Wilson Augustin

718-***-****

ad42v0@r.postjobfree.com

Professional Summary

Compliance Analyst specializing in KYC, CDD, EDD, Alerts, Investigations, high-risk, and Suspicious Activity Report (SAR) writing compliance reviews. Possess a solid background in the financial industry focusing primarily on AML regulations, risk management, and financial investigation of suspicious activity transactions.

PROFESSIONAL EXPERIENCE

Compliance Analyst (Consultant)

Digital Risk (Remote) 06/2019 to 09/2023

·Review alerts generated from the Bank's AML monitoring system and analyzed questionable activity detected, as well as determine if an inquiry to the account officer and/or investigation is warranted.

·Thoroughly document findings by preparing reports in a manner that is clear and comprehensible to BSA supervisors/managers, internal auditors, and regulatory examiners.

·Prepare Suspicious Activity Reports (SAR) when suspicious activity is detected

·Review due diligence reports to understand customer risk on a holistic basis

·Prepare and file reports with OFAC as required

·Report all findings to the team leader and manager.

·Handle a large workload with the ability to complete the tasks correctly and efficiently within the designated timeframes.

·Conduct in-depth research into customer accounts and properly document findings.

·Conduct investigations into customer relationships with the ability to research counterparties, detect suspicious patterns transactions and prepare an analysis/conclusion that is clear and comprehensible to BSA supervisors/managers, internal auditors, and regulatory examiners.

Construction Compliance Administrator (Full Time)

L&R General Construction (Full time)- Queens, NY 02/2014 to 04/2019

·Administering contractual project requirements, insurance requirements, billings, and management of subcontractor’s agreements and compliance requirements

·Work closely with project managers, estimators, field superintendents, customers, subcontractors, and vendors

·Collect and assess risk data, risk management performance, and exposures to potential future events

·Supervise/projects and work with managers to develop and implement adequate risk management controls (policies, procedures, systems, and staffing)

·Planning and maintaining the company's emergency response plans in coordination with the property and casualty insurance company

·Monitor FM Red Tag Sprinkler and Hot Work permit systems and ensure that all locations complete the quarterly maintenance and testing checklists

Compliance Analyst (Consultant)

Solomon Edwards - Charlotte, NC 06/2012 to 12/2013

•Receiving and investigating escalations from AML Analysts originating from manual and automated monitoring referral channels to determine whether potential suspicious activity is present

Making recommendations related to the reporting of suspicious activity through SARs to FinCEN

·Conducting enhanced customer due diligence, transaction activity reviews, and negative media searches and documenting findings in accordance with approved policies and procedures

·Independently researching internal and external source systems to determine whether activity appears usual and expected for specific customers/accounts

·Preparing Suspicious Activity Reports (SARs) and other written investigative/intelligence products to support decisions and recommendations

·Conduct Quality Assurance on High-Risk Review cases and look-back alerts performed by the AML Analysts

EDD/Quality Assurance Analyst (Consultant)

JP Morgan Chase - Jacksonville, FL 02/2011 to 04/2012

·Perform qualify assurance reviews on files completed by the Compliance Analyst

•Perform high-risk CDD, EDD reviews, and transaction monitoring, on personal and business high-risk accounts including Senior Public Figures (SPFs), and relatives of SPF and million-dollar-plus accounts.

•Conduct research using available bank systems (Metavante, Liberty, Patriot Officer, Citi Screening, Lexis Nexis, etc.), and the internet and commercial databases

•Conduct enhanced due diligence investigations in support of policies and procedures. Determine investigative and data analytics approach, use sound decision-making and discretion in making independent decisions that mitigate corporate risk

Driver - Operation Manager

UPS - Brooklyn, NY (Full Time) 02/1999 – 12/2013

·Assisting with employee relations issues; handling confidential issues, conducting investigations, and successfully resolving conflicts

·Workforce planning, performance management, succession planning, disciplinary issues, implementing company policy and procedures

·Employee orientation, development and training logistics and record-keeping

·Maintain, control, and secure confidential and sensitive records such as organizational.

·Provided feedback as to how employees are feeling, morale issues if any, problem areas, and feedback from employees.

·Overseeing the documenting and auditing of all incoming and outgoing materials (inventory) in the warehouse

·Troubleshoot all discrepancies and improper documentation

·Ensuring all inventory and goods are placed in the proper storage location.

·Yearly physical inventory reconciliation

·Other responsibilities as assigned by Senior Management

EDUCATION:

Kingsborough Community College: Associate degree – Accounting technology/technician and bookkeeping, Brooklyn, New York.

DeVry University: Bachelor of Science in Technical Management, concentration in Finance, Queens, New York.

Bachelor’s degree from DeVry University, Major in Finance

COMPUTER SKILLS AND SOFTWARES: Proficient knowledge of Microsoft Office Products (Access, Excel, PowerPoint, Outlook), Patriot Officer, Actimize, Metavante, Citi screening, Liberty, Synergy, and Mantas Oracle, Lexis Nexis, Jack Henry, Assist, ECS, Citrix, SAS AML Platform and SharePoint.

OTHER QUALIFICATIONS: QA Testing, SQL, SDLC, Business Analysis, Project Plus Certified, Annual Fraud and Compliance certifications: BSA/OFAC, Unfair Deceptive or Abusive Acts or Practices (UDAAP), Fair and Responsive Lending, Fraud Awareness, KYC and AML Policies and Procedures. Project Management Certification is in process.

LANGUAGES: English, Creole, French (read, write, speak)

.

Contact this candidate