Customer Manager
Resume:
Kenneth Anthony Lee, BA, CAMS
** ***** *****, ******, ** 08859-2501
908-***-**** / ********@*****.***
Core Professional Skills:
• OFAC compliance and risk assessment • Regulation research and analysis
• High-risk account analysis and assessment • Third-party due diligence
• Customer due diligence and enhanced due diligence • Trade Finance risk mitigation
• Policy and Procedures development and enhancement • Data mining and analysis
• Effective staff trainer and development • Excellent oral presentation skills
• Compliance risk assessment and controls • Quality Assurance Reviews
• SAR QA and Law Enforcement relations • Bank examination management
experience
Education:
Association of Certified Anti-Money Laundering Specialists (ACAMS)
o
American Bankers Association: Bank Secrecy Act and Anti-Money Laundering Training
o
General Electric: Six Sigma Training (Green Belt achieved)
o
Board of Governors of the Federal Reserve System: Examiner Certification Program
o
American Institute of Banking: Compliance Training
o
Rutgers University Graduate School of Management, Newark, NJ: MBA course work
o
Robert Morris Associates (RMA) Philadelphia, Pa: Lending To Commercial Businesses
o
Oberlin College, Oberlin, OH: Bachelor of Arts: Mass Communications Studies
o
Certification:
o Certified Anti-Money Laundering Specialist (CAMS) #845572
Employment History:
Sterling National Bank (Post merger with Provident Bank) - Montebello, NY:
2013 to 10/2014
FVP, BSA/AML/Financial Crimes Investigation Unit - Advisor
Provide regulatory and process advice regarding BSA, AML, financial crime and OFAC compliance to
the combined bank’s BSA/AML/Financial Crimes Investigations Unit. Perform targeted business unit
training, developed and led roll out of a new, robust customer onboarding tool which include KYCC
elements. Monitor specialty business lines customer base, with focus on customer, account and
enhanced due diligence. Provide advisory support to the bank’s consumer compliance function.
Received a significant retention bonus during merger integration.
Sterling National Bank- New York, NY: 2004
to 2013
FVP, Deputy Compliance Officer and OFAC Officer
Provide compliance oversight for bank and bank subsidiaries. Schedule and perform bank
compliance reviews, high-risk account reviews and support for bank Marketing Department.
Developed and conducted training for subordinate compliance department staff, new employees and
business units. Compliance department manager. Enterprise OFAC SME.
Provide KYC, ADD, CDD and EDD compliance guidance to bank’s business units. Developed compliance
department policies and procedures with focus on OFAC compliance and anti-money laundering testing.
Kenneth Anthony Lee, BA, CAMS
28 Glynn Court, Parlin, NJ 08859-2501
908-***-**** / ********@*****.***
Oversaw SAR reporting and high-risk account activity monitoring process. Bank point of contact for USA Patriot
Act §§311, 314, 318, 326 and related FinCEN compliance mandates. Responsible for ensuring that foreign
correspondent bank relationships, MSB accounts and foreign embassy accounts were compliant with bank
policies and federal banking law. Managed SAR and CTR filing process. Managed bank’s USAPA §314(a) & (b)
process. Performed key elements of enterprise-wide money laundering risk assessment. Initiated and drove
acquisition and implementation of the bank’s first automated AML detection and monitoring software solution.
Provided compliance support to Fraud Team and Marketing Department.
Woori America Bank- New York, NY 2001 to 2004
SVP, Chief Compliance Officer, BSA/OFAC Officer:
Developed and implemented bank-wide compliance policies and procedures addressing federal and
state bank regulatory compliance requirements. Developed and performed staff and expatriate senior
bank officers’ compliance training. Worked closely with outside counsel regarding bank applications,
customer subpoenas and consumer complaints. Monitored suspicious customer account activity,
wrote and filed SARs and CTRs as required. Bank’s OFAC SME. Implemented CIP, KYC and
enhanced due diligence procedures. Performed enterprise BSA risk assessment, CRA and HMDA
analysis, data compilation and annual compliance reporting. Provided monthly compliance reports to
Board of Directors. Additional responsibilities included: Loan and deposit disclosure review,
Regulation O compliance, CRA Officer and new product review.
Madison Bank- Blue Bell, PA 2000 to 2001
AVP, Compliance Officer:
Developed and rolled out bank’s compliance policies and procedures. Provided compliance training to loan and
bank operations staff, officers and Board of Directors. Conducted fair lending reviews of loan portfolio, new
products and services. Assisted in review, investigation and reporting suspicious account activity. Managed
federal and state examinations. I oversaw the bank’s CRA compliance program.
GE Capital Mortgage Services, Inc. - Cherry Hill, NJ 1998 to 2000
Department Manager, Regulatory Compliance:
Responsible for ensuring that GE’s compliance policy was established, implemented and monitored for
first mortgage, correspondent and home equity originations, to comply with state and federal
mortgage lending laws and regulations. Managed Regulatory Compliance Project teams and state
examinations and state licensing process. Managed forms and loan disclosure control design to
ensure compliance with federal and state compliance requirements, updated and enhanced
company compliance procedures. Researched and communicated state and federal mortgage
lending legislation impacting business units.
Federal Reserve Bank of Philadelphia- Philadelphia, PA 1991 to 1998
Assistant Senior Examiner:
Department of Supervision, Regulation and Credit. Performed risk-focused consumer compliance
field examinations assessing Third District, state member banks’ compliance with federal banking
regulations.
Professional Associations:
American Bankers Association (ABA)
Association of Certified Anti-money Laundering Specialists (ACAMS)
Technical Skills:
Proficiencies: MS Office applications including Word, Excel, PowerPoint
Kenneth Anthony Lee, BA, CAMS
28 Glynn Court, Parlin, NJ 08859-2501
908-***-**** / ********@*****.***
Military:
US Army Reserve: Co. C, 11th Special Forces Group (ABN)/HHD, 1st Bn - Honorable discharge 1988.
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