Quality Assurance Management

BROOKE A WIENER, J.D., CAMS

*** *. ***** *** **** Palm Beach, FL 33401 347-***-**** ********@*****.***

PROFESSIONAL SUMMARY

CAMS Certified, AML/BSA/KYC/US Patriot Act Due Diligence Analyst/Researcher

EDUCATION

2005 Juris Doctorate: Nova Southeastern University Shepard Broad Law Center

2001 Bachelor of Arts: Syracuse University

AFFILIATIONS / MEMBERSHIPS

ACAMS (Associations of Certified Anti-Money Laundering Specialists)

Leadership Committee for Community Change, NextGen Jewish Federation of Palm Beach

Soviet Jewry Committee, Jewish Federation of Palm Beach

Employment History

Associate/Compliance Specialist, Howard J. Wiener & Associates, P.L. 6/1/2008 present

Palm Beach Gardens, Florida

Work closely with partner in the areas of estate planning, trusts, wills, civil litigation, ERISA, and

sports and entertainment law

Interpret laws, rulings and regulations for individuals and businesses.

Create a company framework for identifying and developing rules and regulations involving anti-

money laundering.

Utilize knowledge of general bank regulatory requirements (KYC / AML, USA PATRIOT Act,

OFAC, BSA) in resolving complex client and Medium Risk policy issues.

Establish sound working relationships as a consultant in support of groups such as tax

attorneys, law firms, accounting firms and investment bankers.

Compliance Officer Wealth Management, The Bank of New York 3/1/2006 6/1/2008

Mellon

New York, New York

Utilized knowledge of general bank regulatory requirements (KYC / AML, USA PATRIOT Act, OFAC,

BSA) in resolving complex client and Medium Risk policy issues. .

Achieved operational objectives by contributing financial compliance information and

recommendations to strategic plans and reviews; preparing and completing action plans; completing

audits; identifying trends; determining system improvements; implementing change.

Drafted AML Risk Rationales, interpreting regulations and policy in order to determine Risk Rating on

each client under new Federal Reserve Risk Rating guidelines.

Responsible for the review and preparation of KYC information, correcting missing or incomplete

information in the KYC file.

Société Générale, KYC/AML Analyst 11/1/2005 3/1/2006

New York, New York

Reported internal control issues to management and supplied comprehensive

recommendations to mitigate the associated risks.

Gathered data for internal audits through interviews, financial research and downloads.

Supervised and coordinated projects for external auditors and examiner evaluations.

Skills Profile

Member CAMS (Association of Certified Anti-Money Laundering Specialists)

Proficient in Windows, Microsoft Word; Word Perfect; Excel; PowerPoint; Westlaw; MCS;

Documentum; Siebel Financial Services (CRM).

Advanced Certification in LexisNexis

Certificate of Completion Next Generation of Financial Crime Management; Certificate of

Completion Complying with the Foreign Account Tax Compliance Act (FATCA); Certificate of

Completion [Case Study] Gaining Practical Tools to Identify Red Flags in your Transaction

Monitoring System; Certificate of Completion The Rise of Organized Financial Crime: The New

Mafia; Certificate of Completion ACAMS 2013 Mid-Year Update: Following the Headlines

Financial and estate planning

Extensive knowledge of SEC regulations

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