Compliance Specialist Aml

Ron E. Woody

Larkspur, Colorado *********@*****.*** Mobile: 386-***-****

Highly skilled, experienced investigator seeking a position where my knowledge in regulatory compliance and risk management will be utilized

PROFILE

Highly motivated self-starter with decades of federal investigative and regulatory experience in the fields of financial crimes (OFAC, AML, USA Patriot Act); terrorism financing; fraud, corruption, import compliance; infrastructure security; thefts; export control; and Internet crimes

OFAC, AML, BSA subject matter expert

Possess a high level of multi-tasking, organization, and analytical skills

Demonstrated the ability to make critical decisions in high-pressure scenarios

Analytical skills/detail oriented

Team builder

Certified Fraud Examiner (Retired Status)

PROFESSIONAL EXPERIENCE

Charles Schwab (Contractor 2 years)

EDD Analyst/AML investigator

Conducted EDD/KYC research using Schwab systems, third party systems (LexisNexis, court filings, D & B, Actimize, etc.), open-source media, and negative news reports

Conducted OFAC reviews and reviews of politically exposed persons

Researched client background, sources of wealth, determined beneficial owners of assets

Reviewed suspicious activity alerts and made independent decisions relating to courses of actions and areas of investigation

Analyzed facts and evidence, formulated conclusions from fact patterns uncovered

Conducted oral briefings with management officials and documented investigative findings

Conducted High Risk Account (HRA) reviews

Analyzed client background information to determine if there was an AML or reputational risk to Charles Schwab

Conducted briefings for management officials

Department of Homeland Security (Homeland Security Investigations)

Supervisory Special Agent – Fraud Investigations (4 years)

Managed 10 direct reporting employees involved in international and domestic investigations relating to fraud, BSA/AML crimes, and various regulatory compliance programs

Reviewed (approved/disapproved/edited) thousands of subordinate reports for quality and accuracy

Coordinated investigations with multiple federal agencies, built successful teams

Conducted internal compliance and efficiency reviews

Coached, mentored, and evaluated team members

Department of Homeland Security

Department of the Treasury

Senior Special Agent, Homeland Security and U.S. Customs Service (20+ years)

Planned and conducted international and domestic criminal investigations relative to financial crimes (AML, BSA, USA Patriot Act and OFAC), terrorism financing, personnel background, fraud, arms trafficking, and Internet crimes

Thoroughly researched and investigated the backgrounds of criminal suspects (individuals and business entities)

Program manager for several government compliance programs

Developed human intelligence sources who provided direct information on the background and activities of subjects of inquiry

Prepared thousands of written reports of investigation/memos

Compiled, analyzed, and cataloged data from various sources including: government systems, transaction monitoring, open-source media, intelligence analysts, confidential informants, covert methods, physical surveillance, and other methods

Performance Results: Made hundreds of arrests, indictments, and convictions in complex investigations. Seized and forfeited millions of dollars in illegal proceeds and assets related to AML, OFAC, BSA, USA Patriot Act, and terrorism investigations. Highlights includes being the project manager and co-case agent on the first U.S. Government undercover infiltration of the Swiss Banking System, multiple convictions were obtained on AML and BSA charges. Agency performance awards each year and three Outstanding Performance awards from the Department of Justice.

Department of the Treasury

Regulatory Auditor, U.S. Customs Service (5 years)

Performed regulatory compliance audits in accordance with Generally Accepted Accounting Principles

Audited dozens of major corporations to ensure compliance with numerous government programs

Performance Results: Recovered in excess of 50 million dollars in unpaid duties, the assessment of millions of dollars in liquidated damages, and the referral of numerous entities for criminal investigation.

Education and Training

Bachelor of Arts in Accounting – University of South Florida – Tampa, FL

Federal Law Enforcement Training Academy - Brunswick, GA

Certified Fraud Examiner – (retired status)

References

Available upon request

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