Robert Jefferson

Red Oak Row Princeton, NJ ***** 609-***-**** ad2oml@r.postjobfree.com

AML/KYC Analyst

Outstanding results-oriented hands-on professional with a successful record of accomplishments in the Banking industry. Solid background in financial services and extensive experience in Know Your Customer (KYC) procedures. Track record in conducting comprehensive due diligence and ensuring compliance with relevant regulations.

Areas of Expertise

Transactions Monitoring Fraud Investigations FinCEN FFIEC Identify Theft KYC On-Line Banking Client Due Diligence Communication Teamwork Finances AML EDD

Experience

UBS Financial Services Inc., Weehawken, NJ 11.2019 – 04.2023

Business Risk Officer

Coordinated with Lead Risk Advisors, Service Owners, Local responsible officers, and control functions to ensure all third-party initiatives are in line with Third Party Risk Management policy.

•Analyzed and assessed initiatives by UBS policy and procedures.

•Worked with Investment Bank Stakeholders on their third-party projects and managed the controlled execution of project plans to ensure alignment of capacity plans as well as enabling the timely delivery of the strategic capacity plans.

•Ensured compliance with UBS Compliance, Information Security, and Operational Risk requirements.

•Reviewed Wealth Management client onboarding due diligence & KYC documents to ensure internal and external regulations.

•Knowledgeable with banking policies, procedures, laws, and regulations as it relates to Bank Secrecy Act with working knowledge of Anti-Money Laundering and Currency Transaction Report activity review and filing requirements as defined by FFIEC and FinCEN.

•Supported front office stakeholders when onboarding new business by communicating what CDD & KYC is required for the varying client structures managed.

•Processed the client data into the location core banking application to create the client account and investment portfolios.

•Ensured that the document records corresponded with data in our systems.

•Processed reports and end-of-day controls

•Ensured enhanced due diligence is conducted on existing and new clients by Firm Customer Identification Program policies and the USA PATRIOT Act for predominantly international clients and sensitive domestic clients such as PEPs or those associated with high-risk industries or countries.

•Performed root cause analysis to identify control issues and track trends.

Geneva Consulting Group, Port Washington, NY 11.2017 – 11.2019

Global Bank & Markets Client Manager

HSBC Bank USA, National Association, New York, NY)

KYC AML Compliance Analyst

Management, coordination, and prioritization of all CDD requests on behalf of Global Banking coverage teams.

•Adhered to all CDD metrics/KRIs.

•Supported the Coverage Teams and clients in respect of global KYC / AML standards.

•Liaised with clients regularly to understand their priorities /concerns.

•Ensured CDD is prioritized and completed in line with agreed timeframes.

•Taken ownership of escalations and managed resolution promptly, keeping all stakeholders updated.

•Manage the coordination of cross-border requests from multiple jurisdictions, working closely with local CMDD including sharing information and providing guidance to other sites.

Robert Jefferson 609-***-**** ad2oml@r.postjobfree.com

•Co-ordinates off-boarding / client exit process for KYC.

•Worked closely with functional SMEs to provide the required direction and support.

•Worked as part of the GBM coverage team to develop a strategic understanding of the client requirements.

•Strict adherence to compliance and operational risk controls by regulatory standards, policies, and practices.

•Strong understanding of and adherence to all regulatory requirements (DFA, EMIR, FATCA, MiFID, etc.).

•Duty to report control weaknesses, compliance breaches, operational loss events, and timely implementation of internal/external audit points.

•Ability to work within a dynamic, pressurized, and time-sensitive environment, supporting internal stakeholders and demanding / complex clients.

•Service Delivery – Working in partnership with Global Banking Coverage teams, the Client Manager Due Diligence is responsible for the delivery of CMG’s KYC service proposition for individual banking sub-sectors. Collaborating with functional SMEs & stakeholders to ensure that all CDD activities are completed within agreed timeframes and that KRIs are met month on month. CMDD is expected to coordinate with functional counterparts to ensure the renewals and remediation pipeline is optimized, priorities identified early, and issues escalated accordingly.

•Service Measurement, Management, and Improvement - Collaborate closely with functional partners (KYCS, FCC, and Policy) to ensure consistent delivery and regular enhancement of the Middle Office service proposition. Employ a strong focus on continuous improvement, to realize efficiencies and enhance the CMG service proposition.

Merrill Edge, Hopewell, NJ

Global Wealth Investment Management (GWIM)

Senior Operations Analyst (NIGO Team) 03.2013 – 11.2017

Processes routine/standard transactions according to established procedures and prescribed processes in support of GWIM Operations.

•Reviewed KYC information as it pertains to the client/transaction activity.

•Analyzed, report generation, Client identification program, and document remediation.

•Worked in an audit-like function reviewing procedures already in place and identifying gaps and making recommendations for remedy.

•Contacted branch personnel to obtain necessary information (RFI) about Clients and account activity.

•Determined whether to escalate or close alerts based on due diligence conducted.

•Coordinated with AML Surveillance and Supervisory teams to further review questionable accounts.

•Recommend client account relationship retention and termination based on investigations and analysis.

•Analyzed accounts for possible money laundering and other suspicious activities.

•Provided superior service along with effective and efficient operations support for the assigned area's internal business partners and/or external clients.

•Conducted reviews via case remediation and look-back on projects.

•Perform investigative due diligence and review Know Your Customer files using both internal and external resources to obtain an understanding of the purpose and nature of the activity.

•Weekly review of alerts generated for (Not in Good Order) NIGO reporting activities.

TD Bank, Mt. Laurel, NJ 04.2012 – 03.2013

Loan Compliance Analyst

The managed collection process for consumer loans, consumer loans, and commercial loans.

•Performed KYC due diligence on loan Clients.

•Worked with Clients and underwriting staff on loan workout situations.

•Provided supervision for loan collector and loan Client service personnel.

•Ensured compliance with FCRA rules and guidelines when handling client information.

•Ensured effective compliance with all regulatory bodies.

•Prepared and delivered management reporting necessary to ensure accurate and thorough measurement of risk factors present in various products.

Robert Jefferson 609-***-**** ad2oml@r.postjobfree.com

•Properly documented and tracked all collection activity and communication as well as created management reports on both individual assets and portfolios.

Other Relevant Experience

Banking Specialist II

Client Service Representative

Mega Movies, East Brunswick, NJ

Account Manager

Princeton Garden Theatre, Princeton, NJ

Project Manager

Education

Associate of Applied Science (A.A.S.) in Business Administration, Completed,

Mercer County Community College, West Windsor, NJ

Professional Associations

Northern NJ Chapter ACAMS member

Technical Skills

LexisNexis Accurint Fortent Lexidia Cosima Wealth Management Finder Metavante Fidelity Lotus Notes Adobe Microsoft Office Excel Access Word PowerPoint Onboarding Fraud Detection Identify Theft Red Flags KYC CDD/EDD US Patriot Act FATF 40+9 BSA OFAC

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