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Customer Service Administrative Assistant

New York, New York, United States
October 06, 2016

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Extensive experience with OFAC (Office of Foreign Assets Control), KYC (Know Your Customer), AML (Anti-Money Laundering), SDN (Specially Designated Nationals), 314a, SAR (Suspicious Activity Reports) dealing with the USA PATRIOT Act, FATCA (Foreign Account Tax Compliance Act) and BSA (Bank Secrecy Act) Sanctions

Funds / Money Transfers (CHIPS), Fed Wires, SWIFT, Derivatives (Options), Money Market, Precious Metals, Letters of Credit, Credit Cards, Mortgages, Auditing, Hedges, Equity, Reimbursements, Imports / Exports and Collections

Trade Finance, USD / Foreign Exchange Payments, Settlements, Investigations, Compensation, Reconciliations, Confirmations and Reimbursements

Skilled in aspects of recording transactions, posting debits / credits, reconciling accounts, general ledger, bank reconciliation and trial balance

Microsoft Word, Excel, PowerPoint, Outlook and Access, MANTAS, Fortent, SharePoint, Adobe Acrobat, LexisNexis, World Check, Actimize, Lloyds, Dun and Brad Street, Bloomberg, GCARS, CRDS, SYFACT, ORBIS, IntelliTracs, Lotus Notes, MONTRAN, IntelliMatch, STOR QM, MIDAS, SOAR, QuickBooks and Peachtree

Typing 40 – 60 wpm

Experience: BNP Paribas (kpmg contractor) Jersey City, NJ

AML Compliance Operations Analyst 04/16 – 9/16

- Reviewing AML Alert activity and analyzing risks assessments triggered by a defined set of analytic

flags utilizing Actimize, GCARS, CRDS, Syfact, SAR Search, World Check, Google, Bloomberg,

LexisNexis, ORBIS, MONTRAN, Lloyds and other search parameters like LinkedIn, D&B, Sec’y of

State, or court cases

- Conducting due diligence on key parties and transaction details following agreed upon procedures,

protocols, and sources

- Submitting requests for information to Correspondent Banks, Branches and other Banks, following a

set parameter of protocols defined by regulations

JP Morgan Chase Brooklyn, NY

AML Compliance Operations Analyst 05/13 – 05/15

- Audited transactions CHIPS, SWIFT, Fed Wires, CHECKs, CASH, Credit Card / Mortgage payments

and all other payments processed to customer accounts to ensure they complied with OFAC / SDN /

BSA and USA Patriot Act Sanctions

- Conducted periodic internal account customer reviews to identify potentially suspicious activity

- Utilized Mantas, Actimize, Fortent and several other system programs to resolve alerts and cases

- Performed intake controls to ensure all alerts were logged and assigned in a timely manner

- Wrote SARs (Suspicious Activity Reports)

- Collected and documented data, including alert, investigation, and Suspicious Activity Report

history, Know Your Customer information relevant to account and transaction data, plus any other

required information to assist the investigation

- Reviewed and analyzed underlying data gathered to assess reasonable cause to escalate an alert to

investigations or to clear the alert

- Wrote dispositions and fully documented all alerts, including supporting data, analysis and rationale

for disposition, within the case management system in a timely manner

- Built relationships with AML Investigations units, effectively communicated and transferred

information for case investigations

K2 Intelligence New York, NY

KYC On-Site Clerk (Temp) 01/13 – 03/13

- KYC / AML Project for large Domestic Bank; exposure to confidential and sensitive data

- Migrating data from former in-house system to new upgraded digital in-house system, in a timely

manner, in accordance with all U.S. Compliance Sanction Regulations; some files were paper and

others were electronically handled

- Quality Control, ensuring all necessary required information had been accurately input, and was

compliant with KYC, BSA, and CIP

- Reported any inaccuracies to management

American Stock Transfer & Trust Company Brooklyn, NY

Cust Serv / Call Ctr Stock Trfr Clerk (Temp) 11/11 – 11/12

- Provided shareholders / brokers with information pertaining to shareholders’ stock accounts,

which included cost basis, dividend reinvestment / book and certificate stock history, issue


- Provided shareholders with assistance about Lost Certificates, Loss Stop(s), Affidavit of

Domicile, Stock Power, Letters of Transmittal, Tender Offer(s), REORGs, Mergers and various

other documents

Experience (cont’d)

American Stock Transfer & Trust Company(cont’d) Brooklyn, NY

Cust Serv / Call Ctr Stock Trfr Clerk (Temp) 11/11 – 11/12

- Provided shareholders with information for updating account titles, transferring account titles,

adding beneficiaries and doing other various corrections

- Checked clients / individuals / corporations utilizing KYC (Know Your Customer) and AML

(Anti-Money Laundering) security protocols

KinPit Management Jamaica, NY

Administrative Assistant 09/10 – 11/10

- Recertified Section 8 tenants by investigating their incomes and identities

- Sent letters, faxes and e-mails

- Answered Audit letters and findings

- Internet Research on HUD website for handbooks, forms and letters to ensure company was

compliant with HUD Regulations

BNP Paribas Jersey City, NJ

Reconciliation Loan Administration Clerk (Temp) 01/09 – 02/09

- Analyzed / matched and closed USD / Foreign Currency entries open on various Loan

Administration Accounts utilizing IntelliMatch, STOR QM, Montran, Midas, Atlas and Lotus


- Printed, scanned, saved and sent Reconciliation(s) via Lotus Notes about open unmatched

entries to the necessary Teams for disposition(s)

Calyon Bank Iselin, NJ

USD Investigations Clerk (Temp) 03/08 – 09/08

- Settled USD payments globally for customers, branches, subsidiaries, banks for Derivatives,

Equity, Hedges, Precious Metals Letter of Credit, Reimbursements, Collections, Imports and

Exports utilizing IntelliTracs, FED, SWIFT, CHIPS, GPS Montran, STOR QM and IntelliMatch

- Claimed / Paid USD compensation related to incoming / outgoing late and early payments, use

of funds, ad back valuations per IFSA Guidelines

- Checked clients / individuals / corporations utilizing KYC (Know Your Customer) and AML

(Anti-Money Laundering) filters and database

Wachovia Bank New York, NY

USD Investigations Clerk (Temp) 04/06 – 10/07

- Settled USD payment discrepancies via FED, SWF, CHIPS for Ltr of Credit, Reimbursements,

Credit Derivatives, Hedges, Precious Metals and all types of USD payments globally utilizing

IntelliTracs, RUMBA, Intl Ops Online and other systems as needed

- Communicated with customers, banks, Rep Offices and internal personnel via phone, FED

Message, SWIFT, telex, and fax to resolve discrepancies

- Reported recurring errors to management, to enable matter to be addressed with customer(s)

- Checked clients / individuals / corporations utilizing KYC (Know Your Customer) and AML

(Anti-Money Laundering) filters and database

MortgageIT New York, NY

Capital Markets Lock Desk Coordinator 07/03 – 03/06

- Priced / Locked mortgage / equity / secondary loans

- Conferred with loan officers’ / branch managers / processors / underwriters / Opening Desk

Personnel to resolve lock request discrepancies

- Maintained broker e-mail lists in Outlook and fax distribution lists for 27 wholesale branches

- Trained company personnel in the wholesale branch network on how to use Xpedite, as needed

- Handled Outlook e-mail / Xpedite fax problems

- Created e-mail templates, with active link(s), to send out various information to broker network

via e-mail and fax

- Sent broker flyers / pricing adjustments and specials / loan program changes and offerings / any

other announcements

- Sent out daily wholesale branch rate sheets via e-mail and fax

- Maintained Xpedite / E-mail branch Broadcast Accounts Matrix

- Utilized KYC (Know Your Customer) regulations to ensure USA PATRIOT Act and BSA (Bank

Secrecy Act) were adhered to

Opinion Access Corp Long Island City, NY

Marketing Consultant 09/02 – 07/03

- Worked in a Call Center, making 50 to 150 calls per shift, did opinion polls and surveys over

computerized phone network around the United States on various subjects, products and issues


Experience (cont’d)

Consultant New York, NY

USD Foreign Exchange Investigations / Compensation 10/00 – 11/01

(Clients were Credit Suisse NY and HSBC Bank USA NY)

- Worked for New York firms on a consulting basis, using various financial software, to resolve

Equity, Ltr of Credit, Reimbursements, Credit Derivatives, Hedges, Precious Metals payments

sent and received via domestic and international banking channels, by contacting the

necessary parties to resolve the issue

ABN AMRO Bank NV New York, NY

Customer Service / Compensation Coordinator 04/97 – 08/00

- Investigated USD payment discrepancies globally

- Handled sensitive Asian Accounts

- Settled Compensation claims per IFSA Regulations

- Trained new personnel

- Logged in incoming work for the department, as needed

- Checked clients / individuals / corporations utilizing KYC (Know Your Customer) and AML

(Anti-Money Laundering) filters and database

Temporary Consultant New York, NY 01/89 - 04/97

- Temped for various companies in NYC in several positions: (Some of the clients were JP

Morgan, Swiss Bank Corp, Deutsche Bank, Union Bank of Calif, Chase Manhattan Bank, CIBC,


* USD / Fgn Exchange Investigator * * Fgn Currency Confirmation Clerk *

* USD / Fgn Exchange Reconciliation Clerk* * Secretary *

* Data Entry Clerk* – alpha, numeric * US Postal Clerk *


CAMS Cerfitication, sept 2016 started studying for exam

Certificate in AML / KYC Financial Crimes Prevention, Abigail Consulting Solutions, NY, NY, 2015

Certificates in MS Office Word / Excel 2007 Intermediate and Advanced, Queens Jamaica Ctr, Jamaica, NY, 2009

Certificate in Bookkeeping, Alliance Computing Solutions, Flushing, NY, 2009

NYS Real Estate License, Express Real Estate School, Bklyn, NY, 2005

Certificates in Windows / Server, UNIX Admin, Cisco, CheckPoint, Orion Technology, NY, NY, 2002

Certificates in A+ PC Technician, MCSE Windows and Internet, NOVAX Technology, NY, NY, 2000

Some college coursework, Secretarial Science, State University of New York, Bklyn, NY, 1992

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