ANDRE WILSON

**** **** ******, #** *******, NY **105

203-***-**** ad155i@r.postjobfree.com

EXPERIENCE

ARES MANAGEMENT CAPITAL MARKETS New York, NY

Senior Compliance Associate April 2022 – May 2023

Managed FINRA Compliance Program for the broker dealer

Designed and implemented new procedures to ensure compliance with updated regulatory changes

Assisted in new hire training and onboarding

-Conducted new hire compliance training

-Coordinated and communicated required FINRA exams, timelines, and provided support as

Drafted and submitted firm filings through FINRA Firm Gateway

Responsible for completing weekly and monthly supervisory reports

-New Personal Brokerage Accounts, Gifts & Entertainment, personal trade requests

Designed and implemented monthly broker dealer communication survey using the CVENT platform

Administrator for Firm Element CE and FINRA Regulatory Element CE programs

-Issued notifications of required courses and deadline reminders

-Sent weekly report of courses completed

Collaborated with external groups and third-party vendors to fulfill document requests for audit and due diligence reviews

Completed daily, weekly, and monthly compliance reports to document personal trade requests, gifts and entertainment, charitable and political donations, and any reportable events requiring a U4 amendment

Provided support to the CCO with any ad-hoc requests and special projects

GENESIS GLOBAL TRADING New York, NY

Compliance Associate December 2020 – September 2021

Managed FINRA Compliance Program for a Leading Cryptocurrency Trading Firm

Developed Processes and Procedures for New Employee Onboarding

Conducted compliance training classes and provided subject materials

Created and Maintained Database of Customer Complaints

Designed Process for Review and Approval of Advertising and Marketing Materials in accordance with FINRA Rule 2210

Served as Project Manager for Firm Implementation of ComplySci Platform

Collaborated with marketing, security, sales, and legal teams to create new processes or procedures to remediate findings noted in Firm Regulatory Exams for NYDFS and FINRA

Conducted KYC and EDD reviews for new client onboarding to the Prime trading platform

MASTERCARD Purchase, NY

Senior Analyst, Customer Compliance & Fraud April 2018 – July 2020

Preserve brand integrity by ensuring customer compliance with company Rules and Standards.

Developed and assimilated compliance practices in accordance with regulatory and internal compliance program initiatives in existing and emerging markets.

Developed new QA testing procedures and recommend enhancements to current procedures to ensure compliance standards are met.

-Collaborated with marketing, customer communication, and regional account management teams to ensure timely notification and onboarding.

-Reviewed merchant remediation plans, conduct investigations, and resolve inquiries related to high risk categories and provide guidance with noncompliance violations.

-Delivered weekly reporting and analysis to management.

Mitigated fraud and chargeback risks resulting in loss of revenue for the company and its clients.

-Managed adherence with established global compliance programs including AML, KYC, OFAC, and sanctions

-Analyzed fraud trends and establish relationships with key stakeholders to develop fraud control actions plans.

FINANCIAL INDUSTRY REGULATORY AUTHORITY New York, NY

Senior Compliance Examiner May 2014 – October 2017

Mitigated Regulatory risk for the financial services industry by serving as the gateway for broker-dealers to conduct securities and investment banking activities.

·Performed risk based reviews of new and continuing FINRA broker-dealer applications

-Reviewed the proposed business activities and identified the risks associated with each

-Conducted membership interviews of the applicant’s proposed supervisory staff, management and owners.

·Analyzed adequacy of a firm’s financial condition, solvency, and capitalization

-Validated accuracy of regulatory filings and net capital computations

-Analyzed financial documents such as bank statements, checks, and wire transfers

·Reviewed firm operations, sales, underwriting and trading practices including supervisory procedures

-Evaluated internal controls and systems including AML, KYC, Compliance, and SAR reporting procedures

·Investigated the background history of proposed firm owners, management, and supervisory personnel

-Conducted reviews of background and disclosure histories

-Evaluated essential legal documents, regulatory filings, and relevant license requirements

·Delivered comprehensive written and oral reports to FINRA management and broker-dealer executives

-Communicated recommendation to grant or deny the application

-Illustrated actions taken to mitigate risks by providing supporting data analysis

Researched and reported changes in regulatory compliance guidelines in emerging markets business lines such as peer-to-peer lending, proprietary trading platforms, and cryptocurrency

BWIN PARTY DIGITAL ENTERTAINMENT Hoboken, NJ

Risk Specialist March 2014 – May 2014

Analyst of data reports to detect AML and Compliance concerns with the regulation of online gaming accounts.

·Conducted daily investigations of accounts with suspicious activity

·Developed KYC and EDD procedures for new client onboarding

·Analyzed customer identification and bank account supporting documents

·Reported money laundering and ID theft cases to the Department of Gaming Enforcement and law enforcement agencies and

·Reviewed internal reports of suspected suspicious activities noted from all customer service representatives and submitted a SAR to FinCEN as determined by company policy and FinCEN requirements

·Suspended and closed customer accounts with gambling addiction trends

E*TRADE FINANCIAL Jersey City, NJ

Fraud Operations Analyst August 2010–July 2013

Analyst of data reports to detect fraudulent activity in new and existing brokerage and bank accounts.

·Evaluated over 100 applications and accounts for possible fraud, risk, loss exposure, and id theft daily

·Analyzed customer and business identification information in accordance with KYC policies and procedures utilizing various risk tools including: Lexus/Nexus, Trans Union, Chex Systems, customer calls, and high risk check deposit verification

·Detected and restricted fraudulent accounts resulting in savings of approximately $2 million last year

·Generated daily reports to monitor trends in fraud losses and provide feedback for process changes

·Transmitted electronic Suspicious Activity Reports (SARs) for suspected criminal violations pursuant to FinCEN regulations and firm procedures

·Tested new software from potential vendors to detect fraud and provided feedback for review

·Assisted in training and development of new and existing employees

TOYOTA FINANCIAL SERVICES Parsippany, NJ

Credit Analyst July 2006 – February 2009

Analyst of current credit data and history, financial statements of individuals and firms to determine degree of risk involved in extending credit or lending money.

·Supervised 3 Contract Analysts in day-to-day operations

·Submitted weekly application and payoff reports to Operations and Sales Managers

·Developed and maintained strong client relationships with over $25 million in annual sales

-Coordinated with dealers to find ways to approve loan requests while also meeting current business objectives

-Provided accurate and timely responses to requests

-Represented the company at product launches, award presentations, and store openings

·Reviewed and analyzed over 150 new credit applications daily

-Evaluated credit risk using data verification such as credit reports, employment history, income, and residence

-Provided reports and feedback for decision making in accordance with ECOA regulations

·Followed up on approved outstanding loans to ensure processing

-Worked with contract analysts and dealers to resolve issues in processing contracts

to guarantee processing within 16 days of issue

-Reviewed supporting documentation for any loan denied pursuant to internal FCRA policy and procedures

TOYOTA FINANCIAL SERVICES Shelton, CT

Contract Analyst/Brand Energizer June 2005 – July 2006

Responsible for reviewing and processing new loan contracts to ensure compliance with FDIC rules and regulations associated with consumer protection including Regulation Z, the FCRA, and UDAAP

·Researched contract reports for missing disclosures or unidentified items; communicated issues and provided resolutions daily

·Analyzed market trends to ensure competitive quality and customer service was maintained

-Reviewed competitors’ models, rates, and products to ensure exceptional service

-Conducted meetings to ensure brand focus and strategy

-Provided feedback to management for action plans

PEOPLES UNITED BANK Branford, CT

Financial Service Associate July 1999 – June 2005

Managed daily operating functions of a retail bank branch.

·Monitored daily cash functions of the branch totaling over $1 million

-Balanced branch daily

-Processed over 100 daily customer transactions

-Sold products and services to existing and new customers

-Originated and closed new consumer loans totaling $2 million a quarter

-Managed new life insurance policies and annuities totaling over $500,000 a quarter

·Developed planning strategies in order to surpass sales quotas ranking branch number 3 of 32

EDUCATION

Southern Connecticut State University New Haven, CT

Bachelor of Science, Advertising and Integrated Marketing July 2004

TECHNICAL SKILLS

Advanced knowledge with FINRA Firm Gateway, Salesforce, StarCompliance, ComplySci, SharePoint, CVENT, Regulatory filings, Macintosh and PC Applications, Microsoft Office, Photoshop, Adobe Illustrator

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