Dwayne Burton

Fairview, NJ

C: 973-***-**** E: ad3abn@r.postjobfree.com

OBJECTIVE

To provide a service that effectively supports business areas in their duty to comply with relevant laws, regulations, internal policies and procedures.

PROFESSIONAL EXPERIENCE

EXPERIENCE:

Natixis Bank CIB, New York, NY May 2022 – Present

KYC Vetting Analyst – Vice President

Analyze and determine customer identifying documentation required based upon counterparty type and risk level.

Familiarize myself with Natixis’ documentation matrix/requirements and internal KYC procedures to ensure that customer files are accurate and complete.

Perform independent analysis of customer files and prepare files for review and approval.

Perform accurate and detailed analysis of negative news WorldCheck/OFAC/PEP screenings and escalate required items as needed to compliance.

Maintain accurate and up to date tracking of assigned cases and provide updates as needed in a timely and concise manner.

Work closely with the Client Service/KYC Facilitation team to gather customer information and on-boarding documentation and keep the team informed of any escalations required or issues encountered in the client due diligence process.

Perform accurate analysis of multiple types of entities including but not limited to financial institutions, corporate entities, SPVs, and Hedge Funds.

Leverage centralized systems for data storage and upload required documentation to necessary systems as required.

Perform periodic scheduled due diligence for low, medium and high risk clients for all Americas business lines.

Perform due diligence on new customers files as needed during high volume times.

Working closely with the Compliance department to follow internal policies and procedures as well as adapting to changes in policy as well as changes to regulatory requirements.

Recommend and implement process or systems improvements to improve efficiency and mitigate risk.

Work on ad-hoc projects as needed and as assigned.

Shihan Bank May 2021 – April 2022

QA KYC Analyst

●Performed Quality Assurance on periodic reviews accounts submitted by KYC teams.

●Conducted KYC due diligence review on SDD/RDD/EDD accounts as first level of control.

●Reviewed cases as QC role for full adherence with CTBS Know Your Client Global Policy, Global KYC Key Operating Procedures and any applicable Local Variance.

●Responsible for delivery of Client Management Group and KYC Team service proposition for individual Banking sub-sectors, Corresponding Banks, Foreign Banks.

SMBC, New York, NY July 2020 – February 2021

KYC Analyst – Project - Consultant

●Ensured that CIP information and mandatory DD/EDD information is collected prior to account opening.

Ensured profile review is completed timely and within quality expectations, including

review conclusions that are clear, complete and supported by the information in the file.

●Collect from the RM and reviewing, for adequacy and accuracy, all required KYC information and documentation within prescribed time frame..

●Confirm that verification documents are obtained by the RM and complete the KYC within a prescribed time frame.

●Conduct background checks (i.e., OFAC, politically exposed persons, 311 and adverse information checks).

●Troubleshoot routine and some complex issues with KYC/CIP system and various subsystems to resolution.

CTBC Bank, New York, NY October 2019 – February 2020

KYC/Quality Checker – Project - Consultant

●Performed the Quality Check role of overdue Customer Account Periodic Reviews.

●Reviewed cases as QC role for full adherence with CTBS Know Your Client Global Policy, Global KYC Key Operating Procedures and any applicable Local Variance.

●Ensured profile review is completed timely and within quality expectations, including

review conclusions that are clear, complete and supported by the information in the file.

●Coordinated with team members to distribute monthly files.

●Preformed EDD searches on High Risk files.

●Performed transaction monitoring during the periodic review of client accounts.

●Identified and escalated critical issues to Compliance.

●Analyzed negative news and political exposure persons and prepare written analysis and recommendation.

●Liaise with all key stakeholders in the screening process (Front Office, KYC Advisory, Sanctions, and Compliance).

HSBC Securities, New York, NY August 2017 – July 2019

KYC/QA Client Management Due Diligence - Consultant

●Responsible for delivery of Client Management Group and KYC Team service proposition for individual Banking sub-sectors, Corresponding Banks, Foreign Banks, Funds, Investment Advisors, Broker Dealers, SPVs, Insurance, Corporate and Syndicated loan client account profiles.

●Performed UAT (User Acceptance Testing), data mapping, tuning, system integration and implementation of KYC, name screening, AML transaction monitoring with various systems used within the internal and government regulators platforms, such as Actimize and other systems.

●Conducted KRIs (Key Risk Indicators) assessment and reporting to help provide controls, governance, oversight and SME (Subject Matter Expert) support for all Bank Country HUBS in order to ensure AML Regulations were kept in place.

●Performed enhanced due diligence (EDD) associated with the periodic review of current client accounts and the onboarding of new clients, including research to corroborate a client’s identity and source of wealth, conducted screening on PEPs and negative news.

●Conducted transaction monitoring and ran account activity reports. Completed periodic reviews of client files to ensure the data remained accurate.

●Participated in AML Team meetings or prepare and review Suspicious Activity Reports (SARs).

●Coordinated and delivered expertise as well as execute User Acceptance Testing (UAT) in AML area.

●Performed Quality Assurance on onboarding and periodic reviews accounts submitted by offshore KYC teams.

●Liaise with clients on a regular basis to understand their priorities/concerns and to obtain needed information/documentation in order to complete the onboarding or periodic reviews of client account profiles.

●Took ownership of escalations and managed to find resolution in a timely manner, keeping all stakeholders updated.

●Managed the coordination of cross border requests from multiple jurisdictions, working closely with local/global Client Management Due Diligence Team, including sharing information and providing guidance to other sites.

●Service Measurement, Management and Improvement - Collaborated 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.

BNP Paribas, Jersey City, NJ April 2016 - July 2017

KYC/QC Due Diligence - Consultant

●Training of domestic and international new hires on systems and policies.

●Conducted KYC due diligence review on SDD/RDD/EDD accounts as first level of control.

●Quality Control inspection of CIB analyst’s completed files as to ensure proper KYC policy was adhered to.

●Performed UAT (User Acceptance Testing) on internal systems used by the bank.

●Work with analyst and RM’s to breakdown complex corporate structures so KYC files

are accurate and current.

●Maintained updated internal KYC procedures in accordance with compliance directives.

●Evaluated adverse news, OFAC related sanctions activity, AML/CFT activity and presence

of PEPs as part of determination of final client risk score.

●Ensure sufficient identification of ultimate beneficial owners as required by FINCEN CDD rule and AML directive.

●Handled client and RM requests as pertaining to KYC policy issues.

●Upkeep with daily reports (KRI) pertaining to group’s work in progress, completed files and work soon to be completed, as well as weekly reporting to upper management. on the progress of the team.

●Liaison with front office and internal financial securities team to collect client documentation

●Review of policy updates to ensure compliance with local regulations.

●Monitor and review transactions with Tableau system.

●Analyze client exposure to high risk and sanctioned countries/industries.

Compton Spellen Estate, Maywood, NJ February 2015 - January 2016

Real Estate Development, Fulltime Manager

●If necessary, information regarding my daily work responsibilities in this role will be provided upon request.

HSBC Bank, New York, NY September 2014 – February 2015

Compliance Risk Assessment Unit, Consultant

●Conducted compliance Product Risk Assessments (PRA) and document audit of compliance to industry standards, plus monitored critical risk issues.

●Recognized how different regulations affected the risk rating as related to banking products owned by all bank business lines.

●Identified the following risk ratings: Inherent Risk, Control Environment and Residual Risk.

●Assisted with the implementation of all aspects of the departments risk function, including implementation of processes, tools and systems to identify measure, manage, monitor and report product risks.

●Developed the corporate risk and control assessment report process, plus as maintained infrastructure elements (e.g. management reporting, including reporting to Senior Management).

●Translated business requirements and functional needs into business / reporting and system specifications.

●Ensured technical specifications met the stated needs of the business.

●Produced client policies, procedures, processes and other documentation as required.

●Ensured the program was effectively integrated into product development and delivery methodology.

TD Securities, New York, NY December 2013 - May 2014

KYC/AML - Consultant

●Verified AML requirements and approved new clients within deadlines; demonstrated governance, control and risk management behaviors in alignment with TD policies and practices.

●Conducted transaction monitoring and escalated irregular transactions and other suspicious activities as appropriated.

●Prepare and review Suspicious Activity Reports (SARs) as needed.

●Conducted the KYC/EDD/CDD and Client Identification Process for client onboarding and periodic reviews of Business Banking, Corresponding Banks, Investment Advisors, Broker Dealers and Corporate clients account profiles.

●Performed World Check, Proof of Existence, Proof of Regulation, Proof of Listing, and Proof of Ownership.

●Conducted screening on PEPs and negative news.

●Conducted Tax, Business and Government Identification number verification on numerous clients.

●Provided advice to front office staff on US new account regulations.

●Ensured all accounts were in compliance with Government Securities Commissions, OSFI, IIROC, FSA, FRS, FINRA, SEC, and various other regulators. Also made sure clients were publicly traded and listed on NYSE or NASDAQ.

Bank of America, Newark, NJ April 2010 - January 2013

KYC/AML Specialist

●Conducted the KYC/EDD/CDD and Client Identification Process for client onboarding and account reviews.

●Performed client outreach if needed, in order to obtain necessary information/documentation.

●Helped create and support testing programs related to approval and servicing so loan documentation could be reviewed for exceptions and or aggregated to determine if programs, processes and internal Bank requirements were in compliance with regulations.

●Selected as one of ten proficiency coaches to train file reviewers to accurately resolve issues and increase quality.

●Trained and mentored individuals one on one to help meet required quality control goals.

●Wrote Preliminary Reviews and Final Reports for Management.

●Reviewed random samples of Loan Servicing and Origination files, reported any findings to Management; worked with Senior Management to establish procedures and policies, and analyzed and monitored activities to ensure compliance at every level.

●Focused on regulatory compliance, ensured proper procedures and Anti money laundering rules were followed.

Education:

Johnson and Wales University, Providence, Rhode Island

Major: Business Management

Skills:

Advanced Microsoft Excel including Pivot tables and VLOOKUP, Microsoft PowerPoint, Microsoft Word,

Microsoft Outlook, Loan IQ, Impact, Actimize, UAT (User Acceptance Testing), World Check, Lexis Nexis, Bankers Almanac, Investment Adviser Public Disclosure, Broker Check, Remit Pro, Orbis/MINT, SWIFT, KYC, EDD, CDD,CIB, Correspondent Banking

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