Quality Assurance Client Onboarding

Thais Pimentel Soares **********@*****.*** • LinkedIn

Miami, FL, 33181 • 862-***-****

KYC/Compliance/BSA-AML Onboarding International Relationship Management Operations Client-focused executive with extensive experience in meeting and exceeding customer needs aimed at achieving maximum satisfaction. Experienced in delivering personalized services as per the needs of individual customers, while managing a portfolio of assigned clients. Adept at providing administrative, clerical, onboarding and financial support for smooth daily operations. Expert in maintaining quality assurance standards, performing client screening, managing business reports, and overseeing complete account opening / closing processes. Ability to build prolific relationships and resolve customer complaints to improve loyalty as well as business revenue. Areas of Expertise

• Relationship Building

• Onboarding

• Project Management

• Customer Service

• Account Management

• Risk Management

• Compliance

• LexisNexis, World Check

• BSA / AML / KYC

• Quality Assurance

• Document Management

• Factiva

Career Experience

Client Onboarding Specialist, UBS, Remote Aug. 2021 – April.2023 International Sanctions Compliance (mainly OFAC, FinCen). KYC, EDD, PEP’s procedures using LexisNexis, World Check.

● Verification of all aspects of Client Identification Program (CIP) in accordance with Bank Secrecy Act (BSA) and USA Patriot Act standards. Extensive Due Diligence investigation using public and private databases in accordance with Anti-Money Laundering (AML) to assist business units and prevent operational and reputational risks.

Account Opening Specialist Consultant, Through Ascendo and Brickell Personnel, Remote Jan.2020 – Aug.2021 Consulting jobs for EFG Capital, Santander, BCI, Credit Agricole and Banco Popular. Engage in pre-filling all KYC profiles from the information provided by RM / FP to ensure clients’ credibility. Escalate risks to the KYC risk evaluation management team and global screening operations team whenever required.

● Performed adverse media screening for the clients to protect the business from the risks.

● Succeeded in completing a KYC project for 1500 accounts. Financial Executive Assistant, Banco do Brasil Securities LLC, Miami, FL Sep.2017 – Nov. 2019 Provided support to the broker in KYC, complete account opening / closing, and account maintenance process. Collaborated with financial executives in carrying-out several administrative, clerical, and basic finance tasks, such as updating records and preparing documents for seamless workflow.

● Facilitated management by collecting data and compiling different reports, while meetings support the maintenance of strict confidentiality of the management matters and information to granted access.

● Assisted three different brokers in opening and maintaining accounts. Account Analyst Officer, Banco Itaú International - Miami, FL Apr. 2016 – Sep. 2017 Managed more than 1200 high-income accounts and provided support in streamlining the backlog of accounts. Delivered exceptional services to High-Net-Worth LATAM Clients in the account opening process. Ensured data and source of wealth’s adherence to global standards and FINRA regulations, while performing audit and review of accounts.

● Enhanced customer satisfaction by providing top-notch services and flawless execution on requests, inquiries, and transactions.

● Aided management in analyzing issues and examining accounting breaks as well as identifying processes and database issues requiring investigations.

Officer Dedicated Service Director - Treasury Services Senior Advisor (Corporate), Bank of America Merrill Lynch - Miami, FL Dec. 2012 – Apr. 2016 Oversaw international corporate accounts in Brazilian currency and USD. Adhered to Brazilian / USA banking rules and regulations, while serving in the Sao Paulo office.

● Managed 100 fortune companies, such as Facebook, LinkedIn, Colgate-Palmolive, Petrobras, Philip Morris, and Playboy.

● Guaranteed integrity of the financial process, while ensuring quality of internal controls and proving support to line business in decision-making.

Account Officer (Official Institutions), Banco do Brasil Securities, New York and Miami, FL Dec.2010 – Dec. 2012 Assisted clients in analyzing investments and designing appropriate portfolios as well as offering a comprehensive suite of products / services. Involved in the day-to-day management of all branches of the Brazilian Military Commissions, Embassies / Consulates, and Government-owned Companies around the world. Responded queries regarding specific accounts by analyzing computerized financial information in compliance with federal, state, company policies, procedures, and regulations.

● Trusted by management to administer Brazilian National Government, Diplomatic Post, and High Net Influencer accounts.

● Efficiently handled workload in answering client’s inquiries for statements, transfers, investments, loans, credit, and debit card matters.

Education

Foreign Languages

Pontificia Universidade Catolica do Parana - Curitiba, Parana, Brazil Language Proficiency

English, Portuguese: Fluent

Spanish: Intermediate

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