WADE HARRIS

* ****** ***** ***** **** Valley, CA 94941 609-***-**** ad4o7u@r.postjobfree.com

EDUCATION

University of Baltimore School of Law Juris Doctor, May 2017

William Paterson University B.A. in History, May 2012

Certifications

Certified Cryptocurrency Expert – Certification in Progress

EXPERIENCE

PriceWaterhouseCoopers. (Contract Remote)

KYC/EDD Associate, September 2023-Present

Verify that all KYC/CIP data was collected in accordance with defined bank policies and procedures

Review customer files to ensure that all CDD was done in accordance with bank policies and procedures

Conduct Enhanced Due Diligence (“EDD”) on customers identified as higher risk by the Bank, following Client specific policies and procedures and using Client systems and processes

Escalate findings from EDD reviews to the Bank based on pre-defined escalation criteria

Conduct adverse media, PEP and sanctions screening searches during the course of KYC reviews and disposition screening alerts/results accurately in accordance with Client methodology

Conduct email communication with Client branches to request and retrieve information to corroborate EDD reviews

Communicate with PwC oversight team to provide summary of daily EDD production

Liaise with AML stakeholders to discuss review findings of EDD review, as needed

Credit Agricole CIB, New York, New York

Compliance Associate, October 2022- May 2023

Combined US Operations (“CUSO”) Compliance Lead for compliance risk assessment on all relevant wholesale banking and investment management regulations including Regulation L Management Official Interlocks and Extension of Credit by Federal Reserve Banks

Design and build compliance program for CUSO operations which includes trainings, policies and procedures, and review of applicable laws, rules, and regulations with in house counsel

Primary compliance resource for revision and development of Risk Assessment Methodology including changing from a 5-point to a 4-point scale

Lead weekly meetings with relevant personnel in regards to updates on Laws, Rules and Regulations (LRR) for CRA Tool and updates to Risk Assessment Methodology

Assist with testing and trainings for staff on a monthly basis including working with outside vendors and subject matter experts

Mega International Commercial Bank, New York, New York

Corporate Compliance Officer, July 2021-October 2022

Primary compliance resource for operations teams to promote and ensure compliance with applicable consumer lending laws and regulations managing the regulatory compliance process

Draft and maintain consumer corporate compliance policies and procedures across areas of the Branch including Know Your Customer (KYC), Office of Foreign Assets Control (OFAC), and Regulatory Assessment

Provide compliance knowledge on Part 500, Part 504, and Regulation L

Complete Mega Internal Corporations annual BSA/AML/OFAC training and assist with ad-hoc projects

Perform risk assessment and generate metrics reports based on audit and external findings

Develop effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers

KYC/CDD Team Lead Analyst, December 2019-July 2021

Lead Analyst for Syndicated Loan Division in determining risk level of Primary and Secondary market loans (REITs, Pharmaceutical Companies, and Fortune 500’s) through due diligence screenings, companies 10ks, 10qs, and credit agreements and other external sources

Lead Analyst drafting all annual BSA/AML/OFAC policies and procedures for Know Your Customer (KYC) Division

Monitored Negative News, OFAC sanctions alerts, and unusual activity during onboarding and periodic reviews of customers on Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) cases and recommended if risk levels should be low, medium or high

Analyzed high-risk wire transaction activity and updated client profiles by reviewing transaction history (6-month/1-year look back) and account holders for negative news using database research.