KATULUSHI PATRICK KABEYA

**** ******** **** **** *********, North Carolina 28282-Email: acw632@r.postjobfree.com Phone: +1-704-***-****

EXPERIENCE SUMMARY

• 11 years of Financial Fraud BSA/AML & Bank Audits

EDUCATIONAL QUALIFICATIONS

Master of Science in Financial Fraud Investigation (MSFFI), Present Pfeiffer University of Charlotte, North Carolina, 2015

Advancing Financial Crime Professionals Worldwide member for CAMS, 2013

Bachelor of Arts degree in International Relations, University of Kinshasa, Democratic Republic of Congo, 2002 - 2007

SKILLS

Regulatory Compliance, Patriot Act, FINRA, U.S. Treasury/Senior Examination, BSA, EFC, OFAC Sanction/Governance Programs/KYC, Fin CEN 314(a), and 314(b), EFCP, RASCI.SARs, Proceed of Crime Act, NEFCU, AML Watch, Oracle Mantas, Norkom, SAS, Fiserv, KYC, CFPB, LexisNexis, FAFT, Basel 2, Data Mapping, Database Reporting, Dodd Frank, SAS/SQL, SPSS, LL, ECS, FFEIC, Actimize, CTF, Oracle Mantas, Nautilus, Clear, Customer Assist. FCPA, OFAC.

PROJECT EXPERIENCE

Federal Reserve System, Washington-DC & Remote Jan’14 - Oct’16

Role: Financial Crime Investigations & Regulatory Compliance Lead Examiner.

Responsibilities:

Review and analyze BSA/AML auditing exception process leads for potential suspicious activity, and apply understanding of internal audit standards, policies, procedures for local and state regulations guidelines.

Leads operational and regulatory compliance audit projects for third party financial institutions related to different business units and divisions. Draft result of audit reports, preparation of risk matrices, preparation of tests with internal control.

Work with junior examiners and management in asserting that all major risks are identified and analyzed and provide input to the development of the annual audit plan and ongoing risk assessments.

Perform quality follow-ups in order to ensure that findings are satisfied and ensure that they have access to all materials necessary to perform their examination and involving detection scenario processes, the service of subpoenas and warrants, negative media reports.

Leads Regulatory and operational compliance audit projects related to multiple business units and divisions, including the drafting of examination finding reports, preparation of risk metrics, coordination of test with Financial institution internal auditors and submit the presentation of issues.

Thoroughly and timely reviewing SAR writing reports and other investigative leads that potentially identify suspicious activity, formulating and recommending responses to potentially suspicious findings, reporting such activity to the appropriate regulatory authorities.

Supervises various BSA/AML processes, which might include suspicious activity investigations, currency transaction reporting, global sanctions screening, enhanced due diligence or other AML processes, Identifies and assesses significant BSA/AML risks.

Determines the adequacy and efficiency of AML/Regulatory risk management systems for mitigating and controlling risks. Determines the effectiveness of management, AML internal controls, and compliance with the prescribed laws and regulations governing AML.

Capital One Bank NA - McLean, Virginia; Dallas, Texas Mar’12 - Nov’13

Role: Sr. AML Audit/& Regulatory Compliance SME

Responsibilities:

Responsible for leading a team of examiners reviewing automated and manual referrals of clients and accounts to determine whether potential suspicious activity is present and escalating accordingly. Make recommendations related to the reporting of suspicious activity report through SARs to FinCEN, conduct enhanced customer due diligence, transaction activity reviews, and negative media searches and documenting findings.

Indecently researching internal and external source systems to determine whether activity appears unusual and expected for specific alerting account/customers. Leveraging additional external resources available for investigative purposes, including Bank personal contact, direct client contact, 314(b) information sharing requests, law enforcement contact through 314(b) to aid in the investigative decision-making process.

Ensuring accounts and/or customers are referred to the Bank’s SAR team appropriately in situations where the investigator is recommending a SAR be filed. Thoroughly documenting NON-SAR decision in accordance with Bank policy and regulatory expectations and actively assists junior Analyst participating in internal and external training opportunities.

Act as Subject Matter Expert (SME) for the team, and departmental meetings, and industry peer groups in order to maintain advanced awareness of Fraud Risk industry standards, policy & procedure changes and implementation or existing Rules and Regulations.

Provide constructive feedback to AML Analysts with respect to the quality of case escalations, trends and issues, or best practices in order to assist in the continued development of the alert.

Deutsche Bank, NA Charlotte, North Carolina Jun’05 - Feb’12

Role: AML Financial Fraud Investigations Analyst

Responsibilities:

Perform various risk assessment testing and various quality control reviews and monitoring in the areas of, compliance using standards and regulatory compliance sampling methods to ensure efforts are maintained.

Review Fraud cases processed by Fraud team as well as review and approve Suspicious Activity Reports (SARs) prepared by Fraud team for accuracy and quality.

Completes reviews of various reports and applications utilized by the Fraud Department. Informed of current laws, regulations, and common practices in the Bank Secrecy Act, and Anti-Money Laundering fields.

Provides assistance and informed current Monitor suspicious activity in Deutsche Bank correspondent customer accounts across business lines, and take appropriate action as necessary, including discussing potential issues with branch personnel or other departments and conduct in-depth analysis of customer activity and determine if activity warrants a SAR.

Draft and file SARs with the Financial Crimes Enforcement Network (Fin CEN) as necessary and assist the Enterprise Fraud examination, in relation to account takeover with investigating, developing and implementing new Fraud authentication policies and procedures to ensure that Capitol One is operating with applicable Fraud rules and regulations for all business line.

Perform oversight of various other areas of the firm to ensure work performed is in compliance with the firms Business program. Review customer and borrowers accounts for matches for FinCENs Rules.

Interface with other financial institutions regarding all information sharing requests and assist with the development of applicable BSA/AML training on annual basis.

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