Clover Walker

Email: ad2pnf@r.postjobfree.com

Cell:347-***-****

SUMMARY

Over 10 years of experience including Document Reviews, Cyber Incident Reviews and Contract Reviews, Fraud Investigations, Data Entry Check processing, AML transaction monitoring alerts, regulatory compliance, KYC-EDD, Hedge Funds Customer Service, Data and financial analysis. Data Extraction and Data manipulation, applications support, Additionally, I have experience in reviewing various financial agreements, including ISDA, GMTAs, and CSAs, Mutual Fund Financial reporting, as well as settlement and clearance operations, Wealth MGMT, Private Wealth, document reviews, and audits, Financial Statements. Staying organized and prioritizing tasks effectively is a great accomplishment by creating daily and weekly to-do-list and time management.

SKILLS

Software: Windows 10/ Windows 7 Security, Windows Vista and XP Operating Systems, Project Analysis, Scripting, Raiser’s Edge DB, Python, User Account Control, SQ and SAS Database 2005 – 2008, FDA, CANOPY, Alteryx, Relativity, Reveal, TEXTIQ, Concordance EED, Stratify, Attenex, and Introspect, DSAR, METADATA, Amazon Relational, SAP, SAS, Data Mining and extraction, MS Access and SharePoint, EDMS and CGMP. STARS SYS, ADP, SunGard Accounting Systems Metrics Reporting, Congressional Reviews, MBS clearance, Euroclear, Cedel, Globe-Net, GCSX systems, Custodial banking Platforms, DTC, FED, PCT, BONY, RTD, Fund Settle, RSL and Geneva Advent Platforms, Oracle (OFSA) Calypso Systems, Call Tracking Systems IPDAS, Business Systems, BIMAS SYSTEMS, AGILE, Google analytics, Swift Messaging Systems, Bloomberg, World Check, Mantas CPI, Clear, and Dow Jones Systems, Factiva, One Trust Systems, In house privacy laws, One Trust Platforms, Oracle and SQL Database Administration.

EDUCATION/ CERTIFICATION

Bachelor of Arts in Business

UWI – Extra Mural Center, Jamaica

Certifications

Netcom IT Workshop, January 2010

Windows 7 security, January 2010

Microsoft SQL Server 2005, February 2010

CAMS, AML, and Phishing EY certs 2018

Compliance Regulatory Certification 2021

Agile Scrum Master Certification 2022

Paralegal Professional (PPC) Certification 2023

Institute of Management, Technology and Finance

EXPERIENCES:

Seven-Fold Portions Inc/Underlying Clients

Nov 2022 to Sept 2023 – 9 months

Document Reviews– Internal Audits-Accounting Clerk

Assisted in preparing financial statements and reports under the guidance of Senior accountants, conducted data entry and maintain records in the accounting system, assisted with accounts payable/receivable tasks, including invoice processing and payment reconciliation. Conducted thorough reviews of confidential documents related to cyber incidents, contracts, and financial Statement and agreements. Identify potential risks, compliance issues, and areas of improvement, ensuring adherence to legal and regulatory requirements. Collaborate with cross-functional teams to analyze and interpret complex data, contributing to strategic decision-making processes Performed a range of audits, including SOX audits and self-assurance audits according to Project deadlines, monitoring financial activities, and completing financial statements. I was able to support senior auditors and managed multiple tasks concurrently.

IntergrAssure/UBS WM underlying client

Sept 2022 – Nov 2022 – 2 months

Fraud Investigations/ KYC-EDD Internal Audits

Conducted internal audits and investigations related to financial crimes and fraud. Additionally, I was able to assist in the establishment and maintenance of a robust AML/KYC-EDD (sanctions) risk management program in the US, staying up to date on various compliance regulations and risk assessments. Also, ensure that I stayed knowledgeable on these regulations and assessments.

Robert Half Project with underlying Clients

Nov 2021 - Sept 2022 – 10 months

Fraud/Forensic Investigator Analyst/AML/ KYC-EDD

It was a diverse and interesting job! Using various technologies and specializing in fraud investigation to maintain accountability and trust in transactions. Utilizing proprietary and online software such as KYC, Lexis Nexis and Worldbase. Working with various systems and analyzing due diligence was both crucial aspects that necessitate attention to detail. I prepared reports that were always useful, and my work contributes to preventing and mitigating risk and fraud.

• Usage of Platform: VDI SYSTEMS, Doc360, Raiser’s Edge, Cosmos/CPA & Facets

Synergy/Ernst&Young

Nov 2019 – Oct 2021 – 2yrs

AML Analyst/Sanctions/Fraud Investigations

Heavily involved in monitoring and identifying suspicious activity related to financial transactions, my role was integral to maintaining compliance with relevant laws and regulations. Maintain strong attention to detail for performing macro and data mapping, data extraction and data manipulation to help you identify potential issues. Reviewing and interpreting testing and monitoring reports, as this helps to maintain high standards of quality and compliance throughout the organization. Assisting with audits and using research tools like SARS, Actimize and internet house platforms to gather information about transactions demonstrate your commitment to thorough investigation.

BDO New York City NY

Dec 2018 – Nov 2019 – 1 yr.

Associate: Security Data Breach, GDPR

Conducted data protection and privacy research, as well as executing various activities related to data protection, coordination with stakeholders, contract execution and archival, and participation in security breach protection efforts, among other things. Familiar with systems such as Microsoft Access, SAP, and SharePoint. Data Extraction and Data mapping. Conducted investigations and monitoring transactions, drafting policies, and conducting data protection and privacy impact assessments. I also have a strong background in areas such as GDPR, CCPA, and CPRA redaction.

Epiq New York City, NY

Apr 2018 – Oct 2018- 1 yr.

Administrative Assistant

Responsibilities as an administrative assistant, particularly in the pharmaceutical and medical review industry included investigating cases and review documents for various types of sensitive information. My expertise in advanced contracts management and drafting enabled me to participate in projects and provide technical support, as well as coordinate and review materials for regulatory exams/audits. My skills in document management allows me to use EDMS and CGMP, and quality assurance are certainly valuable assets in this role.

Ernst & Young, New York, NY

Feb 2018 – Mar 2018 - 1 month

Consultant: AML/KYC/OFAC Forensic Auditor

Experienced in the financial and legal fields, particularly in cybersecurity and compliance. Prioritize and protect clients from breaches and ensuring compliance with regulations such as AML and OFAC sanctions. Investigating and remediating breaches, reviewing contracts, and providing recommendations for high-risk clients.

Tower Legal Services Goldman Sachs, New York, NY

Apr 2017 – Dec 2017 – 8 months

Admin Assistant/Document Reviewer

Conducting document reviews, contract drafting and negotiations, and participating in compliance processes such as KYC and AML. Managing ITAR document reviews and Cyber incident Reviews ensuring compliance with regulations related to the export of sensitive technologies. Customer Service and Data Entry. It's also great to hear that you have experience working with various digital editing and redaction tools, as these are becoming increasingly important in modern legal practice.

The Rosso Law Firm, Queens NY Real Estate Paralegal

Aug 2016 – Feb 2017 – 6 months

Administrative Assistant/Document Reviewer

Working in the legal field, specifically within real estate and property transactions. Im skilled in reviewing and summarizing various types of searches, drafting and filing legal documents, and facilitating the closing process. The administrative tasks involved in preparing closing binders and checklists are also very important to ensure that transactions run smoothly and efficiently.

Tower Legal Agency Prime Clerk/ Goldman Sachs,

Jun 2014 – Jul 2016 – 2 yrs.

Admin Assistant and Document Reviewer

I’m quite knowledge in bankruptcy restructuring for Chapter 11 claims, reviewing securities documentation via platforms like Eigen Capture and Edgar, and ensuring compliance with loan policies. My skillset in digital editing and redaction using platforms like Relativity and eDiscovery, as well as my expertise in PII and PIA, are valuable assets.

Citi-wide Inc/Discount Mortgage, Queens, NY

Jan 2012 – Mar 2014 – 2yrs

Residential Mortgage Underwriter

I possess a strong impressive background in the mortgage industry. Very fast-paced, with a lot of attention to detail, drafting and reviewing contracts, facilitate the mortgage loan process with applicants require excellent communication skills and a strong understanding of the lending process.

JPMorgan Chase, Brooklyn, NY

10/2011 – 02/ 2012 4 months

Consultant - Quality Assurance Analyst

Very knowledgeable and experienced working in the financial sector. Responsibilities are to ensure compliance and accuracy in loan processing and documentation, as well as provide quality training. Processing servicing loans in default and navigating the foreclosure process.

UBS Wealth Management,

11/2009 - 11/2010 – 1 yr.

Contractor – Trade Support/Settlement Analyst

Working on reconciling various accounts and trades, liaison between operations and clients is also vital, as it helps to ensure smooth trade processing and resolves any issues that might arise. Also working closely with both the front office trading and sales desk, Gather, analyze, synthesize, and interpret large data and information.

Bank of NY/Mellon, Brooklyn, NY

01/2008 –11/2009 1 yr. and 11 months

Contractor - Operations Specialist

Processing financial trade and securities, managing daily operations, and ensuring the accuracy of client statements, including the monitoring of incoming and outgoing wires, mutual funds and foreign exchange. Tools or software used to manage PAR and Distressed platforms are RTD, DTC platforms, and FEDs.

UBS Wealth Management, Weehawken, NJ

09/2006 – 12/2007 – 1 yr.

Trade Floor Support Analyst

I do have a strong background in financial services, with experience in processing Euro Clear international and local market, as well as handling various types of trades and corporate actions. My ability to adapt to changing workflows and processes, as well as my expertise in resolving support issues, is impressive. Additionally, my familiarity with products such as SWAPS, Equities, and Mortgage-Backed Securities, as well as systems like ICI Impact and GCSX platforms, Local Market Platform and Euclid & DTC, displays a diverse set of skills that is valuable in the financial industry.

HSBC Securities, NYC, NY

02/2004 – 09/2006 - 2 yrs.

Private Wealth Management

Managing and resolving a wide variety of issues related to settlement and trading discrepancies, fund charges, and failing trades. Following up on subscriptions and redemptions, and conducting investigations, Managing Clients SLA and Clients’ portfolios and Mutual Fund financial Reporting . Also conducting user testing and configurations, as well as documenting findings and ensuring case closures or escalation when necessary. Utilized several tools and systems to carry out investigations, including Euclid, Geneva, and FINRA RULES.

Deutsche Bank / State Street Bank, Jersey City, NJ

01/2000 - 12/2003 – 3 yrs.

Trade and Settlement Analyst

I’m well versed and experienced in the financial industry, particularly in trade support and settlement. Prompt and quickly respond to counterparties and brokers to resolve settlement issues to prevents breaks and deficits. To ensure compliance with AML policies and FINRA rules by filing SARS recommendations. strong proficiency in using Euroclear, Swift, ADP, in-house platforms, and custodial applications to match and settle securities transactions, reconcile custodian accounts to underlying funds, identify and resolve security breaches and cash variances, and handle cash management functions for assigned funds.

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