Customer Service Quality Assurance

GERDENE BARROW

**** **** **** ****** ********, New York 11234 917-***-**** **************@*****.***

COMPLIANCE / KYC DUE DILIGENCE QUALITY ASSURANCE ANALYST

SUMMARY

Compliance Analyst with diversified experience for major International Bank. Managed Cash Management Periodic

Review for financial institutions clients, a decisive, organized and innovative worker. Functions well in highly pressured

situations and under deadlines. I am an analytical problem-solver with exceptional organizational skills. Enterprise

focused, I turn challenges into opportunities

.

Experience

Deutsche Bank 1988 – 2008

Compliance Analyst, 2004 – 2008 Performed Client Adoption Management to ensure that all new client

adoptions/account openings and existing client adoptions were performed in accordance with BSA, USA PATRIOT Act

and AML requirements. Reviewed and assessed client documentation, conduct relevant OFAC and reputation risk, due

diligence on client, management and owners, combining internal and external sources.

Analyze searches results and prepared presentations of client’s file to the Client Screening Committee. Conducted

back ground checks on CM F1 existing clients. Ensure compliance with Federal Reserve Act Section 23A.

• Contacting client to obtain required KYC information

• Reviewing and documenting KYC database information received from client

• Obtaining and documenting client financials on the KYC database.

• Reviewing databases and Internet for any adverse media coverage.

• Analyze client information, documentation and any negative news in order to determine potential risk to the

firm

• Receiving Patriot Act Certification and recording of the information in the KYC database.

• Obtaining approval of the Patriot Act information from Compliance

• Assist KYC originators on completing KYC form and advise on specific compliance requirements and

regulations

• Reviewing Foreign Bank Certificates & Recertification for validity & completeness

• Reviewed and prepare for internal/external audit.

• Review of KYC information (including Source of Wealth) and related account documentation for existing “high,

medium and low risk” high-net worth customers as defined by the Bank's Anti-Money Laundering, terrorist

financing or other related financial crimes Policy. This entails conducting independent due diligence on the

account holder and relationship, as well as interviewing business line Portfolio Managers.

• Passed all annual Fed Audit four years running

Financial Operations Specialist, Compensation Department 1988 to 2004

• Recruited to manage compensation inquiries.

• Negotiating settlement issues and discrepancies.

• Oversaw Compensation Specialist, providing analysis, routing and approvals.

• Assisted Customer Service Research, acting as liaison, addressing issues regarding process and procedures.

Merrill Lynch, 1987-1988. Accountant / Assistant Supervisor of Data Processing, Managed all executive

business expenditures. Oversaw disbursement and reimbursement for all travel and salary advances, both

domestically and abroad. Handled daily input of international data entries.

BA, Business Management, Barbados Community College

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