Quality Assurance Management
Resume:
Billy R Giggins
acqxmh@r.postjobfree.com
acqxmh@r.postjobfree.com
Summary
I have over 9 years of experience and knowledge in the following areas: banking financial industrial, fraud investigation, preparing suspicious activity reports (SAR’s), mobile/internet banking, leadership skills, analytical skills, compliance with emphasis on Patriot Act, BSA, OFAC, and CIP, KYC Remediation, EDD, and global sanction regulations, Pricing analysis, underwriting conventional-conforming loan products, and case management. In addition, MS Office, Lotus Notes, BASELII SharePoint, BETA, NorKom, WorldCheck, Patriot Officer, Fiserv, Nautilis, Actimize, HOGAN, Mainframe (Rumba), CRU, RCD, Mantas, and Lexis Nexis.
EXPERIENCE:
Rabobank Atlanta, GA
Sr. AML Analyst January 2015-April 2015
• Prepared objective narratives explaining the details of the event, summarizing the activities, referencing the facts and determining if the activity was normal or unusual.
• Identified and escalated critical issues to QC supervisors for further review
• Worked independently in a high-volume environment
• Utilized in-house research tools as well as external research tools to conduct daily investigations
• Conducted quality assurance review on domestic and international accounts.
• Responsible for staying abreast of all AML trends and money laundering typologies.
• Performed enhanced due diligent (EDD) review and risk analysis for current and newly acquired customer which included; Political Expose People (PEP), cash intensive businesses, charities, and Non-Residence Alien (NRA’s) clients
TIAA-CREF Charlotte, NC
Sr. AML Compliance Associate October 2014-January 2015
• Conducted enhance due diligent review on political exposure people (PEP).
• Conducted extensive review on wealth management accounts as well as brokerage accounts.
• Prepared objective narratives explaining the details of the event, summarizing the activities, referencing the facts and determining if the activity was normal or unusual
• Collaborate with business partners regarding wealth/investment and trust accounts
• Used various investigation tools to conduct comprehensive research
Cypress Resources Birmingham, AL
Sr. EDD Compliance Analyst June 2014-Oct 2014
• Performed enhanced due diligent (EDD) review and risk analysis on current and newly acquired high-risk accounts such as Money Servicing Businesses, Import/Export Businesses, ATM Businesses, and Casinos, Used Vehicle dealerships with Non-Bank Financing, Non-Resident Aliens (NRA) Political Exposed Person (PEP) and Wealth Management clients.
• Conducted quality assurance reviews on monetary instruments, Fed Wire, and SWIFT transaction
• Performed AML- risk rating assessments on all high-risk accounts
• Utilized in-house research tools as well as external research tools to conduct daily investigation activities with accounts.
• Collaborated with business partners regarding account activity.
• Identified and escalated critical issues to upper management for further review.
• Worked independently in a high-volume environment; daily.
Mastech Newark, DE
Sr. AML Analyst Nov 2013 – May 2014
• Conducted quality assurance review on all international that the bank deemed high risk.
• Conducted a daily review of the OFAC watch-list;
• Performed enhanced due diligent (EDD) review and risk analysis for current and newly acquired customer which included; Political Expose People, cash intensive businesses, charities, and Non- Residence Alien (NRA’s) clients
• Prepared objective narratives explaining the details of the event, summarizing the activities, referencing the facts and determining if the activity was normal or unusual.
• Identified and escalated critical issues to QC supervisors for further review.
• Worked independently in a high-volume environment
• Utilized in-house research tools as well as external research tools to conduct daily investigations.
• Conducted quality assurance reviews of monetary instruments, FedWire, and SWIFT transaction activities.
Accountability Newark, DE
SAR Specialist July 2013 – Nov 2013
• Prepared Suspicious Activity Reports (SAR’s)
• Utilized in-house research tools as well as external research tools to conduct daily investigations.
• Received daily updates on economic and global sanctions laws /Office of Foreign Assets Control (OFAC) laws, Patriot Act and Bank Security Act regulations (BSA) and Specially Designated National List (SDN); daily to determine if there’s a match / no match against various high risk clients/countries.
• Identified and escalated critical issues to QC supervisors for further review.
• Conducted AML investigations as well as conduct quality assurance reviews of transaction monitoring.
• Worked independently in a high-volume environment.
Accountability Omaha, NE
Quality Control Analyst May 2013 – July 2013
• Performed enhanced due diligent (EDD) review and risk analysis for current and newly acquired cash intensive businesses, charities, NRA's and wealth management clients.
• Preformed AML- risk rating assessments on all reviewed accounts
• Utilized in-house research tools as well as external research tools to conduct daily investigations activities.
• Collaborated with business partners and compliance officers regarding client activity.
• Identified and escalated critical issues to QC supervisors for further review.
• Worked independently in a high-volume environment; daily.
• Prepared objective narratives explaining the details of the events, summarizing the activities, referencing the facts and determining if the activity was normal or unusual
ISPA- (look-back project) Jersey City, NJ
AML Investigation Analyst Aug. 2012- Jan 2013
• Conducted quality assurance reviews of monetary instruments (currency, Fed Wire, and SWIFT transaction activities) on all international accounts
• Conducted a daily review of the OFAC watch-list;
• Performed enhanced due diligent (EDD) review and risk analysis for current and newly acquired customer which included; Political Expose People, cash intensive businesses, charities, and Non- Residence Alien (NRA’s) clients
• Prepared objective narratives explaining the details of the events, summarizing the activities, referencing the facts and determining if the activity was normal or unusual.
• Collaborated with Business partners and AML Compliance management daily.
• Identified and escalated critical issues to QC supervisors for further review.
• Received daily updates on economic and global sanctions laws /Office of Foreign Assets Control (OFAC) laws, Patriot Act and Bank Security Act regulations (BSA).
• Identified and evaluated potential risk in an effort to mitigate the risk exposure to the bank using in-house software and AML compliance monitoring systems
• Worked independently in an high volume environment daily
Wells Fargo Charlotte, NC
Compliance Specialist Sept 2010-Spt 2012
• Assisted with the analysis and interpretation of regulatory compliance requirements as it relates to the Patriot Act, Bank Security Act, and Office of Foreign Control.
• Worked with the compliance Manager to provide corporate compliance perspectives and develop strategy to reduce any potential compliance exposures
• Consulted with business groups on strategic compliance initiatives internal and external.
• Stayed abreast of industry and compliance trends; recommend and implement changes to internal company processes as needed.
• Assisted with training and presentations for team members where it related to compliance.
• Took the initiative to improve performance and also was very receptive to any new challenges
• reviewed and risk analysis for current and newly acquired cash intensive businesses, charities, NRA's and wealth management clients
• Worked independently in an high volume environment daily
• Compiled and document due diligence efforts which includes, account activity, copies of statements, checks, Internet search results.
Wachovia Bank (look bank and BAU project Charlotte, NC
Anti-Money Laundering FIU Analyst Aug 2008 - Sept 2010
• Investigated and documented unusual and/or suspicious activity that related to current and/or prospective banking global commercial and corporate clients
• Analyzed and identified indicators of potential money laundering or terrorist financing activity from information sources such as surveillance/monitoring alerts, open source media reports and internal referrals.
• Enhance due diligence (EDD) internal and external of KYC on global commercial and corporate clients.
• Prepared detailed suspicious activity reports (SAR). to be filed with the Financial Crimes Enforcement Network (FinCEN)
• Investigated wire payment, cash deposit transactions, ACH activities, ATM receipts, and fund transfer systems.
• Received daily updates on economic and global sanctions laws /Office of Foreign Assets Control (OFAC) laws, Patriot Act and Bank Security Act regulations.
• Prepared detailed investigative reports
• Reviewed suspicious activity reports.
• Worked independently in an high volume environment
• Assisted with Anti-Money Laundering (AML) related duties, projects and initiatives.
EDUCATION/CERTIFICATION
University Of Phoenix- Business Management BS/BM
Oregon Institute of Technology – Industrial Management
Six-Sigma certification (Green Belt)
Currently pursuing a Certified Fraud Examiner certification (CFE); membership # 671564
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