Quality Assurance Professional Experience

ALAN J. REIN

E-Mail:********@*******.***

Cell 973-***-****

SUMMARY

Serviced and monitored compliance issues for major financial institutions. Highly proficient and well versed in regulatory compliance, compliance surveillance, and operational control Compliance leadership in transaction audits and examinations related to Suspicious Account Reports. Investigated KYC/AML issues through independent research and furnished due diligence reports. Excellent communicator, who possesses an impressive track record and interacts effectively,.

Customer relations specialist

Global and strategic sourcing

Risk management

Natural leader and Team Player

Unsurpassed work ethic

Organized

PROFESSIONAL EXPERIENCE JPMORGAN Chase & Co. Brooklyn, NY 2013 (on Call)

Com pliance On-Boarding Analyst and AML/KYC Remediation Consultant

Provided mitigated high risk Analysis that reduced millions of dollars in possible Agency audit fines

Project managed institutional data for KYC completeness throughout the Client On-Boarding process.

Prepared KYC Due Diligence documentation on entity types including Trusts, Partnerships, Pension Plans, Charitable

Provided subject matter expertise on investigation and research applications

Conducted research utilizing internal and external public and private databases to compile a portfolio of information on funds transfer and or check instrument products/transactions

Documented the analysis referencing key facts uncovered in the research process and identified in the analysis process

Coordinated with branch units to investigate possible, money laundering, structuring or terrorist activity and render a decision to escalate or document a plausible reason for the activity

Conducted Enhanced Due Diligence and Customer Identification Process review

E *Trade Financial/Bank Financial Jersey City, NJ 2009 – 2013

Operations/ Risk Analyst Consultant

Administered proper regulatory procedures of the US Patriot Act in all operational aspects of AML/KYC/OFAC and Global Financial Crimes investigations to avoid millions of dollars in audit penalties.

Developed internal AML procedures and trained peers.

Coordinated with branch units to investigate possible, money laundering, structuring or terrorist activity and render a decision to escalate or document a plausible reason for the activity.

Researched and verified the parties involved in Negative media matches/Suspicious transactions against various databases utilizing Lexis Nexis, RDC, OFAC, PEP, World-check and various internet searches

Morgan Stanley, Jersey City, NJ 2008 – 2009

Mutual Fund Analyst and Compliance Control Consultant

Evaluated risk levels and processed Mutual funds for the Omni house accounts

Reconciled mutual fund transfers and accrual adjustments with fund companies

Comprehensive Asset Management, Parsippany NJ 2007 – 2008

New Account and AML/KYC Compliance Specialist

Analyzed Client data, documentation and negative news in order to determine Client Risk Profile

Ran compliance reports for new clients and performed accounts maintenance for existing ones

TD Waterhouse, Jersey City, NJ 2000 – 2006

Account Officer–AML/KYC Quality Assurance

Serviced premier business, all types of retirement plans and high net worth individuals with assets in the millions

Surveillance and transaction monitoring of corresponding banks, swift usage and facilitated reports

Monitored transaction size, volume, jurisdiction of originating and beneficiary banks

EDUCATION / SKILLS

Fairleigh Dickinson University

B.S. Business Administration Fairleigh Dickinson University

Software Skills –Excel, Lotus Notes, LexisNexis, Atomize, World Check, Sales orce, RDC, OFAC, GuideStar and Markit

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