Customer Service Quality Assurance

MATTHEW VIGH

**-** **** **** *****: (C) 917-***-****/(H) 718-***-****

Middle Village, NY 11379 Email: *****************@***.***

Financial Crime Investigator

Experienced, well-qualified, and meticulous investigator with specific expertise in anti-money laundering (AML) protocols and procedures. Well-versed in all federal regulations, with ability to ensure business and client compliance and identify areas in need of corrective actions or improvements. Seeks to contribute AML proficiency in forwarding the mission of an innovative financial organization.

Areas of Expertise

Anti-Money Laundering Protocols

Investigations

Regulatory Compliance

Team Management

Securities Laws

Customer Due Diligence (CDD)

Enhanced Due Diligence (EDD)

Suspicious Activity Reporting

OFAC

Case Management

USA Patriot Act

Training/Staff Education

Professional Experience

NY Community Bancorp. Hicksville, NY 6/2016 To 1/2017

AML Investigations/Transaction Monitoring/SAR Writing, Look-back Project and BAU

Conduct Due Diligence and Know Your Customer (KYC) research for clients, as part of a business wide Anti Money Laundering (AML) Compliance remediation process which then became BAU. Utilize proprietary databases as well as public sources to investigate all parties and provide written summaries of relationships between parties. Analyze and assess research results and conduct complex data analysis on personal and consumer banking transactions in order to identify suspicious activity. Document adequately all findings and conclusions related to the assessment with explanations in narrative form. Additional responsibilities include quality assurance reviews and suspicious activity report (SAR) writing.

K2 Intelligence, New York, NY 9/2015 to 6/2016

AML Investigations/Transaction Monitoring/SAR Writing, Look-back Project

Conduct Due Diligence and Know Your Customer (KYC) research for clients, as part of a business wide Anti Money Laundering (AML) Compliance remediation process. Utilize Actimize, proprietary databases as well as public sources to investigate all parties and provide written summaries of relationships between parties. Analyze and assess research results and conduct complex data analysis on pre-paid debit card transactions in order to identify suspicious activity. Document adequately all findings and conclusions related to the assessment with explanations in narrative form. Additional responsibilities include quality assurance reviews and suspicious activity report (SAR) writing.

AXA Financial, New York, NY 2000 to 2015

Financial Crime Investigations (3/2005 to 5/2015)

Advise and provide backup to Lead Director of Global Financial Crime Compliance Officer. Serve as internal consultant and subject-matter expert regarding USA PATRIOT Act, Bank Secrecy Act, and Office of Foreign Assets Control (OFAC) compliance. Oversee and ensure anti-money laundering (AML) office’s compliance to regulations governing life, annuity, and broker-dealer operations. Supervise review and QA of Norkom and Mantas AML alerts and FinCEN 314 (a) and (b) information-sharing program. Evaluate company’s KYC (know your customer) and PEP (politically exposed person) screening tools and recommend/implement improvements. Review and coordinate investigations of possible suspicious activity and refer such information to Financial Crime Office. Serve as company liaison to law enforcement, including preparing and filing suspicious activity reports. Create and conduct AML awareness training to employees, agents, and management. Conduct QA on the disposition of OFAC alerts, approve block/reject reporting, file annual report to OFAC and test the OFAC program to evaluate its effectiveness and remediate any deficiencies identified.

Created Financial Crime Committee (FCC), which promoted collaboration between various departments involved in financial crime and fraud matters and ensured regulatory compliance, assisted law enforcement, minimized economic loss to company, and managed these matters with little disruption of business for clients and sales associates.

Led team of professionals on successful implementation of automated suspicious- activity monitoring system.

Investigations (12/2003 to 3/2005)

Investigated all incidents of suspected fraud conducted by agents/representatives, vendors, clients, and employees. Served as subject-matter expert to advice AML officer on matters related to USA PATRIOT Act. Documented all investigations and reported discovered control weaknesses to senior management. Designed plans for disciplinary actions, client corrective actions, and fraud prevention and made related recommendations to senior management and business-unit managers. Performed due-diligence investigations on individuals and their business entities nationally and globally. Identified patterns of fraud with data-mining software and applications. Created and conducted enterprise-wide fraud awareness and prevention program.

Proactively identified needed improvements and recommended solutions to optimize success in company’s methods of financial-scheme identification.

Successfully investigated and assisted in prosecution of agent involved in multi-million dollar Ponzi scheme.

New Accounts Principal (7/2002 to 12/2003)

Reviewed and verified completeness of new-account documentation, ensuring that accounts meet all regulatory and firm requirements, including USA PATRIOT Act and AML compliance. Investigated background of all brokerage accounts, including trusts, estates, non-profits, and pension/profit-sharing plans. Educated brokers on compliance matters, assisted managers with budgeting and forecasting, and conducted thorough analyses of business unit to streamline processes and increase productivity.

Customer Service Supervisor (9/2000 to 7/2002)

Managed 17 team members who handled incoming calls from sales force and AXA Advisors’ clients in high-volume call center. Answered inquiries and resolved issues related to brokerage accounts, policies, and procedures. Recorded daily metrics, documented daily attendance, and conducted employee reviews.

TD WATERHOUSE, New York, NY 9/1998 to 9/2000

Trade Research Supervisor

Executed trades on all types of securities, including stocks, options, mutual funds, and investment-company products. Collaborated with Trade Research Department on behalf of web broker to ensure that customer trades are performed promptly and accurately. Ran Cxl/Rebills and dummy trades within back office. Research disputes received via Internet and phone concerning trades placed between brokers and clients to determine if dispute is warranted. Employed meticulous attention to detail in investigating NASD and SEC inquiries.

Education & Licenses

Bachelor of Science, Investigations, Bellevue University, Bellevue, NE

Coursework in Political Science, Manatee Community College, Venice, FL

Series 4

Series 7

Series 9

Series 24

Series 63

Certified Anti-Money Laundering Specialist (CAMS)

Professional Affiliations

FBI’s InfraGard

Glendale 104th Precinct Civilian Observation Patrol (GCOP)

Association of Certified Anti-Money Laundering Specialist (ACAMS)

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