Compliance

Antonio B. Davis CAMS

Vice President/Team Lead-Financial Intelligence Unit/Client Onboarding &

Maintenance - Citibank N.A

Frisco, TX

***********@*****.*** - 214-***-****

An experienced AML Compliance Officer and professional adept at navigating competing priorities through time management, technology and excellent interpersonal skills seeks to leverage knowledge and experience to support an organization's success.

Willing to relocate: Anywhere

Authorized to work in the US for any employer

WORK EXPERIENCE

Vice President/Team Lead-Financial Intelligence Unit/Client Onboarding & Maintenance Citibank N.A - Irving, TX - March 2015 to Present

• Manages and oversee teams of Analysts that perform compliance reviews of certain new and existing high risk customers and relationships in one or several business sectors in North America.

• Oversee and manage the review/approval process of certain new and existing high-risk clients in consultation with Sector AML Heads and in accordance with established policies, procedures and SLA timeframes.

• Review/approve permissible policy exceptions submitted by the business during the client on-boarding and maintenance.

• Evaluate name screening results (e.g. CIP discrepancies, internal watch lists, etc.)

• Resolve/escalate potentially suspicious activity identified during the on-boarding or maintenance processes to the AML Investigations Unit.

• Interface with the AML Senior Management, Business Management, AML Advisory Compliance, AML Legal, and Product Compliance to resolve issues, discuss patterns and trends, policy changes, etc.

• Conduct team meetings and review team procedures.

• Mentor junior team members.

• Evaluate metrics and quality reviews of analyst productivity to identify areas for improvement, training needs and the degree of compliance with procedural requirements.

• Collects and reports AML review results to identify trends and areas of emerging risks. Supervisor

MoneyGram International - Frisco, TX - March 2012 to March 2015

-International Government Reporting

• Develop and maintain relationships between Compliance and business leaders to ensure adherence to compliance programs across MoneyGram International. Identify policy and procedural enhancements based on business challenges and BSA, AML, KYC, Fraud and Government sanctions, including OFAC requirements.

• Provide direct management, supervision, performance feedback, instructions and direction to staff. Ensures direct reports are proactively developing and implementing standards, processes, methodologies, metrics and internal controls to support organizational objectives and mitigate exposure.

• Hire, coach, develop, and manage the performance of all direct reports to staff is effective and motivated.

• Investigate Red Flag Alerts for suspicious activity and potential sanctions violations

• Organize, analyze and present data related to the Bank Secrecy Act, the USA Patriot Act and OFAC, including applicable CTR (Currency Transaction Reports) and SAR (Suspicious Activity Reports) decisioning.

• Assist with regulatory audits and examinations including responding to official requests, and information sharing.

AML Compliance Officer

First Southwest Company/Plains Capital Bank - Dallas, TX - May 2008 to March 2012

• Assisted Chief Compliance Officer (CCO) in managing the Firm's readiness required for regulatory audits.

• Filed regulatory reports including CTRs, SARs, Form ADV Parts 1 & 2, as well as other state and federal securities reports as required.

• Conducted firm AML training and monitoring of employee trade activity for compliance with the firm's Code of Ethics. Assisted with the implementation of the firm's electronic employee trading pre-clearance system.

• Conducted on site branch audits of affiliated offices and personnel.

• Participated in other areas of the AML program such as OFAC compliance, CIP audits, fraud investigations and KYC targeted certifications.

Compliance Officer

Southwest Securities - Dallas, TX - October 2007 to May 2008 Provided compliance surveillance to branches and home office business units.

• Coordinated and participated in the delivery of compliance training, to include Firm Element Continuing Education, Annual Compliance Meetings, and CEO Certifications.

• Assisted with updating the Firm's written supervisory procedures as needed.

• Supported the compliance of all securities trade reviews, advertising and electronic communication. Lead Compliance Examiner

Linsco Private Ledger - Dallas, TX - September 2005 to October 2007

• Conducted and evidenced the suitability analysis of agent securities transactions.

• Investigated customer complaints and elevated concerns to appropriate contact.

• Conducted NASD/FINRA registered and non-registered branch office audits.

• Assisted with Registered Investment Adviser registration maintenance (From ADV, Annual Questionnaire, etc.)

EDUCATION

Bachelor of Arts in Political Science

Grambling State University

May 1994

CERTIFICATIONS

Certified Anti-Money Laundering Specialist

ADDITIONAL INFORMATION

SKILLS AND COMPETENCIES

Excels as a team member in environments requiring social and professional engagement as well as the ability to accomplish multiple tasks. In-depth knowledge of money laundering, terrorist financing, risk mitigation, client on-boarding, AML investigations and Bank Secrecy Act subject matters. Readily gains proficiency in operating procedures and software. Embraces progressive responsibility and professional development.

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