Leigh Caldwell, CAMS

*** ****** ******, ********, ** 14092

716-***-**** – acw7ki@r.postjobfree.com

EDUCATION:

B.A. Degree, Accounting, Niagara University - GPA: 3.66/4.0 (2001) CERTIFICATION:

CAMS - Certified Anti-Money Laundering Specialist (2015) TECHNICAL/SOFTWARE SKILLS:

Outlook, Advanced Excel (Pivot Tables), Word, PowerPoint, Adobe, Access, Oracle, EmDD, EWPS, OARS, CGS, Hogan, Shaw, AFS, Mantas, EDI, Compass, FileNet, ECM, NetX360, LexisNexis & World-Check

PROFESSIONAL EXPERIENCE:

Vendor Controls Analyst - Internal Controls (Mar 2016 – Jun 2016 ) Employer: First Niagara Bank, Buffalo, NY (W2 Contract)

• Assure that each vendor’s policies, procedures, and processes comply with the Bank’s guidelines and all federal, state, and local laws.

• Perform risk analysis on the control environment of the Bank’s third parties.

• Analyze SSAE16, policies, procedures and contracts, to identify and quantify impact of any weaknesses.

• Mapp Complimentary User Entity Controls (CUECs) to First Niagara’s Policies/procedures & identify missing/inefficient internal controls.

Compliance Analyst - Employee Trading Surveillance Group (Nov 2015 – Feb 2016) Employer: Citibank, Getzville, NY (W2 Contract)

• Completed daily, weekly and monthly surveillance reviews designed to detect potential violations of applicable regulations and Bank policies.

• Pre-cleared employee personal trading for those in private-side job functions for which they have been deemed to have actual or perceived access to non-public information of publicly traded companies.

• Monitored trading by the use of various surveillance tools to detect breaches in the information barriers.

AML Enhanced Due Diligence (EDD) Investigator (May 2014 – May 2015) Employer: M&T Bank, Buffalo, NY (W2 Contract)

• Ensured adherence to State and Federal regulatory compliance with Bank Secrecy Act and Anti- Money Laundering (BSA/AML) requirements, USA PATRIOT Act and OFAC.

• Investigated identified high-risk customers and affiliated individuals/entities, in an effort to protect the Bank from money laundering, terrorist financing, fraud and reputational risk.

• Analyzed financial transactions and KYC profiles to determine if the client posed a risk for the Bank.

• Preformed sanctions, PEP and negative media screening to ensure that the Bank was not doing business with prohibited persons or entities.

• Prepared Suspicious Activity Reports (SARs), and performed 90 day reviews, per FinCEN requirements.

• Of my 85 person team, I was part of a 12 person team retained for an additional 3 months based on the speed and accuracy of my investigations.

Controller/Office Manager (Feb 2002 – Mar 2014)

Employer: Concrete Applied Technologies Corporation dba: CATCO, Alden, NY

• $40 million/year Road and Bridge builder with a Union workforce of 200, permanent staff of 40.

• Managed the accuracy and productivity of day-to-day activities of AP, AR, PR and HR.

• Prepared financial statements and balanced general ledger accounts in accordance with GAAP.

• Reconciled monthly Payroll and Operating Bank Statements.

• Headed all audits; Workman’s Comp, General Liability, Sales Tax, Union/Pension, Compliance, IRS.

• Remitted quarterly NYS-45, IRS Form 941, IRS Form 940 and monthly sales tax ST-809.

• Prepared countless bidding documents and executed hundreds of low bid contracts with New York State, multiple Counties and several Towns and villages, with complete accuracy - without error - in 12 years of employment.

• Functioned as the EEO officer.

• Implemented a separation of duties of accounting functions, payroll direct deposit and an e-filing system.

Staff Accountant (Jan 1999 – Feb 2002)

Employer: Lafarge North America, Buffalo,

NY

• Prepared, examined, and analyzed accounting records and financial statements to assess accuracy, completeness, and conformance to reporting and procedural standards.

• Performed treasury management, including bank reconciliations, cash maintenance, and reporting.

• Posted general ledger accounts in accordance with GAAP for 10 business units in the NY Division.

• Performed monthly general ledger account reconciliations and account analysis.

• Remitted monthly: NYS Sales Tax ST-809 and Highway Use Taxes MT-903. Accounts Payable/Accounts Receivable/Payroll (May 1993 – December 1998) Employer: Lafarge North America, Buffalo, NY

• Managed the Accounts Payable function for all NY operations. Primary functions included payment of vendor invoices, matching documentation (purchase orders, packing slips, invoices and other related support) and filing the documents.

• Ensured daily cash posting, billing and AR processing. Responded to inquiries regarding account issues/questions.

• Processed weekly union payroll. Ensured accuracy of payroll records by maintaining payroll database with updates from status changes, tax withholding and benefit deductions.

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