College, Bronx, NY

Bachelor of Science Computing and Management

Contact this candidate