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Manager Training

Location:
Los Angeles, California, United States
Posted:
October 13, 2016

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Resume:

JAMES AVERY

acw1nu@r.postjobfree.com

804-***-****

PROFESSIONAL EXPERIENCE

BANK OF HOPE/BBCN BANK-LOS ANGELES, CA

BSA ANALYST

SEPTEMBER 2016-PRESENT

• Perform day to day implementation of Bank’s BSA review, investigation, account identification, reporting and monitoring program for unusual and suspicious account activity.

• Review and analyze all the appropriate SAR monitoring reports to identify unusual/suspicious account activity for Suspicious Activity Reports (SARs).

• Conduct research on specific unusual/suspicious account activity detected by BSA Officer/BSA Operations Manager/Team Leader to determine whether or not a SAR is warranted.

• Using SAR Manager Program, prepare and complete SARs on a daily basis.

• Assist in periodic review of high-risk accounts.

• Comply with the Bank’s security program.

SIGHTSPAN, INC. -MOORESVILLE, NC

AML ANALYST

AUGUST 2016-SEPTEMBER 2016

• Perform thorough analysis of alerted transactions exceeding risk thresholds pertaining to red flags parameters such as excessive gift card purchases and suspicious purchase activity.

• Research negative media outlets to determine if alerting customer has historically been involved in similar activity.

• Review alerting transactions to determine if escalation to case and a filing of a Suspicious Activity Report (SAR) is required.

BMO HARRIS BANK-MILWAUKEE, WI

AML INVESTIGATOR NOVEMBER 2014-JUNE 2016

•Conduct suspicious activity monitoring and identify customers for potential AML risk factors such as money laundering and terrorist financing activities and document findings from due diligence research.

•Assist in Suspicious Activity Reporting (SAR) and high risk customer investigations in Capital Markets and Trade Finance, as well as transportation financing.

•Perform due diligence searches on institutional clients and individuals using various databases such as BMO Harris Bank Proprietary Systems, KYC Database, Oracle Mantas and Google.

•Analyze and research relevant data and escalate or report relevant information to the appropriate AML Financial Intelligence Unit.

•Research negative media outlets to determine if alerting customer has historically been involved in similar activity.

•Compile evidence and documentation in compliance with BSA/AML procedures and regulatory requirements.

•Coordinate and report data on high risk customers.

•Perform initial assessment of customers escalated as high risk

•Perform Alert Adjudication through analysis of system generated and manually created alerts for potential suspicious activity to insure the accurate filing of SARs.

•Escalate potentially suspicious activity and high risk customers for further review.

•Present evidence to support risk-based decisions.

•Perform Quality Control (QC) review of completed alerts.

JPMORGAN CHASE – WESTERVILLE, OH

AML INVESTIGATOR

MAY 2014 – OCTOBER 2014

•Evaluate bank alerts for potential AML risk factors such as money laundering and terrorist financing activities and document findings from due diligence research.

•Perform due diligence searches on institutional clients and individuals using various databases such as JPMorgan Proprietary Systems, KYC Database, Oracle Mantas and Google.

•Handle detailed AML transaction analysis and investigation of customer transactions and accounts in various lines of business including broker-dealers, prime brokerages, hedge funds, financial institutions, high net worth individuals, trust and retirement accounts

•Perform thorough analysis of alerted transactions exceeding risk thresholds pertaining to red flags parameters such as high risk domicile and locations, unknown third party wires, high risk account types, rapid movement of funds and Political Exposed Person

•Monitor customer accounts and high-risk customers by guided transaction monitoring policies to mitigate legal, regulatory and reputational risks.

•Research negative media outlets to determine if alerting customer has historically been involved in similar activity.

•Review alerting transactions to determine if escalation to case and a filing of a Suspicious Activity Report (SAR) is required.

•Mentoring newly hired investigators, providing case analysis and one on one feedback.

SUNTRUST MORTGAGE – RICHMOND, VA

DUE DILIGENCE ANALYST/CLAIMS LOSS QUALITY ASSURANCE

JULY 2013 – MAY 2014

•Manage a caseload of investigations to completion according to approved procedures and process.

•Manage a caseload of investigations to completion according to approved procedures and process. Perform daily review and disposition of alerted customer activity and activity reported to the unit by other business lines.

•Analyze complex financial transactions and evaluate suspicious account activity. Work with Legal, Corporate Security, Compliance and other groups within PL &L to recover bank losses

•Compose summary SAR (suspicious activity report) and recommendation of all findings on suspicious transactions.

•Conduct Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) investigations to gather information using internal and external systems, databases and other resources. Assist with maintenance of departmental policies and procedures

LIBERTY TAX SERVICE – RICHMOND, VA

TAX PREPARER

January 2013 – June 2016

•Prepare tax returns for individuals filing state and federal income taxes and review previous years' tax returns for clients to find additional tax saving opportunities.

•Check and review tax returns prepared by other tax preparers to verify the accuracy of the returns for clients.

•Responsible for opening and closing tax office.

AMERIPRISE FINANCIAL SERVICES – MECHANICSVILLE, VA

Financial Advisor (1983-2012)

•Established client base for financial planning practice in Harrisonburg, VA from 1983 through 1985, in Richmond, VA from 1985 through 2006, and in Mechanicsville, VA from 2006 through 2012.

•Established a client base of over 200 clients, managing over $15,000,000 in client assets. Helped clients develop written financial plans for retirement, education planning strategies, retirement plan distributions, investment planning, estate planning, tax management strategies and protection planning strategies. Responsible for ongoing management of investment/insurance portfolios related to their financial goals.

•Responsible for writing 50 to 200 page financial planning documents for each financial planning client annually. Each plan covered the six areas of financial planning.

•Provided written summary of each meeting with clients, summarizing what was discussed during each meeting, any potential changes recommended to the client and any follow up needed on the items discussed.

•Responsible for annual KYC review for each client. Responsible for confirming and updating KYC information for individual clients as a part of ongoing due diligence review and investigation.

•Responsible for hiring and maintaining staff associated with managing client base.

•Maintained Life and Variable Annuity license, Series 6, Series 7, Series 22, Series 65 and Series 63 licenses until September, 2012. Maintained continuing education requirements for the above licenses until September, 2012

District Manager (1988-2005)

•Recruit staff members and oversee training program.

•Manage both veteran and new advisors for 4 years. Responsible for recruiting, hiring and training classes for all new advisors for last 3 years.

•Responsible for review of each written financial planning document for both veteran and new advisors.

•Participated in annual compliance reviews to develop best practices for written financial planning analysis

•Performed peer editing and production review work for written financial plans

•Performed compliance audits for all advisors under my supervision

•Responsible for timely, accurate and effective alert dispositions associated with all servicer accounts, products or services. The daily work effort was focused on mitigating money laundering risks with home office and Ameriprise clients from illicit activities.

•Worked with other district managers in local office to establish team policies and procedures for marketing, recruiting, training new and veteran advisors and diversity initiatives.

•Responsible for development and writing diversity marketing plans, policies and procedures for Eastern Region, including Boston, Philadelphia, Washington, D.C. Richmond, Charlotte, and Atlanta

Training Manager (1987-1988)

•Plan, develop, and provide training development, using knowledge of the effectiveness of methods such as classroom training, demonstrations, on-the-job training, meetings, seminars, and workshops.

•Responsible for training all new advisors, development of marketing plans, classroom training, on the job training and one-on-one training.

EDUCATION

Bridgewater College – Bridgewater, VA

Bachelor of Science Business Administration; August 1982



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