Christian Morris

Brookhaven, PA 484-***-**** ad3j10@r.postjobfree.com

Professional Summary

Results-driven Compliance Officer with over 10 years of experience, offering a solid history of diversified regulatory and industry experience in AML Compliance, Banking, and Investigative Processes. Proven expert in data analytics, LexisNexis, complex problem solving and personnel management.

Skills

» Regulatory Compliance » Risk Management » Enhanced Due Diligence

» BSA Compliance Strategies » Foreign Communications » Internal Audits

» Project Leadership » Data Analysis » FinCEN

Experience

JP Morgan

Employee Conductor Officer May 2023-Present

• Leverage data analytics and reporting skills to develop and research licensing renewal database; Utilize third party licensing and renewal data to review and manage application approvals

• Routinely communicate with third parties, cross-functional teams, and executive leadership to compile information and present findings to recommend administrative actions to deny, revoke, or suspend licenses

• Subject matter expert responsible for independently conducting application reviews to ensure regulatory compliance to relevant state and federal laws or statutes; Leveraged investigative skills to escalate prioritized or red-flag cases to upper management

• Analyze systems to assess risks within renewal processes, create workflow efficiencies where grey areas exist, and modify frequently used ta to align with the work performed Employee Conductor Officer May ’22 – May ‘23

• Perform Disclosure Verifications on over 3,000 accounts for accuracy and compliance with Business Conduct and Personal Account Dealing policies, lowering risk by 25% while spearheading enterprise-wide initiatives for verification projects aimed at ensuring completeness and overall applicability to PAD policy

• Review 500+ daily trades for compliance to Internal Process requirements prior to submission, avoiding financial losses and reducing buy-in liabilities

• Serve as a liaison between enterprise, third parties, and Broker Dealers to ensure compliance to state and federal regulations regarding personal dealing, tracking and reviewing account statements while actively performing process audits and pristine, error-free Trade Confirmation data-entry AML Investigator Jan. ’16 – May ‘22

• Created personalized training materials based on student activities and behaviors to enhance physical, mental, and educational capabilities.

• Developed user friendly system to maintain student progress reports. Trained staff on newly updated procedures to ensure that any issues regarding progress reports, grades, or faculty feedback was addressed in a timely manner

• Provided support to the front office staff with all point of service functions and to notify supervisors and director of any pertinent information or areas of concern

AML Analyst Mar. ’17 – Jan. ‘19

• Ensured efficient identification and monitoring of activities and transactions considered suspicious while developing reports and controls to identify trends, provide daily assessments of SWIFT and AML data related to suspicious activity

• Remained current with all changes related to money laundering and terrorist financing behaviors, issues, policies, regulations, criminal typologies, industry best practices, and developing trends to aide in identifying potential process gaps

Christian Morris

Brookhaven, PA 484-***-**** ad3j10@r.postjobfree.com

• Continuously developed knowledge of AML/BSA related regulations to efficiently perform data quality reviews of Workstation KYCs for completeness, including ensuring all appropriate information is contained in the KYC to meet all regulatory, legal, bank and audit requirements

• Provided technical expertise by developing solutions for a wide range of complex software engineering issues to ensure audit and research efficacy for ever-changing technological resources and applications

• Analyzed, triaged, and prioritized client data, documentation, and negative news in order to determine Client Risk Profile as established under the Global KYC Procedures

Contact this candidate