Customer Service Level 2
Resume:
ANDREW HINDS
ad3s7r@r.postjobfree.com
Professional Summary:
Progressive experience within various facets of the Business and Financial Industry. Ranging across industries such as, Audit, Customer Service, Operations, Compliance, Commercial and Investment Banking. Strong investigative, prioritization and decisive skills. Experience in working across various lines of business, exercising sound judgment, and handling of sensitive information while observing the highest degree of confidentiality.
Experience:
SMBC – Sumitomo Mitsui Banking Corporation-Jersey City, NJ
COMPLIANCE SANCTIONS ANALYST – Consultant -10/2022 – 12/2023
Ensures compliance with all regulatory practices outlined by CPAD (Compliance Department) BSA/AML/OFAC and adherence to Bank policies and procedures.
Proficient with SWIFT messaging, provided first level review on alerts and record decision-making on transactions
Conducted daily reviews of Low, Medium and High risk rated customers utilizing Accuity Fircosoft and Fircosoft Trust and determining true matches/false positives in relation to the bank’s Regulatory & Sanctions requirements
Ensure documentation correctness and conducted Level 2 case reviews on transactions within Accuity Fircosoft
Utilized Lexis Nexis Bridger as an information gathering and verification tool to aid in dispositioning alerts as a prerequisite in the decision-making process
Maintain oversight on movement of funds into and out of hold over account for suspended funds cases while providing support for timely record keeping for cases opened for investigation
Ensures business continuity under all conditions, sometimes adverse, with strict adherence to established guidelines and deadlines. Ensures completion of requests from BSA Officer in relation to conditional approvals or other requirements
PricewaterhouseCoopers LLP- PwC- New York, NY
FRAUD OPS ANALYST – Consultant -07/2022 – 10/2022
Responsible for reviewing confirmed fraud cases, gathering additional investigative data, documenting investigative findings and determining whether the case should be escalated/referred for further review or action
Analyzing transactional data and conducting internal and external research on subjects using a variety of research tools
Establishing effective working relationships with PwC teams and client stakeholders
AML ANALYST L2 INVESTIGATOR -03/2022 - 07/2022
Responsible for Level 2 investigations of AML transaction monitoring cases, perform required due diligence and analysis, and address and/or mitigate respective risks
Conducting investigations of manual or automated suspicious activity alerts, documenting narratives on investigative findings, and determining whether the case should be escalated utilizing NICE Actimize tool
Responsible for applying a working knowledge of and practical experience with transaction monitoring systems to identify potential illegal activity and trends to escalate to the appropriate parties
Conducting investigations of potential suspicious parties while utilizing Fircosoft Screening platform and clearing alerts
Drafting suspicious activity reports (“SARs”) to be filed to FinCEN by clients, where necessary
Meeting production targets and quality standards while being able to organize tasks, plan time efficiently, and adapt as needed to adhere to pre-defined completion targets
Shinhan Bank America-New York, NY
BSA/OFAC SANCTIONS – Consultant -09/2021- 02/2022
Responsible for the maintenance and verification of Sanctions List Updates or Recent Actions, as set forth by the U.S. Department of the Treasury
Ensured that all names, entities, changes and deletions were screened against the SDN list
Responsible for the clearing/dispositioning of alerts against sanctioned entities, {true matches/false positives}
Daily updating, tracking and record keeping of all Fircosoft activity and OFAC List updates
Instrumental in the KYC process by preforming Transaction Analysis on transactions involving High Risk Countries
Trade Monitoring on customer transactional activity and providing Quality Control on various cases
Conducted a Risk Assessment on the relevance and necessity of the internal Watch List selections
Conducted Trade Finance Monitoring ensuring cross-border documentation has been thoroughly reviewed to circumvent potentially suspicious activity that may indicate money laundering
JPMorgan Chase-Brooklyn, NY
COMPLIANCE OFFICER - Quality Assurance -11/2016- 01/2021
Level 2 Quality Testing for several streams within CLS (Client List Screening) and GFCC (Global Financial Crimes Compliance) identifying high risk customer types and their various relationships across the firm in accordance with the firm’s policies and procedures
Conducted Risk Assessments to help the bank to accurately identify risks and apply appropriate controls to mitigate risk
Proficient in Trade Surveillance. Quality Tester on the accuracy of internal controls used by the QA Analyst as it relates to the disposition of CLS and Sanction alerts/cases
Ensured customer transactions are properly reviewed against OFAC Sanctions lists, HRG, Politically Exposed Persons (PEPs), Negative Media and Internal lists
Responsible for supporting and leading aspects of the firm’s Anti-Money Laundering (AML) program, while working in conjunction with other compliance teams
Performed UAT testing to ensure that all technical qualities within the software or product are aligned with business objectives and end users’ expectations
GCO - AML CASE INVESTIGATOR - 01/2015- 10/2016
Ensure alerted activity of Individuals, Entities and Bank-to-Bank transactions were align with the Global Compliance Operation standards and in relation to OFAC sanctioned lists/countries, via extensive research & information gathering
Proficient in Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), mitigating risks to be in line with FinCEN as well as the bank’s internal controls
Leveraging of Law Enforcement, 314a, public records, negative media searches, PEP associations and RFI’s
Strict adherence to the Laws and Regulations which govern the CFPB / UDAAP including Reg B requirements
Applied KYC /Anti-Money Laundering Program (AML) policies to achieve a more holistic view of client relationships
Reduced fraud risk and compliance cost through identity validation, verification, on boarding; AML and sanction screening
Strict adherence to BSA along with Regulatory reporting requirements to the OCC and Auditors while following AML procedures and internal policy guidelines, with close attention to Money Laundering Red Flags
Provided my mitigation summary report and making the final determination on whether or not to escalate to the SAR Team
Improve data integrity through statistical, data analytical techniques & research with the ability to assimilate large amounts of data from multiple sources to provide effective quantitative problem solving as well as data reconciliations
Proficient in Transaction Monitoring and case investigations utilizing Data Mining techniques
COMPLIANCE SPECIALIST - Licenses & Registration (consultant) -12/2013-12/2014
Ensured that the Registration of JPMC’s Registered Representatives were registered in accordance with the SWAP Dealer requirements and Dodd Frank Regulations set forth by the National Futures Association and FINRA
Tracking and maintaining data and working with IT to ensure that the Representatives’ Continuing Educational session requirements have been met. Processed & amended U4’s as well as U5 terminations
Performed GFCC Submissions of the Licenses & Registration weekly & monthly metrics
PricewaterhouseCoopers LLP-Jersey City, NJ
AUDITOR- ETHICS & COMPLIANCE (consultant)-07/2012-03/2013
Conducted audit assessments on Board and Partner Candidates
Accessed and archived required audit material while tracking the stages of Partners’ audit
Collaborated with Senior Associates, Quality Reviewers and Managers, to ensure effective and timely audits
Maintained the Partner Tax Survey database, ensuring necessary form fields were accurately populated
Société Générale-New York, NY
OPERATIONS SPECIALIST- FX Control 12/2004-02/2011
Preparation and management SWIFT messages/payments via CHIPS, FEDWIRE, IBAN
Set-up and maintenance of new and exotic currencies, Prime brokerage and Give-Up agreements as well as trading portfolios
Research client portfolio for any issues, reviewed transactions for any potential risk and report them to management
Provided Product Control & FX Operations while ensuring the quality of statistical and dynamic parameters of the market data rates used to compute the P&L valuation and VaR calculations
Daily compilation & manipulation of static data FX/MM IRD market data rates to report and satisfy the necessary business needs to downstream users in Risk dept. and Traders
UAT testing at offsite areas, Alert Stream testing as it relates to approved script and defect criticalities ratios/controls
Reconciled cash, FX Futures, payments and brokerage bills, created and updated operational procedures related ledgers and open positions to produce and distribute the trader's P&L. Reviewed prior day’s activity, verified positions, balanced trade settlements and booked deals
Goldman Sachs-New York, NY
OPERATIONS SPECIALIST- Investigations 04/2004-05/2004 (Consultant)
Performed operational functions within the FX Investigations Department, reviewing GL account reconciliations vs. open positions
Investigated all trade breaks where counterparties fail to pay or receive funds on confirmed trades
Created and tracked cases for each trade break from initial investigation process to case closure
Forex Capital Markets-New York, NY
SENIOR OPERATIONS SPECIALIST - Back Office 03/2003-03/2004
Processed wire transfers, check deposits, set-up new accounts and processed margin allocations
Scheduled meetings and provided trade support to in-house traders and introducing brokers
Provided technical support to clients on the use of 4X Made Easy and other trading platforms
Monitored and managed client trade database for accuracy and efficiency
Citibank-Long Island City, NY
OPERATIONS SPECIALIST- Trader’s Assistant/Compliance 06/2000-05/2002
Reviewed SAR information and bank subpoenas to identify potential terrorist or terrorist activities
Communicated regulatory requirements and maintained quality service through the enforcement of compliance standards
Processed and executed trades for Fixed Income Traders via their trade blotter
Familiar with Brokerage and providing Trade support
UBS PaineWebber-New York, NY
SENIOR WIRE OPERATOR- 02/1997-06/2000
Processed trade executions of Equities & Bond trades, Option exercises and Mutual funds
Responsible for customer account reconciliation and making bank deposits
Created procedures that were used firm wide
Provided necessary phone coverage if needed
JPMorgan Chase -New York, NY
BANK TELLER- Lead 09/1992-02/1997
Responsibilities for processing includes; checking and savings accounts, mortgages, personal loans, credit cards, and (CDs)
Bank Teller/Customer Service Representative/Private Banker/Cash Management Systems
Education: 09/1988- 09/1996
Baruch College, Zicklin School of Business (CUNY) -New York, NY
Bachelor of Business Administration - 1997
Borough of Manhattan Community College - BMCC-New York, NY
Associates, Business Management - 1991
Business & Technical Skills:
Microsoft Office, World Check, FircoSoft, LexisNexis, KYC Portal, SKYC, PB Workstation, Actimize, Krescendo, Business Objects, Portal, ECAMS, Aither, ORACLE, Mantas, Montran, Bridger-QNC, Pivot tables, VLOOKUP, COLT CDD, FSD/Customer Assist, PeopleSoft, Broadridge, Reuters, Bloomberg, FCRM, SONAR, FTMON, FINRA, Web CRD, RegED, Unix, Traiana Harmony, RAID, IntelliTRACS, OPICS, SWIFT ALLIANCE, OMGEO ALERT, SharePoint, FCRA, FOL, SWIFT, Montran
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