Boe Sun 646-***-**** ad331n@r.postjobfree.com

WORK EXPERIENCE

Société Générale CIB—US Head Office, New York, NY 04/2018 – Present Assistant Project Manager (C2C Contractor)

Assisting the Project Manager to liaise with the senior management at the global bank client, collaborate with key stakeholders and areas of the company to ensure proper project delivery, and manage multiple consultants and contractors; Developing and maintaining key project initiatives to ensure that project management lifecycle has been applied to projects and documents are drafted, reviewed and approved in accordance with client rules and regulations, with the ability to work under pressure and manage tight deadlines or unexpected changes in expectations or requirements

Working as the right-hand go-getter for the key stakeholder to ensure all project deliverables are in control, reported and presented in timely and constantly overseen manner; Working as the coordinator facilitating/reconciling across different teams/departments/vendors/resources/project streams/varied stakeholders with likeable personality, upbeat professionalism and patience; Using functional knowledge in securities and derivatives, and full-spectrum banking compliance expertise to support clients with initiatives and solutions to cope with dynamic compliance and regulatory requirements

Fully exerting the ability to work independently, multi-task, learn quick, be innovative, get done fast, ask for more work, take ownership of project or initiative, and constantly being asked to involve new projects requested by various stakeholders

Working on regulatory change management projects across the firm including the KYC Transformation Initiative, performing KYC remediation of the bank’s customers’ accounts by drafting procedures, describing the process of remediating, and then executing the approach; Analyzing existing AML/KYC policies, guidelines and procedures and creating new AML/KYC policies, guidelines and procedures that are consistent with the US and Global Regulations; Identifying and implementing new regulatory rules; Enhancing and centralizing the bank's on- boarding policies, guidelines and procedures

Executing key projects including: NAC Compensating Controls; BTEP Remediation Actions; Overhaul of KYC Exemptions Process, Automation of Exemptions Tracking Process; Rollout of Streamlined SGUS KYC Policies and Procedures Manual; Enhancement of Compliance Oversight Controls and KYC Advisory Procedures; PAC Remediation Project; QLL (QC) Backlog Remediation Project; GPS Controls (QA) Remediation Project; Compliance Advisory Backlog Facilitation Project Bank of Communications—New York Branch, New York, NY 04/2016 – 03/2018 Senior OFAC/BSA Officer, AVP

Assisting the Chief Compliance Officer and the BSA Officer in ensuring all regulatory recommendations/observations that are raised in periodic examinations are implemented and regularized in timely manner

Working with IT department and vendor to fully implement end-to-end OFAC clearing system switching initiative from eGIFTS to Fircosoft; Choosing algorithms and rules according to NY branch's regulatory requirement and special needs; Firco system daily maintenance, testing and tuning; Maintaining black list and white list; Sanction update verification and documentation

Performing daily OFAC alert disposition for more than 200 transactions (multiple hits each) for all levels of review; Managing the OFAC team and performing the last-round review of escalated true match alerts; Sending OFAC inquiries to local sales/compliance unit; Maintaining OFAC query/response log; Conducting risk based review of trade finance transactions to monitor compliance with BSA/AML laws as per BSA/AML, OFAC and Anti-boycott Manuals

Conducting risk based review of customer account activity from AML perspective (transaction patterning/structuring etc) in comparison with expected activity; Sending AML inquiries to local sales/compliance unit; Maintaining AML investigation log; Initiating money laundering related investigations, and filing Suspicious Activity Report (SAR) if approved by AML Committee

Evaluating, training and motivating branch and centralized processing staff to enhance their skills and knowledge of anti money laundering, compliance and regulatory matters; Documenting and recording details of trainings provided

JPMorgan Chase—TSS AML Compliance, New York, NY 02/2013 – 03/2016 Senior AML Compliance Officer

Completing enhanced due diligence on foreign correspondent banking clients and products in addition to large corporations, generating periodic transaction review—AAR (Account Activity Report), making time-sensitive assessment when filing SARs to initiate further investigations

Making analyses in AARs, archiving new findings versus existing risk rating and information, updating high-risk correspondent banking account and PEP (Politically Exposed Person) profiles, monitoring transactions and escalating any discrepancy

Conducting research and investigations in suspicious activities and transactional parties, interfacing with business counterparts to obtain information related to their clients' transaction activities

As part of the GFCC (Global Financial Crimes Compliance) team, working with internal groups including legal, audit, risk to ensure consistent understanding of regulatory concepts including BSA, OFAC sanctions, USA PATRIOT Act, OCC, and FCPA

Citigroup—ICG Compliance, Jersey City, NJ 01/2012 – 01/2013 AML Compliance Officer

Implementing and administering the MCA (Management Control Assessment) testing on every departmental functionality (PTR, TRP, Monitoring, Correspondent Banking, etc) on quarterly basis, to improve operational process, risk assessment and control, and regulatory compliance capabilities

Reviewing and updating policies and procedural documents for various departmental units like ICG, FIU, BSU, CTS, and CPWM, to stay concurrent with "Citi Global Operation Policy" and optimize inter-departmental cooperation and responsibility

Providing KYC and AML support, with understanding of BSA and OFAC requirements, in customer on-boarding & maintenance due diligence, CIP documentation, CADD renewals, PATRIOT Act Section 311 name screening, Section 314 (b) information sharing requests/inquiries and SARs review, periodic reviewing and screening of active TALF borrowers

Participating weekly supplemental training in BSA/AML/OFAC laws, requirements, procedures, updates, and industry software use

Maxim Group LLC, New York, NY 05/2007– 01/2012

ESOP Administrator—Corporate Services

Responsible for outsourcing ESOP (Employee Stock Options Plan) administration and execution services on the platform of OptionEase

Worked with compensation officers and plan administrators on all types of compensation awards like ISOs, NQs, RSUs, RSAs, including granting, approval, data implementation, and vesting schedules

Provided services to corporate customers in technical support, data transfer, and financial reporting

Advised employees to exercise vested options/stocks and helped insiders with Rule144 transactions as captive broker

Compliance Analyst—Compliance and Internal Controls

Maintained client on-boarding consisting of KYC data implementation as well as review and quality assurance, weekly status communication to management

Worked in conjunction with brokerage AML team to reduce reputational risk for global transactions, and investment banking group through applications

Responsible for data migration, essential in conducting periodic review of trade finance and corporate cash management clients, and also managed KYC extension tracker list monitored by compliance Research Analyst—Investment Bank

Prepared presentation pitch books for client companies

Organized conference calls and interpreting for parties involved

Analyzed companies and performed valuation research according to financial reports, balance sheets, institutional research and SEC filings

Organized and participated in due diligence, presentations, corporate communications, investor relations services, one-on-one meetings, and road show events with senior management EDUCATION

Master in Economics University of Massachusetts-Amherst Amherst, MA, USA

Bachelor in Economics Harbin Teachers University

Harbin, Heilongjiang Province, China

COMPUTER SKILLS

Microsoft Office (Outlook, Word, Excel, PowerPoint, Access), Bloomberg, ThompsonONE, Pershing NetX360, LexisNexis, Global Payments, CitiRisk, eCADD, Quickscreens, NESS (World-Check + OFAC listing), Customer Assist, Fortent, OneView, I-Vault, SONAR AML, HALO, FTMon, SKYC, World- Check, Actimize, FircoSoft, eGifts, eGifts EDD, FIS, FIS Prime, AS400, Dow Jones Factiva, CLEAR, Documentum, Maestro, DDIQ, Orbis

ADDITIONAL QUALIFICATIONS

Highly motivated, quick learning, team player, self starter, and "get it done" attitude

Exceptional cross-team communication, conflict management and negotiation skills

Earned college degree from China and graduate degree with scholarship in US

Series 7, 63, & 65 registered (expired), clean CRD record

Bilingual in English and Chinese

All-around background within the investment research, financial service, investment banking, investor relations, consulting, project management, trade finance, correspondent banking, QC, QA, auditing, broker-dealer and investment bank compliance, and full-spectrum banking compliance experiences with deep-dive exposures to OFAC/AML/BSA/KYC/CDD/EDD

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