KELLEY BROUILLETTE

**** ****** ******* ****

Omaha, NE 68134

978-***-****

ad00x9@r.postjobfree.com

BANK SECRECY ACT and REGULATORY PROFESSIONAL

Accomplished and self-driven banking professional with a strong background in the Bank Secrecy Act and Anti-Money Laundering. Proven track record in regulatory compliance, AML/CIP/CDD monitoring, operations and administration.

PROFESSIONAL EXPERIENCE

BANK OF THE WEST June, 2020 – Present

BSA/AML & Sanctions Compliance Testing Officer

Independently perform assigned testing activities under the supervisor of the Sr. Compliance Tester and/or under the Compliance Testing Manager’s guidance.

Perform assigned testing activities within budgeted project hours including cross-team engagements. Adhere to established timelines for testing assignments.

Perform testing activities accurately, thoroughly, by following BOW Compliance Testing Unit protocols, policies, testing standards, and generic controls.

Adhere to established service level agreements and all promised timelines. This ensures high value service to business partners.

Contributes to process improvements within the department and the company as a whole. Additionally, adapts to and executes process improvements as they are implemented.

Continually develop core technical skills (systems, leadership, communication and job knowledge).

Prepare and present written information in a clear, concise grammatically correct and convincing manner.

SANTANDER BANK, Boston, MA October 2010 – May, 2020

AML Risk Analyst Officer

Responsible for the prevention and remediation of CIP, CDD, and Final Rule within the Consumer and Business Banking units.

Liaise with platform bankers and management to assist and coach the CDD mitigation and remediation of Federal and Internal policies and procedures to ensure compliance with AML requirements.

Worked directly with NAO/CIP back office to clear exceptions to CIP/CDD resulting in customer retention.

Served as First Line of Defense on various projects to assist and improve customer retention.

Worked with AML Second Line of Defense on various projects to clarify and improve customer retention via communications directly to external customers and platform employees

Reviewed all Retail Network policies and procedures to ensure compliance with BSA/AML standards.

Performed reasonability tests on relationships recommended for demarketing. The ensured all recommendations are in lockstep with the current risk tolerance of the bank.

Led the Governance Process for AML testing by reviewing back office (operational) lines of business.

Completed the CAMS training. However, I left the bank before certification.

Risk Analyst III – Technology and Operations (T&O) Governance

Governance of all regulatory reviews for the T&O operational lines of business including: Internal Audit; Compliance Testing Unit; Anti-money Laundering; Cards/Collections; Payment System s; Deposit Account Services; Commercial Loan Operations; Consumer Loan Operations; and Fraud Prevention and Loss Management.

Assisted with the Corrective Action Plans to ensure they were actionable and specific to the findings of the audits/reviews.

Argued for/against findings depending on the reasonability of the finding(s).

Identified gaps within the processes of reviews and Corrective Action Plans.

Policy and Procedure Analyst

Critical and logical thinking.

Analyzing, researching, writing and developing policy and procedure documents for the branches. Documentation is accomplished by using the Information Mapping writing methodology.

Managing policy & procedure and/or form revisions as the lead or as part of a larger project team that supports either a Retail Banking or Bank initiative.

Negotiating, troubleshooting, and working toward resolution of issues resulting from project approval process.

Identifying, establishing and managing project teams to ensure successful implementation of the Bank’s business model.

EDWARD JONES INVESTMENTS, Austin, TX; Marblehead, MA September, 2006 – October, 2010

Branch Office Administrator

Responsibilities included managing every aspect of the office operations and administration except the direct sales process.

Developed client relationships through high-touch customer service. This increased client satisfaction, retention and branch profitability. Scheduled client portfolio reviews, and prepared necessary material for the Financial Advisor.

Conducted sensitive and complex transactions for clients while ensuring policy and procedures (both internal and regulatory) were followed. These transactions included opening and funding accounts; securities transfers; requests for charitable giving; loan draws and payoffs; tax inquiries; physical stock conversions; cost basis analysis, etc.

Ensured the Financial Advisor current on regulatory changes and required training to maintain licenses.

Recommended changes to procedures that will limit risk to the company and client while making service seamless for the client.

CHASE BANK OF TEXAS, Austin/Houston, Texas October 1989 – September 2006

Vice President - District Customer Service Consultant

Will provide upon request specific information of the positions I held while employed by Chase Bank.

EDUCATION

Bachelor of Science, University of Nebraska - Kearney, Kearney, Nebraska

TEFL- Teach English Abroad - Certified to teach English as a Foreign Language

Contact this candidate