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Data Customer

Location:
Secaucus, New Jersey, United States
Posted:
October 31, 2016

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Resume:

Anthony Sorrells

( 678-***-**** * acxbdm@r.postjobfree.com Harrison, NJ

AML/BSA Professional – Contractor

Qualifications Profile

Highly self-motivated and results-driven professional with more than 7 years providing high-performance AML and BSA compliance and regulatory enforcement. Detail-oriented, analytical and methodical with critical thinking to resolve work issues even under stressful work conditions. Well-organized with multitasking skills that optimize limited resources to achieve outstanding results. Strong people management and interpersonal communication skills that inspire confidence while forging teamwork synergies with colleagues.

Key Expertise

•Investigative Research

•Transaction Monitoring

•AML/BSA Remediation

•AML/BSA Lookback Review

•Policy and Regulatory Compliance

•OFAC Sanctions

•SAR Writing

•EDD, KYC, CDD

•FATCA

•Internal audits

•International Trade Finance

•Capital Markets

•AML/BSA Audit

•Relationship Management (Customers, Public, & Suppliers)

•Total Quality Management

•Due Diligence

•Case Management

•Records & Document Management

•Software Testing

•Agile Methodology

Technical

•Database Systems: Nice/Actimize, Detica/Norkom, LexisNexis, Accuity, World Check, CLEAR,

•Teradata, Tableau, Fraud Guard, Data Verify, FISERV, Dun & Bradstreet, Kroll Data, Case Tracker, Pacer, & LPS

•OS: MS, AS400

•Productivity Tools: MS Office

•Internet: Email/Webmail, Web Research, & SharePoint Online Collaborative Computing

Professional Experience

BUSINESS ANALYST, MONEETARY SYSTEMS, INC/BRAND MEDIA

ROWELL, GA JUN 2016 – SEP 2016

Elicit business requirements from Stakeholders and translated into functional requirements.

Performed SQL database queries to extract marketing data.

Analyzed data analytics and performance metrics.

Created dashboard, interactive dashboard and data visualization using Tableau.

Generated marketing report and presented best practice for market penetration.

KYC/EDD ANALYST, SELBY JENNINGS/NATIXIS

NEW YORK, NY APR 2016 – JUN 2016

Conducted KYC/EDD controls on customers/clients of various characteristics – broker-dealers, large U.S. and foreign corporations, investment managers/advisers, hedge funds, private equity, SPV, LLC, LP and Trust, etc. all of which come with their own particular set of AML risk factors.

Reviewed corporate documentation, legal documents, tax forms and other account opening paperwork/information for completeness and accuracy and entered relevant information in the client due diligence databases.

Perform risk assessment of customers and entities.

Participated in internal audit.

Parsed and/or interpreted complex organizational and corporate structures for ownership percentage, subsidiary breakdown or merger activity in order to identify beneficial ownership.

Accurately identified all potential and existing account relationships with Sanctioned Persons & Entities and Politically Exposed Persons (PEP).

Completed renewal due diligence on existing clients/counter parties to ensure identification of changes in risk profile, including reputational and operational risk factors.

Applied working knowledge of Dodd-Frank, FATCA, EMIR and. MiFID as part of the due diligence process.

Anthony Sorrells

( 678-***-**** * acxbdm@r.postjobfree.com

RISK MANAGER, ROBERT HALF/DISCOVER

COLUMBUS, OH JUL 2015 – MAR 2016

Participated on 3 separate AML/BSA teams based on client needs.

Transaction Monitoring Team: Reviewed and investigated cases and alerts generated by the Banks Transaction Monitoring & Case Management System.

Investigated and evaluated customer transaction patterns and account activity identified as potentially suspicious by the automated software system or manually received reports and referrals.

Cleared or escalated alert and/or cases for further investigation and /or final disposition.

KYC/EDD Team: Conducted periodic Know Your Customer (KYC) and Enhanced Due Diligence (EDD) review documenting clients that pose greater than normal anti-money laundering risk to the Bank.

Utilized the Bank’s various, diverse internal and external data systems and retrieval processes to gather evidence supporting a reasonable suspicion of money laundering or terrorist financing activities involving the Bank’s customers.

SAR Writing Team: Prepared daily Suspicious Activity Reports (SAR) in a timely manner for submission to FinCEN.

Used Tableau and Teradata to perform data analytics, data visualization as well as create dashboards and interactive dashboards.

Maintained a working knowledge of 22 data systems; Actimize, LexisNexis, CLEAR, Tera Data, FISERV and Tableau to name a few.

ENHANCED DUE DILIGENCE QA ANALYST CYPRESS RESOURCES/REGIONS BANK

BIRMINGHAM, AL JAN 2015– JUN 2015

Performed Quality Assurance Enhanced Due Diligence review of high risk domestic and foreign customers.

Parsed account transactions using excel macros and pivot tables.

Conducted OFAC screening and negative news search of beneficial owners, signers and counter parties coupled with third party, internet and public record searches.

Documented all findings in Norkom Case Management System and SharePoint.

QA ANALYST TRANSACTION MONITORING, AGREEYA SOLUTIONS/STANDARD CHARTERED

NEWARK, NJ SEP 2014– NOV 2014

Managed risk based monitoring of transactions and alerts on customer accounts for a European Correspondent Bank whose footprint is high risk customers in high risk jurisdictions.

Reviewed alerts of level 1 transaction monitoring analysts to ensure compliance with quality standards.

Guided analysts in recognizing suspicious transactions, patterns or trends. Including but not limited to velocity, various types of IVTS, under/over invoicing and nested correspondent wire transfers.

Ensured data was accurately collected, documented and supported the investigation decision to close or continue monitoring account.

Confirmed disposition of all alerts, supporting data and decision rationale were uploaded into the Norkom case management system in a timely manner.

PROJECT CONSULTANT, DEEGIT, INC./NAVIGANT

JACKSONVILLE, FL JUN 2014 – AUG 2014

Participated in gap analysis to identify missing or inadequate processes or procedures.

Served as liaison with company subject matter experts and business stakeholders on business requirements. Developed a strong partnership with all system/application stakeholders from various business units.

Performed functional requirement gathering and analysis with SME and stakeholders ensuring that requirements are complete, consistent, concise, and comprehensive.

Garnered valuable insight and understanding of the company’s business process and how it translates to IT’s vision and strategy.

Performed software testing of system application changes and participated in user acceptance testing (UAT) for operations team, business units and IT department.

Anthony Sorrells

( 678-***-**** * acxbdm@r.postjobfree.com

BUSINESS ANALYST, BAZILIO COBB/BOOZE ALLEN HAMILTON/NCUA

ALEXANDRIA, VA JAN 2014– MAR 2014

Contributor in writing the Safety and Soundness Examination Manual for the National Credit Union Administration.

Served as subject matter expert on government regulations and agency rules; specifically, but not limited to: BSA/AML, Dodd-Frank and CFPB.

Collaborated with various department stakeholders (Legal, Regulatory and Compliance) to gather business requirements.

Worked in partnership with other team members in the discovery, analysis, validation and documentation of functional requirements.

Established best practice standards for conducting Credit Union examination as it pertains to their: Operational Risk, Training, Internal Controls, Monitoring and Corrective Action.

Developed minimum acceptable standards in evaluating a credit union’s compliance with Federal and State regulations.

Participated in Agile Software Development Methodology.

Performed manual software testing by writing test scenarios and test cases for the NCUA’s Automated Integrated Regulatory Examination System (AIRES).

Liaised between technical team and business stakeholders in software user acceptance testing (UAT).

SENIOR COMPLIANCE INVESTIGATOR, CORELOGIC

LAKE MARY, FL OCT 2013– DEC 2013

Reviewed, analyzed, and made quick accurate decisions on cases flagged for fraud.

Analyzed various notifications and escalations to identify fraud trends and patterns.

Exhibited a keen eye for details, a pedant for accuracy and strong critical thinking skills coupled with sound judgment in dealing with limited and conflicting information.

Utilized various internal and external fraud investigation tools in order to clearly and thoroughly document investigation findings and conclusions.

Maintained acceptable levels for case production volume in a fast pace environment with frequently changing priorities.

SENIOR COMPLIANCE INVESTIGATOR, OPUS CMC/BANK OF AMERICA

LAKE MARY, FL AUG 2013– OCT 2013

Participated in a lookback review of customers past account transactions; researched past alerts and cases.

Ensured data was accurately collected and documented (i.e. transaction file).

Leveraged understanding of AML risk standards in analyzing data to assess reasonable cause for escalation.

Resolved issues around previous no SAR decision on closed cases and current decision to prepare SAR.

Deliberated on corrections or differences in case disposition with the relevant members of the Look-back team.

Utilized SQL to perform data manipulation techniques and analysis of internal database.

SENIOR COMPLIANCE INVESTIGATOR, WELLS FARGO

LAKE MARY, FL APR 2013 – AUG 2013

Performed forensic audit on consumer loan portfolio assessed with complex allegations of fraud and/or money laundering activity.

Analyzed data to detect deficiency in transaction components that indicate a potential for fraud and/or money laundering activity.

Examined books, records, procedures, performances, and controls for fraud, errors, or deficiencies.

Responded resourcefully to fraud indicators in order to resolve conflicts between allegations and facts.

Prepared audit reports outlining the scope of each audit conducted and its results; recommended corrective measures as necessary.

Prepare Suspicious Activity Report (SAR) where evidence of fraud or suspicious activity was identified.

Anthony Sorrells

( 678-***-**** * acxbdm@r.postjobfree.com

SENIOR COMPLIANCE ANALYST, FORTACE, LLC/CITI-BANK

LAKE MARY, FL JAN 2013 – APR 2013

Managed fraud and money laundering case investigations and perform analysis from beginning to completion.

Examined know your customer (KYC), customer identification program (CIP) and customer due diligence (CDD) documents for completeness.

Performed ongoing customer due diligence (CDD) for low and medium risk customers and counterparties.

Performed enhanced due diligence (EDD) on high risk customers and business entities in order to authenticate beneficial ownership and material and non-material politically exposed person (PEP) risk exposure.

Conducted OFAC sanctions screening and negative news search on customers and counterparties.

Submitted suspicious activity reports (SAR) to compliance officer where fraud or suspicious activity was detected.

PROJECT CONSULTANT, SOLOMON EDWARDS GROUP/PROMONTORY

CHARLOTTE, NC OCT 2011 – JAN 2013

Engaged in an independent multi-faceted fraud and money laundering investigation into foreclosed property for a Global Bank.

Analyzed transactions and consumer information in order to vet for suspicious and/or fraudulent activity.

Performed investigations using internal and external investigative tools (i.e. AS400, Case Tracker, Pacer and LPS) to arrive at sound risk-based conclusion.

Determined the extent and amount of harm caused to the consumer as a result of the illicit activity.

Prepared clear and concise suspicious activity report (SAR) where appropriate.

LEAD COMPLIANCE ANALYST, SILICON VALLEY STAFFING/CHASE

JACKSONVILLE, FL NOV 2010 – OCT 2011

Oversaw the day-to-day operation of 10 compliance analysts and maintained personal production.

Responsible for mitigating and managing risk exposure pertaining to fraud and money laundering activity for the bank’s correspondent banking relationship.

Provided subject matter expertise to the team relating to operations, customers, product knowledge as well as policies, procedures and processes.

Ensured that investigations and documentation comply with the bank’s regulatory requirements.

Continuously assessed work processes and procedures to optimize the effectiveness and efficiency of the team.

Used 3rd party data systems such as LexisNexis, Fraud Guard and Data Verify.

COLLATERAL ANALYST, TATUM, LLC/FEDERAL HOME LOAN BANK OF ATLANTA

ATLANTA, GA MAR 2010– NOV 2010

Performed varied and complex compliance audit for a Federal Home Loan Bank of Atlanta.

Investigated activities of business entities and beneficial owner(s) transactions and operations as well as determine financial solvency based on knowledge of industry norms, historical customer data and regulatory requirements.

Conducted comprehensive transaction analysis utilizing internal and external system software, reports and databases such as Dun & Bradstreet and Kroll Data.

Audited customer financial statements (i.e. balance sheets, income and cash flow statements).

Researched, analyzed and evaluated account transactions for fraud and/or activity that may be considered suspicious or unusual for a given business or person.

Used sound judgment to determine whether or not to prepare a SAR.

Anthony Sorrells

( 678-***-**** * acxbdm@r.postjobfree.com

SENIOR COMPLIANCE ANALYST, INDECOMM GLOBAL UPPER MARLBORO, MD AUG 2009 – MAR 2010

Conducted review of case files for fraudulent and suspicious activity.

Carried out varying levels of research/investigation, depending on the complexity of the case.

Accurately documented rationale for case closure or escalation as appropriate.

Commenced prompt closure of cases not deemed as unusual or suspicious.

Prepared SAR where fraudulent or suspicious activity was identified.

Education & Credentials

B.A. in Finance, MOREHOUSE COLLEGE Atlanta, GA

Professional Training & Certifications

•CAMS Certification BSAO Certification FATCA Certificate Sanction Certificate KYC Certificate AML/BSA Audit ISTQB Manual Software Tester

•SQL JAVA Tableau JIRA Qlikview Microsoft Office Suite, Advanced Excel

Professional Affiliations

•ACAMS ACFE AMLA



Contact this candidate