Management Training

Highly motivated and results-driven professional with extensive experience in management, project life-cycle, product development, strategic business planning, training and development with pioneering companies such as BNP Paribas, JP Morgan, Wells Fargo Securities, AFS. Strong background in growth and capability building strategies implemented through marketing, sales and category management effectiveness.

EDUCATION PROFILE

Master of Business Administration in Financial Services, GPA: 3.67-Metropolitan College of NY/Baruch, NY. (Alpha Beta Gama Association & Honor’s Society, Dean’s List.)

Bachelor of Business Administration in Economics and Business Management - Queens College, Flushing, NY

PROFESSIONAL TRAINING & CERTIFICATIONS

Investment Banking/Portfolio Management with IBM (Investment Banking Management School) -New York

Business Analysis Training (Research, Requirement Management & Process Prototyping) – New York

FINRA Registered Member- Series 6 and 63 & 10-51(Annuities, ETFS, Mutual Funds), JP Morgan, NY NY.

EMPLOYMENT HISTORY

AVP - AML Investigations & Analysis/ BNP Paribas, NY, NY 04/2014 – Present

Manage a team of 15, handle cases and multiple projects.

Conduct research and investigations for all BNP On-Watch accounts.

Conduct detail screenings for vendors – RDC’s, GTS suppliers.

Conduct OFAC/AML North America background checks for new and existing clients and affiliates.

Perform a detailed PEP analysis in identifying PEPs, classifying the risk level, communicating and escalating the High Risk PEPs with the senior business officers and the CAC committee.

Create weekly reports for Compliance on all PEPs.

Create and enhance the desktop procedures with detailed training on policies, procedures and software.

Create weekly agendas for Client Acceptance Committee on new and existing clients.

Prepare CAC forms for EDD clients and get the client files ready for CAC presentations.

Involved in the final CAC Minutes approval process of clients based on the CAC decisions.

Create and implement AML policies & procedures & workflow

Training new hires on policies, procedures and tools-GACRS, MARDI, ALACRA, WORLDCHECK, LYNX, VIGILANCE, BLOOMBERG and LEXIS-NEXIS.

treasury -Risk Management/ KYC Analyst - Wells Fargo Securities, NY, NY

06/2013-12/2013

Responsible for reviewing and ensuring all AML/KYC Regulatory requirements for new clients are met. (i.e. executed USA Patriot Act, Section 312, etc).

Perform KYC screening on new clients by documenting and corroborating the information obtained on the client as required by the KYC Procedures.

Identifying and researching names/entities/transactions that appear to relate to money laundering or terrorist financing and escalating these items for further investigation.

Assist in the administration and review of Client Risk Scoring, and KYC documentation requirements.

Review matches with FinCEN/OFAC/PEP and ensure that the risks are effectively identified, classified and communicated.

Escalate high risk and out of order records to AML Prevention Team.

Liaise with Compliance on specific requirements and regulations arising under special circumstances.

Assist Management with inquiries from employees, management, internal and external auditors by providing guidance in a timely manner.

Participate in industry association, peer group and law enforcement or regulatory outreach programs, industry conferences, as appropriate, to gain external intelligence information related to AML.

Business Development/IT Consulting Services - Multi-Services Inc, NY, NY

01/2012-03/2013

Was an integral part of a family startup business - IT consultancy, the core of the business is training and provide consultancy services. Provide our clients with an opportunity to manage their workforce needs with relative ease and quality.

Part of working out a detailed workflow, describing the structure of the business, training process, hiring experienced professional, sales process, placement, and post placement support group.

Conducted research and was involved in developing a training program that replicates the actual IT industry, hence providing a practical curriculum and assignment based training by renowned and certified professionals.

Organized interview sessions, where the candidates were given practical exposure of interviews via mock interviews, confidence building, and technical screening.

Private Client Services/Management -Investment Specialist - JP Morgan Chase, NY, NY

03/2010-10/2011

Regularly interface with clients to build and cultivate long-term quality relationships, keeping current clients up-to-date and bringing new clients on-board.

Interview clients to determine their current income, insurance coverage, expense, tax status, financial objectives, risk tolerance and provide an expert advice regarding their investments, retirement plans and educational funds options.

Research the available investment opportunities to determine suitability and plans whether they fit into the plan. Analyze financial information obtained from the client and determine strategies to meet their goals.

Implement financial planning recommendation or partner the client with other specialists to assist them with plan implementation.

Device debt liquidation plans that include payoff priorities and timelines to help manage their finances.

Ensures that information obtained is consistent with BSA/AML Policy and Procedures and satisfies regulatory requirements..

Monitor the financial markets, current interest rates and other technical details to assure that the client's portfolio is optimal and identify the needed updates.

Ensure strict compliance with the regulatory requirements and guidelines associated with FINRA, SEC, and Chase Investment Services Corp.

Business Research/Accounts Manager - Astoria Federal Bank, NY, NY

11/2008-12/2009

Responsible for conducting internal reviews of possible violations of the Bank Secrecy Act, USA Patriot Act and securities regulations and all matters related to potential money laundering, terrorist financing, and fraud.

Adhered strict compliance with all department and company policies and procedures toward fulfillment of company objectives and profit goals.

Reviews monthly and daily transaction alerts, client securities trading activity, client file review and conducts due diligence searches.

Extensive experience with high volume transaction monitoring for AML.

TECHNICAL PROFICIENCY

Financial Tools

Bloomberg Law, Lexis/Nexis Due Diligence, Worldcheck, Factiva/Lynx, Prime, Vigilance, Atlas2, Lotus Notes.

Project Management Tools

MS Office 2007/2010. (Word, Excel, Power Point, Excel, Outlook, Share Point & MS - Visio)

Contact this candidate