ALISON SIMS 214-***-**** / ad0wdv@r.postjobfree.com

Spring Branch, TX www.linkedin.com/in/alison-k-sims FINANCIAL SERVICES ANALYST

Engaging and detail-oriented financial services professional with 20 years’ experience supporting program or project goals and objectives for companies in the government, financial, and the non-depository credit intermediation industries. Able to work independently to manage case assignments as well as lead multiple teams to ensure project goals are met. Build strong working relationships with customers, team members, senior managers, and key internal and external contacts. Advanced verbal and written communication skills with the ability to address and solve complex issues with efficiency. Proven technical expertise in Microsoft Office Suite (MS Word, Excel, PowerPoint), MS Outlook, MS Teams, MS Dynamics 365, SAS, Deltek Costpoint, Rapid, DRD, SAS, RDC, and other industry tools and software. S E L E C T CAREER HIGHLIGHTS

• Earned numerous Quality and Teaming Awards for Fraud Alert Detection Reviews, Transaction Monitoring, Regulatory Reporting in compliance with Federal Regulatory Agencies.

• Experience coordinating the team workflow of over one hundred (100) Loan Processing Assistants on six Economic Injury Disaster Loan (EIDL) program tasks, while steering internal communications and exceeding program requirements.

• Recognized as a “Top Performer” on the SBA team in 2020 and 2021, in addition to receiving the “Brillient SOAR Award” for exceptional performance in 2021.

• Served as a volunteer Director of the Board and Events Committee Chair for the Mystic Shores Property Owners Association that serves over 2K property owners. PROFESSIONAL OVERVIEW

REGULATORY COMPLIANCE SENIOR, FINANCIAL CRIMES ANALYST – ERNST & YOUNG LLP, HYBRID 03/2022 – 9/2023 Provided Anti-Money Laundering (AML) Transaction Monitoring, Fraud Alert Analysis and Regulatory Reporting for a top global financial institution. Conducted detailed analysis of high-risk wire transactions and activities, including research, due diligence and regulatory report writing to mitigate or escalate fraud alerts accordingly. Utilized KYC and other BSA/AML fundamentals to ensure Federal Regulatory Compliance. Comprehensive training in Bank Secrecy Act (BSA), Anti-Money Laundering (AML), USA PATRIOT Act, FinCEN, US Regulatory Compliance and Office of Foreign Asset Control

(OFAC), Know Your Customer (KYC), Customer Due Diligence, and SAR writing.

• Managed large case assignments to ensure timely, quality fraud alert reporting in accordance with client’s operating procedures and Federal Regulatory Reporting and Compliance requirements.

• Served as acting team lead in team lead’s absence; attended manager meetings, led team meetings, oversaw workflow, and fulfilled team lead duties.

• Conducted monthly team refresher trainings.

• Created and implemented process improvements for the client across three (3) service delivery centers.

• Served as an EY Wellbeing Champion and co-founder of the HealthEY Living Club to promote individual, team, and company-wide wellbeing. Organized, led, and promoted physical, mental, emotional, and financial wellbeing initiatives and activities for employees across multiple sites. ALISON SIMS 214-***-**** / ad0wdv@r.postjobfree.com Spring Branch, TX www.linkedin.com/in/alison-k-sims PROJECT COORDINATOR – HIGHLIGHT TECHNOLOGIES, INC., Remote 06/2021 – 12/2021 Served as a Contractor to the US Small Business Administration (SBA) to assist with Economic Injury Disaster Loan (EIDL) processes. Supervised the team workflow of over 80 Loan Processing Assistants responsible for supporting tasks under the EIDL Program. Coordinated responsibilities for loan application processing, loan modifications, post-disbursement compliance, Dynamics and Targeted Advanced Dynamics process management, and the Shuttered Venues Operation Grant (SVOG). Ensured full compliance of company policies, Standard Operating Procedures (SOPs), state and Federal regulations, and SBA program requirements.

• Provided quality oversight and reviewed team performance to streamline daily operations, successfully processing over 1M loans in 2020 and overseeing the management of teams completing almost 210K loan modifications.

• Managed teams to process significant backlog of applicant emails in Dynamic, resulting in the resolution of 152K emails in the initial three-months.

• Played an essential role in helping the Accounts Department contact over 550K potential borrowers and complete post-disbursement documentation for almost 255K files.

• Led weekly meetings with Loan Processing teams and points-of-contact (POCs) with the SBA.

• Steered communications with seven (7) sub-contractor partnership companies to review subcontractor performance and attendance outcomes.

• Helped the payroll specialist complete time-off requests and timesheet approvals and maintain the team schedule.

LOAN PROCESSING ASSISTANT / CASE MANAGER / TEAM LEAD – BRILLIENT CORPORATION, Remote 05/2020 – 06/2021 Oversaw the management and processing of SBA EIDL applications, responsible for communicating with small business owners to collect supporting documentation. Conducted telephone calls or wrote collection letters to borrowers to secure payments for delinquent loans, ensuring all routine transaction requirements were adhered to. Maintained knowledge of financial statements, credit instruments, collateral documentation, and business terminology. Reviewed borrower financial statements to compare with past records, identify financial condition trends, and provide approval recommendations for lead loan specialists and the SBA supervisory loan specialist.

• Functioned as Team Lead, responsible for supervising a team of Case Managers to perform quality control (Q/C) audits that adhered to SBA legal regulations, steer communications with Project Managers, Project Coordinators, and SBA POCs.

• Received recognition as the Loan Processing Department’s “Top Performer” in the fall of 2020 and January 2021.

• Awarded the “Brillient SOAR Award” in June 2021 for exceptional performance and customer service. SUPPORT SERVICES SPECIALIST – BANK OF AMERICA HOME LOANS, Richardson, TX 05/2009 - 05/2012 Managed the intake of new loan applications from the Sales Department, accountable for calculating Good Faith Estimates, submitting loan disclosures to borrowers, ordering appraisals, gathering required loan documentation, and verifying personal information. Reviewed applications and supporting documents for accuracy and completion to contact borrowers regarding missing or inaccurate details. Provided excellent customer service by identifying customer needs and communicating throughout the loan application, review, and verification processes to ensure satisfaction and heightened retention rates.

• Received the “Support Service Specialist of the Month Award” two times.

• Repeated success exceeding daily minimum expectations for processing loan disclosures with 100% compliance of loan requirements, company policies, and regulatory standards. ALISON SIMS 214-***-**** / ad0wdv@r.postjobfree.com Spring Branch, TX www.linkedin.com/in/alison-k-sims LOAN PROCESSOR – NETWORK FUNDING, LP, Dallas, TX 08/2002 – 08/2006 Provided daily operational support by processing loan applications for the US Federal Housing Administration (FHA) Streamline Refinances Program. Guided verbal and written communications with borrowers to discuss loan application or closing requirements and additional required information. Collaborated regularly with loan counselors to review borrower loans and supporting information. Utilized the company’s internal loan application software, Point, to input loan application information and data. Ordered and reviewed title work and collaborated closely with borrowers to clear title conditions. Coordinated the distribution of approved loans after verifying all FHA prior-to-close conditions were met.

• Gathered FHA case number assignments and refinance authorizations, as required.

• Analyzed borrower financial statements and data to determine potential loan amount and submitted loan applications to FHA Underwriters for approval or rejection. E DUCATION & C R E DENTIALS

Bachelor of Science in Child Development and Psychology – UNIVERSITY OF NORTH TEXAS, Denton, TX (1995-1998) Certifications: Agile Project Management Fundamentals Technical Skills: Microsoft Office Suite (MS Word, Excel, Pivot Tables, Access, PowerPoint), SAS, RDC, Airtable, and other industry software and tools

P ROFESSIONAL A S S OCIATIONS

Wellbeing Champion – Ernst & Young LLP (2023)

VetNet, Member – Ernst & Young LLP (2023)

Chair, Events Committee – PROPERTY OWNER’S ASSOCIATION (2021 - 2022) Director, Board of Directors – PROPERTY OWNER’S ASSOCIATION (2020- 2021) ALISON SIMS 214-***-**** / ad0wdv@r.postjobfree.com Spring Branch, TX www.linkedin.com/in/alison-k-sims PROFESSIONAL REFERENCES

Company: Ernst & Young LLP

Location: 12707 Silicon Drive, San Antonio, TX 78249 (Hybrid) Manager Name: Sergio Maltos, CAMS

Manager Title: Manager, Financial Crimes/Regulatory Compliance Phone number: 830-***-****

Email: ad0wdv@r.postjobfree.com

Website: https://www.linkedin.com/in/sergio-maltos-0a1a8a20 Company: Ernst & Young LLP

Location: 12707 Silicon Drive, San Antonio, TX 78249 (Hybrid) Manager Name: Monique Kelly, CAMS

Manager Title: Manager, Financial Crimes/Regulatory Compliance Phone number: 904-***-****

Email: ad0wdv@r.postjobfree.com/ ad0wdv@r.postjobfree.com Website: https://www.linkedin.com/in/monique-kelly-cams-2ab2ab11b Company: Highlight Technologies

Location: 9990 Fairfax Blvd #350, Fairfax, VA 22030 (Remote) Manager Name: Liz Reiter

Manager Title: Federal Government Program Manager

Phone number: 202-***-****

Email: ad0wdv@r.postjobfree.com

linkedin.com/in/lizreiter

Company: Merrill Lynch

Location: 17225 EL CAMINO REAL, SUITE 200, HOUSTON, TX, 77058, US Name: Mike Fisher, WMA,CFP®, C(k)P®, ChFC®, CRPC®, CRPS®, CPFA Title: Senior Vice President/Retirement Benefits Consultant/Wealth Management Advisor/Portfolio Managers Phone number: 281-***-****

Email: ad0wdv@r.postjobfree.com

Website: fa.ml.com/the_rf_group

linkedin.com/in/micheal-fisher-cfp®-chfc®-crpc®-crps®-c-k-p®-a3805579

Contact this candidate