Neil Mohinani

** **** ******, *** ** Brooklyn, NY 11222 Cell 917-***-**** ad0bch@r.postjobfree.com

EXPERIENCE

Compliance skills–Actimize, Mantas, KYC, CIP, EDD, RDC, Norkom, Lexis Nexus, Factiva, Fircosoft, Dow Jones Risk.

Margeaux LLC – Financial consultant 01/23 - present

Cabrera Capital Markets, New York – Institution Equities compliance 08/20-10/31

Approved Institution account opening documents

Conducted periodic reviews and assigned risk level based on jurisdiction

Brown Brothers Harriman New York – OFAC Sanctions & Risk Officer 08/19-7/20

Conducting Level 1 & Level 2 of sanctions screening for real time and post transactional review of hits in Fircosoft (automated sanctions screening system) for potential violations of Office of Foreign Asset Controls (OFAC) and other governmental sanctions regimes, in accordance with defined procedures. Hits are generated from, but not limited to, sanctions screening of transactions, cash payments, trade instructions, corporate action messaging, and client-related names (i.e. Beneficial owners and/or interested parties).

Performing control reconciliation functions of daily reviews to ensure all hits are addressed/escalated

Ensuring that policies and procedures are adhered to on a daily basis and have this evidenced.

Developing an understanding of AML/OFAC requirements and implications.

Enclave Capital New York & SHS Securities Hong Kong – Compliance Officer 10/13-07/19

Reviewed Institutional accounts and examined all documents per customer Identification program (CIP).

Applied Enhanced Due Diligence (EDD) on new and existing accounts

Performed OFAC searches as well as identified potential PEP and mitigated risk.

Monitored Transactions on a daily basis to detect any potential red flags for terrorist financing/money laundering.

Conducted on specific 314 (a) & 314 (b) searches per FINCEN request.

Identified Potential ref-flags and ensured there were no false positives.

Participated in Annual AML training program and Analyzed Case Studies

HSBC Bank, New York, NY – High Risk Compliance Transaction Monitoring 08/12-09/13

Performed name and account-based research on lists and reports provided through established resources to determine if evidence of money laundering activities exist

Evaluated transactions and customer relationships for money laundering activities, identifies red flag issues and escalates within the AML framework for further investigation

Maintained familiarity with appropriate investigation techniques to support AML activities, including research utilizing bank systems, intranet, internet and external vendor solutions as appropriate

Effectively communicated within the AML Compliance organization and across other areas in HNAH, including conveying key information to both internal and external audiences as appropriate

Provided additional support with the AML compliance organization on more complex issues, including research techniques and capabilities, as well other solutions as appropriate

To discharge the (Compliance Officer) accountabilities set out in the Compliance Officer Handbook by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators

Citigroup Global Markets, New York, NY – Financial crimes Investigations 08/11-07/12

Performed extensive Enhanced Due Diligence (EDD) on clients by documenting and corroborating the information obtained on the client as required, utilizing a variety of independent sources.

Ensured quality and completeness of KYC documentation for new and existing customers as well as the evaluation of AML risks posed to each customer.

Analyzed client information, documentation and any negative news in order to assess potential risk to the firm

Compiled clear and concise written recommendations to compliance management outlining any potential risks uncovered from prospective client reviews.

Conducted names searches, on an ad hoc basis, of standard due diligence work product and analysis, including review of public records, legal and news sources, for review by internal business, legal and compliance management.

Reviewed and cleared of KYC research alerts (PEPs and negative media) and potential escalations to AML

Executed and resolved investigations based on client on-boarding, maintenance and transaction monitoring referrals

Prepared case files for review and recommend relationship retention or termination and track account closures as required.

Liaised with team leads within region and across regions to facilitate knowledge sharing.

Served as point of contact on matters that impact an investigation

RD International, Hong Kong - KYC/AML Analyst 02/10-04/11

Investigated wire transactions to identify any suspicious activity of Wholesale/High Net-Worth Clients.

Effected further research via correspondence with Financial Institutions in high risk jurisdictions

Managed new and existing clients both domestic and overseas so as to ensure the viability of entities.

Performed due diligence on trade finance transactions and researched and evaluated involved parties for possible red flags.

Ensured collection of all appropriate documentation as per the customer Identification programme (CIP)

Created and validated client accounts on a specific scope of activity

Identified and resolved any issues in the client on boarding process

Daiwa Capital Markets, New York, NY – International Sales Trading 07/06-09/09

Communicated fundamental research and generated ideas as well as took & processed orders for North American and European long/hedge funds in addition to proprietary/basket desk clients.

Performed various sales trading functions such as single stock, guaranteed VWAP, matching of flows and program trading in United States, Japan, Malaysia, Hong Kong, India, Singapore, Philippines, Australia, Indonesia, Taiwan, Korea, Australia, Brazil, Argentina and Mexico.

Worked closely with institutional clients, sales traders and sales of local/overseas offices in identifying additional business opportunities.

Sourced new clients and developed existing business relationships through trading and execution services.

Monitored trades to ensure efficient execution and compliance on a daily basis and performed various after-trade follow-up actions.

Deutsche Bank, New York, NY – Fraud Investigations / SAR writing 08/05-06/06

Engaged in customer correspondent banking look back project.

Performed research and due diligence on customer alerts as they were flagged from the transaction monitoring system to identify any suspicious activity.

Requested additional information if needed from relationship managers to complete the investigation and conclusion on alerts.

Escalated any Suspicious Activity to be drafted as a SAR and forwarded to Senior Management for review for possible further action.

Enforced OFAC and SDN checks and performed QA; assisted with audit on KYC issues

Credit Lyonnais Securities, New York, NY – Asian Sales Trading 10/03-06/05

Worked with 3 other traders in the execution of Pan Asian products for various North American Institutional clients.

Prepared daily trade flows, execution strategies and various orders.

Verbally confirmed salient economic details of overnight trading and research activities, including research upgrades/downgrades and long/short opportunities in different names/sectors.

Fielded client calls from London and executed ADR orders on NYSE/NASDAQ exchanges.

ABN Amro Securities, New York, NY – Equities & Foreign Exchange 04/00-10/02

Executed and compiled fundamental research and FX/Equity orders for US clients.

Performed foreign exchange transactions across Asia.

UBS Securities, Hong Kong – Asian Equities Programme 07/97-07/99

Performed activities for Operations and Sales and Trading departments.

Performed client account opening activities, including documentation gathering and background/security checks

EDUCATION

City University of New York - B.B.A in Finance - (Cum Laude)

LANGUAGES & LICENSES:

Chinese, French and Hindi with working knowledge: Spanish + FINRA Series 7, 63, 24 & 57

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