NICK BAXI Chicago, IL

Compliance & AML Consultant E: ada6il@r.postjobfree.com

Finance & Regulatory Paralegal P: 847-***-****

PROFESSIONAL SUMMARY:

Certified AML and Compliance professional with over seven years of global experience, focused in the areas of Compliance, AML Analytics, KYC and Risk Assessment, Transaction Monitoring, Case Management, Reporting and Administration, Remittance Monitoring. Licensed foreign trained attorney and ABA certified paralegal with extensive corporate, regulatory and transactional expertise.

EXPERIENCE:

Anti-Money Laundering Senior Investigator November 2017-present

HSBC Bank USA Arlington Heights, IL

Monitored domestic and correspondent wire activity for suspicious transactions relating to Money Laundering, Terrorist Financing and other financial crime risk.

Provided compliance assistance to all departments of the Bank and suggested KYC remediation as needed.

Providing constructive feedback to AML analysts and Investigators for alert analysis process.

Performed detailed research on suspicious activity and drafted Suspicious Activity Reports (SAR) when deemed necessary.

AML EDD Analyst January 2016-November 2017

BMO Harris Financial Group Chicago, IL

Efficiently Monitored Currency Transaction Control Logs

Completed CTR Review and obtained complete information to accurately report CTRs

Identification of reportable and non-reportable currency transactions

Filed CTRS, unusual and suspicious activities reports

Conducted periodic internal account/customer reviews to identify potentially unusual activity

Conducted quality control reviews of team’s work

Consultant Compliance & AML Analyst June 2013-December 2015

Ge Capital, J. P. Morgan Chase, Capital One Chicago, IL

Use transactional and customer records, external data, publicly- available information, and other information to identify suspicious or unusual activity.

Review watch lists for various AML alerts including PEP, OFAC, SANCTIONS and Actimized to perform due diligence checks on prospective customers and related parties.

Conduct enhanced due diligence research of individuals, institutions and trust through LexisNexis and other internal tools

Worked on various projects for KYC Remediation, Global Client Onboarding and Transaction Look -Back projects.

Assisted in UCC and Regulatory filings

Monitoring compliance within state and federal laws and regulations including the Bank Secrecy Act, USA Patriot Act, Anti money laundering Laws and OFAC.

Licensed Finance Attorney

LICENSES/CERTIFICATIONS:

ACAMS

CAMS Certification 2018

Certificate in Virtual Currency and Blockchain 2019

EDUCATION:

Post Baccalaureate Certificate in Paralegal Studies 2008

Loyola University of Chicago Chicago, IL

Master in Commercial Law (Top Honors)

The Maharaja Sayajirao University India

Major: Finance and Taxation Law, Contracts, Corporations and International Business Law

Bachelor’s Degree in Law; graduated Dean’s List

PROFESSIONAL MEMBERSHIPS:

ACAMS

Chicago Chapter ACAMS

Illinois Paralegal Association

Admitted to the Gujarat State Bar, India

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