Financial Crimes Anti-Money Laundering
Resume:
Casey Thompson
**** ******* **. ****** ****, SC *9707
************@*****.***
SKILLS/EXPERIENCE
Compliance/Risk professional that attains a passionate commitment through strong management skills of a risk-based financial crimes program in a small to mid-size business including mentoring, training peers, and building effective teams.
Excel in managing the implementation of procedures and controls to ensure proper identification and investigation to support business goals and be in compliance with government regulations.
Extensive experience using FCP, SVP, Hogan, OIB, and Newton.
Knowledge of the Bank Secrecy Act (BSA), OFAC (Office of Foreign Assets Control), AML (Anti-Money Laundering), CFT (Counter Financing of Terrorism), and Fraud related financial crimes.
Knowledge with working with various lines of businesses, help manage the use of internal and external data, and excel in resolving escalated issues.
Experience in leading investigations of financial crimes transactions, risk management/compliance, and leadership.
People management skills, motivational skills, and help build successful and effective teams.
Plan and manage a wide range of controls (detection/prevention) to assist business in meetings goals.
Computer skills, which include MS Word, Excel, Outlook and PowerPoint.
Experience analyzing 314 (b) request and legal order processing documents such as grand jury subpoenas, national security letters, and 314 (a) requests.
Proficiency in Wells Fargo research systems including: FCP, SVP, OIB, Newton, Hogan, DIPR, and Actimize.
EMPLOYMENT HISTORY
Wells Fargo
Financial Crimes Associate Manager 09/17-Present
Manage day-to-day operational activity of 10 to 12 Financial Crime Consultants.
Prepare MBOs for team members.
Review and approve all investigative reports including Suspicious Activity Reports.
Escalate sensitive cases both in writing and orally to upper management.
Respond to QR feedback and guidance in writing and orally.
Coach team members and develop performance plans when necessary.
Train new Financial Crimes Consultants and identify training issues.
Review and contribute to AMLI Best Practice manual.
Conduct interviews and hire new Financial Crimes Consultants.
Review all investigative reports to ensure accuracy, completeness and timeliness.
Coordinate with law enforcement.
Planned all aspects of first AML summit in North Carolina including agenda items and addressed logistical concerns.
Wells Fargo
Acting Group Manager (FCM3) 06/17- 07/17
Managed day-to-day activity of three Team Managers and 27 subordinate reports.
Ensure compliance with existing policies and guidance.
Conducted weekly meetings with Team Managers and Senior Investigators.
Responsible for all HR issues.
Prepare monthly AML Business letter submissions.
Liaison to Law Enforcement inquires.
Prepare and approve recommendations to exit relationships (RECRs).
Respond to OCC inquiries.
Wells Fargo
Financial Crimes Manager (FCM2) 09/14 - 06/17
Manage day-to-day operational activity of 10 to 12 Financial Crime Consultants.
Prepare MBOs for team members.
Review and approve all investigative reports including Suspicious Activity Reports.
Escalate sensitive cases both in writing and orally to upper management.
Respond to QR feedback and guidance in writing and orally.
Coach team members and develop performance plans when necessary.
Train new Financial Crimes Consultants and identify training issues.
Review and contribute to AMLI Best Practice manual.
Conduct interviews and hire new Financial Crimes Consultants.
Review all investigative reports to ensure accuracy, completeness and timeliness.
Coordinate with law enforcement.
Planned all aspects of first AML summit in North Carolina including agenda items and addressed logistical concerns.
Stout Brewing Company, LLC
Controller/Manager 03/13- 09/14
Manage and control all production, inventory, and warehouse.
Responsible for all accounts payable, receivable, and ordering.
Responsible for supporting key HR initiatives for the company and handling a variety of employee relation activities.
Responsible for consolidated financial reporting, assistance with regulatory reporting, inventory management, production reporting, process improvement, and other general accounting responsibilities.
Manage a staff of accounting assistants as well as management of numerous production employees.
Implemented the ERP and accounting processes.
Provide support on staffing and recruiting at all organizational levels of the business.
Work directly with CEO and CFO to ensure accurate financial data, regulatory reporting, production reporting and assist in all HR policies and procedures.
Wachovia/Wells Fargo
AML Investigator 02/09 – 03/13
Conducted highly complex financial investigations on multiple related entities involving both individuals and corporations. Reviewed transactional activity, open source research, and internal databases to identify potential violations of the Bank Secrecy Act (BSA). This included such cases as counter-terrorist financing, Ponzi schemes, narcotics trafficking and Southwest Boarder activity.
Pursued Law Enforcement leads, Grand Jury Subpoenas, Seizure Warrants and other government judicial process to identify and detect suspicious activity.
Collaborated with various LOBs to obtain and exchanged information to mitigate risk across the bank. Filed Suspicious Activity Report (SARs) when necessary.
Ensure timelines are met and in compliance with government regulations for reporting suspicious activity per AMLI policy.
Made recommendations to upper management to exit customer relationships wherein the bank was exposed to legal, reputational or regulatory risk.
Collateral duties included on-the-job training of newly hired Investigators.
CitiFinancial Auto 11/06 – 04/08
Credit Analyst
Made referrals to Fraud in regards to suspicious activity and/or potential OFAC matches.
Maintained and established relationships and collaborate with all levels of management and responsible for managing South Carolina and Virginia territories
Personally developed and sustained customer relationships within assigned territory with a client dealer base of 60-75 dealerships.
Performed credit checks and risk assessments to ensure identities of potential customers were accurate and that their credit history was sufficient.
Utilized negotiation and mediation skills on a daily basis in maintaining client relationships.
Communicated with internal underwriting and loan processing departments to ensure proper business compliance and documentation was observed.
Trained new Analyst on all facets of the position.
Successfully completed the following training requirements as required by Citigroup: Credit Analyst I and II, Successful Selling Techniques, Negotiation Training, Financial Analysis Reporting, Customer Service Excellence, Business Development Skills, in addition to various other business compliance courses.
CitiFinancial Auto 6/03 – 11/06
Loan Processor
Maintained and established a positive business working relationship with dealers and sales force.
Inputted proper loan information into system for booking, review loan contracts for proper documentation, buying authority, and compliance.
Communicated with Credit Analyst, sales force and dealers for correct documentation.
Ensured that the Buying Center obtains goals while Customer Service remains in high standards.
CitiFinancial Auto 10/02 – 5/03
Credit Investigator
Assisted loan processing, underwriting and credit analysis departments in providing the required and proper investigation prior to loan approval and funding.
Made referrals to Fraud in regards to suspicious activity and/or potential OFAC matches.
Ensured proper loan information was obtained prior to loan approval.
Communicated with Credit Analyst, sales force and dealers for correct documentation.
Excelled in customer service and maintaining customer relationships.
Personally responsible for completing loan packages and complete final checklist prior to sending documentation to corporate.
EDUCATION
Carolina School of Broadcasting Charlotte, North Carolina
Received associates degree for Broadcasting and Communications-2001
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