Management Information

Nathaniel E. Akyeampong

**** **** **** ******, ********, NY 11234

917-***-**** ******@***.***

EXPERIENCE

Compliance Officer, United Bank for Africa, New York Branch 1/2014 - Present

• Perform periodic reviews and updates of policies and procedures in line with regulatory

guidelines, including FFIEC Manual.

Investigate Questionable Transaction Reports (QTRs) and initiate Requests for

Information. (RFI)

Perform FinCEN 314(a) searches and follow recording keeping requirements.

• Ensure the integrity of the branch’s compliance with OFAC regulations by appropriate

filtering of branch transactions.

• Ensures all daily OFAC cases in internal system are properly documented and

forwarded for approval.

• Ensures all assigned BSA cases are cleared in the required time frame and properly

documented

• Review BSA alerts for the appropriate AML compliance and fully investigates any

unusual activity.

• Prepares reports including SARs when appropriate based on conclusions reached, and

accurately conveys results of investigations in a timely manner in accordance

with bank policy.

• Downloads updates from OFAC SDN list to the NY branch’s system as they occur and

ensures changes are communicated to appropriate parties.

• Performs testing of OFAC changes within the PRIME and Finacle Core systems.

• Researches and analyzes compliance monitoring reports for suspicious/unusual

patterns of activity.

• Obtain all relevant documentation for compliance with KYC rules

• Participate in special compliance reviews and project to check for efficiency gaps

• Performs any other tasks as required to promote day to day branch compliance

• Develops the quarterly transaction look back review report.

AVP, Senior Compliance Officer, JP Morgan Chase, New York, NY 9/2012 - 8/2013

• Conducted periodic internal account/customer reviews to identify potentially suspicious

activity.

• Documented steps taken through the investigation process.

• Interfaced with bankers to obtain information related to their clients’ transaction activity.

• Prepared Suspicious Activity Reports (SAR) in compliance with established regulatory

guidelines and time frames.

• Obtained information and assistance from law enforcement agencies and peer banks.

• Reviewed Suspicious Activity Report and recommended relationship retention or

termination.

• Maintained familiarity with appropriate investigation techniques to support AML

activities, including research utilizing bank systems, internet and databases consistent with the

resolution of investigations.

• Escalated cases to Law Enforcement.

• Participated in the development of goals and execution of strategies within the

department.

• Interviewed customers when applicable.

Compliance Analyst (contract), Bank of New York Mellon, New York, NY 1/2008-9/2012

• Quality assurance - anti-money laundering

• Member of the Enforcement & Investigations Unit within the Legal Department. Made

recommendations for avoiding errors when filing Suspicious Activity Reports (SAR) and compiled

reports of consistent mistakes for the Reviewing Attorneys.

• Reviewed 50-60 SARs per week filed by investigators of the Compliance Department to

verify if correct suspicious or unusual activity has been identified and reported accordingly.

• Conferred with SAR Investigators for additional information relating to ongoing

investigations and discussed findings with Reviewing Attorneys.

• Reviewed and recommended changes to SARs written by SAR Investigators before

approval and remitting to FinCEN.

• Reviewed and evaluated internal controls and procedures for complying with

AML/KYC/BSA and OFAC regulations.

• Conducted enhanced due diligence on all high risk accounts opened and investigated

transactions that presented possible money laundering or terrorist finance risk.

• Provided support in responding to request for information from internal audit and

regulators as part of audit and exam requirement.

• Reviewed and updated policies and procedures applicable to AML/KYC Compliance

• Reviewed and conducted investigations on various types of incident reports including

Corresponding Banking Wires; Subpoenas; 314(a); 314(b); Terrorist Financing; Fraud; Money Service

Businesses and Brokerage related activity.

Senior Compliance Analyst, MacKay Shields LLC- New York, NY 5/2005-6/2007

• Developed policies regarding employee personal trading, including opening of securities

accounts for employees.

• Conducted employee trading surveillance to detect code violations and procured

information in response to regulatory inquires; developed and monitored gift and entertainment policies

and conducted surveillance to detect violations.

• Reported on employee lobbying activities and processed lobbyist registrations in various

states.

• Reviewed Soft Dollar services to ensure appropriate allocation; processed Soft Dollar

invoices for approval and payment; recorded and maintained vendor invoices and payment.

• Provided clients with relevant information about trading activities; reconciled billing

discrepancies.

• Reviewed and updated proxy-voting guidelines; prepared proxy reports; established

new accounts; coordinated with voting agent to ensure that clients’ guidelines were followed.

• Administered claims filings and their settlements, and distributed settlement checks to

clients’ account(s) as needed.

• Conducted OFAC, and FinCEN checks on new accounts; reviewed and approved KYC

documentation for new and existing clients; implemented and monitored Chinese Wall policies and

procedures.

• Reviewed surveillance for breaks of the firm’s Watch and Restricted List policies, and

maintained Restricted and Watch list.

Compliance Analyst, Alliance Capital Management Corporation, New York, NY 1/1998-5/2005

• Assisted in implementing monitoring programs to assure corporate adherence to

internal company policies and procedures, and a State and Federal Laws and Regulations.

• Coordinated continuing education classes for wholesalers and other licensed

representatives, and dealt with insurance licensing and renewals with state insurance department.

• Monitored and updated registrations with the National Futures Association.

• Assisted in interpreting new and existing securities regulations and communicated to

management the operational or functional changes necessary to assure compliance.

• Assisted in coordinating regulatory examinations and inquiries with SEC examiners;

responded to inquiries, audits, complaints and investigations.

• Kept abreast of the latest SEC, NASD and NFA regulations and how they impacted the

firm.

• Reviewed and updated proxy-voting guidelines, voted proxies, prepared proxy report,

established new accounts, organized and filed proxy materials and statements.

• Administered claims filings and their settlements, and distributed settlement checks to

clients’ account(s) as needed

• Directed leadership responsibilities for Financial Associates through coaching and

process improvements necessary to achieve critical performance targets.

• Assisted in developing policies regarding the opening of securities accounts for

employees.

• Conducted employee trading surveillance and procured information in response to

regulatory inquiries.

• Back up for monitoring investment guidelines using Charles River to determine if a

guideline violation occurred.

Paralegal, Ladas & Parry, New York, NY 10/1997-12/1997

Paralegal, Rheingold, Valet & Rheingold, New York, NY 6/1997-9/1997

EDUCATION

LL.M, Corporate, Banking & Finance, Fordham University School of Law, New York, U.S., May 2005

Common Professional Examination in Law, London Guildhall University, London U.K., June 1995

Bachelor of Arts in Law and Sociology, University of Ghana, Accra- Ghana, September 1990

BAR ADMISSION

Member, New York State Bar, Appellate Division, Second Department, Admitted 2009

ADDITIONAL

Series 6, 7 & 9

Proficient in Windows XP Professional/MSOffice, and the following Specialized Banking and Asset

Management Systems: SYFACT, Searchspace, Montran, Lexis/Nexis, Lotus Notes, World Check,

Bridger/Choicepoint, Enterprise Document Mgmt (EDM), Incident Reporting System (IRS)

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