Quality Control Financial Crimes

WILLIAM MORGAN

PROFESSIONAL SUMMARY

Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.

WORK HISTORY

AML Compliance Analyst, 06/2024 to Current

TD Bank - Atlanta, GA

• Perform thorough reviews of AML transaction monitoring alerts and investigate potentially suspicious activities related to money laundering, terrorist financing, or other possible financial crimes.

• Ensure compliance with TD Bank's anti-money laundering policies through investigation, reporting, identifying threats, suspicious behavior patterns, KYC, and recommended mitigation measures including being accountable for high- quality, timely, and efficient SAR manual reports.

• Draft manual comprehensive and clear investigative narrative summary reports detailing findings and

recommendations.

• Conduct investigations related to 314(a) matches, 314(b) requests and law enforcement inquiries as necessary.

• Promoted to Quality Control reviewing case narratives submitted by the Financial Crimes Investigation team.

• Retrieved and review onboarding documents, check images, wire transfers, currency transaction reports (CTR's) to support investigative process.

• Banking Systems utilized include SAS, Fidelity, FileNet, Avant, Compass, Parc, Titan, and Lexis Nexis

SBA PPP Program Analyst, 06/2021 to 12/2023

PNC Bank - Atlanta, GA (Remote)

• Reviewed, analyzed, and made recommendations on all SBA Paycheck Protection Program business entities and personal loans to determine loan eligibility and examine the intended use of proceeds.

• Analyzed and evaluated borrowers' credit, loan application, bank statements, payroll summary reports, profit and loss statements, and loan calculation reports for loan eligibility adhering to the SBA Interim Final Rules.

CONTACT

Address: Atlanta, GA 30339

Phone: 917-***-****

Email: **********@*****.***

SKILLS

• AML Regulations Knowledge

• BSA

• USA Patriot Act

• Strong Analytical Skills

• Team Leadership

• KYC

• Problem Solving

• LexisNexis

• Oracle/SAS

• Microsoft Office Suites

• Quality Control

• Transaction Monitoring

• Compliance

• Communication

• Risk Management

• Attention to detail

• Financial Crime Prevention

• Suspicious Activity Reporting

• Enhanced Due Diligence

• Patriot Officer

• Reviewed and investigated fraudulent loan and loan forgiveness applications.

• Updated ETRAN with service action changes in accordance with the SBA's servicing matrix as needed.

• Responsible for PNC BSA and KYC information upon SBA inquiry.

• Responded to email/phone inquiries and communicated efficiently to bankers, branch managers, Project Managers, and colleagues about updated SBA guidance and training.

• Multi-tasked assisting with multiple projects including 7(a) loan servicing, liquidation actions, tax fraud, payroll fraud, and mortgage loan fraud.

Experienced Hire Seasonal Employee, 01/2021 to 05/2021 Cherry Bekaert - Remote

• PPP loan forgiveness reviewer for large regional banking relationship.

• Tax department employee preparing returns for 1040 & 1041 clients.

• Analyzed financial records to verify the accuracy of tax returns.

• Completed and filed returns with tax departments at local, state, and federal levels.

Hedge Funds Due Diligence Analyst, 10/2009 to 11/2020 Self Employed - New York Metro Area

• 1099 employee; remote hedge fund due diligence analyst for QVT Financial on distressed funds of funds portfolio valuation ($8bn AUM).

• 1099 employee; on site hedge fund due diligence analyst for Nexar Capital on Global Macro/CTA funds ($3bn AUM).

• 1099 employee; remote hedge fund due diligence analyst to private investor for development of $100mn portfolio.

• Positions required hedge fund selection, analysis of hedge fund exposures, and portfolio allocation

• Positions required formal presentations to leadership, meetings with top fund managers, and relationship

management between institutional investors, private investors, and hedge fund managers.

Due Diligence Analyst, 09/2005 to 06/2009

Société Generale Private Banking - New York Metro Area Due Diligence analyst for all funds in Absolute Return portfolio and assisted with entire banking relationships in the hedge fund space.

• Strategies included all forms of equity and credit strategies as well as global macro, CTA, commodity, relative value, and capital structure arbitrage strategies.

• Performed quantitative analysis on investments and portfolios throughout bank.

• Responsible for all internal and external reporting on SAR portfolio as well as the economic climate affecting investments.

• Provided client service to high-net-worth clients and private bankers on all funds under my purview.

• Active involvement in the operational/administrative duties including fund redemption and subscription orders, client transfers, foreign exchange hedging, and leverage financing process.

EDUCATION

Bachelor of Science, Finance with Economics Minor

Indiana University Kelley School of Business -Bloomington, IN

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