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Information Security Financial Analyst

Location:
Naperville, IL
Posted:
October 07, 2019

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Resume:

Jaime Mayo I. Ordonez Page Two

PROFESSIONAL EXPERIENCE (Continued)

Compliance Security Analyst Aug. 2018 thru June, 2019

Discovery Health Partners, Itasca, IL

Manage security controls as they relate to HITRUST & SOC2. Perform periodic compliance reviews as required for third party audits such as HITRUST and SOC2. Assist in building and deploying new information security projects. Respond to client requests for questions about the Information Security Program. Communicated compliance/audit findings and recommendations to the Director in Charge. Using Correction Action Preventive Action (CAPA) process which investigates & solve problems, identifies causes, takes corrective action & prevents recurrence of the root causes.

Compliance Audit May thru Aug. 2018

Robert Half International assigned to: various location of Nobel Learning Communities & Projects

Achieved school multi-projects audit reviews of documentations, enrollment, attendance, payroll time sheets, payroll inactivity report, missing pay records report, payroll data summaries, unbilled tuition, tuition credits, lock box, cash, checks, money orders, last deposit slips, P-Card transactions, review school deposits, etc.

Risk Analyst August thru Nov. 2017

HSBC, Arlington Heights, IL

Supports the Head of Risk BRCM (Business Risk & Control Management) in the execution of an effective operational risk and regulatory compliance risk management program with primary responsibilities of assisting in oversight of the control environment, supporting the BRCM monitoring plan, and contributing to the control effectiveness testing program. Performed Regulatory Compliance & Audit reviews.

Visibly cooperates and collaborates with Control Owner communities across Regulatory Compliance to ensure the right range of risks are covered off within the Compliance Detailed Self-Assessment (CDSA) program.

1st Line of Defense of risk assessment to safeguard of risks, liability, damaged control, recognized threat, reduce the impact of these risk to business operations of the Bank are protected

AML Watchlist Screening Investigator - (Individual/Business) July, 2016 thru Jan. 2017

U.S Bank, Chicago, IL

Responsible for fulfilling the AML Bank Secrecy Act (BSA) and Office of Foreign Assets Control (OFAC) requirements through enhanced evaluation and investigation of relationship on US Bank of both new and existing account (Individual/Business).

KYC Onboarding global compliance review. Responsible includes performing investigations and enhanced due diligence (EDD) on results from Sanctions/PEP/Negative News watch list screening of customer accounts according to US Bank policy and procedures.

Perform enhanced due diligence (EDD) on a client’s high-risk global customers to ensure account profiles are current, whether risk profiles should be adjusted or suspicious activity reported when the activity is inconsistent with the customer profile.

Part of the team initiating AML/KYC, background checks and remediation for new and existing customers

Anti-Money Laundering (AML) Investigator Analyst – Global Sanctions February thru April, 2016

BMO Harris Bank, Chicago, IL

Responsible for analyzing information across multiple Lines of Business and Bank legal entities to mitigate and manage risk exposure pertaining to OFAC. Perform watch list screening for name matching, utilizing and understanding of Bank AML & OFAC regulatory policies & procedures.

Working within the framework of established processes, identifies individual and/or business global customers which pose a risk for money laundering & terrorist financing.

AML Investigator – Global Sanctions (Individual/Business) Dec, 2014 thru July. 2015

Capital One Bank, Rolling Meadows, IL

Achieved to a manageable level analyzed & investigate on various global customers that have been alerted for Politically Exposed Person (PEP); Special Interest Person (SIP); Relatives & Close Associates (RCA). Monitor AML sanction & PEP regulations & the increase further the penalties on businesses for non-compliance.

KYC Onboarding and remediation global compliance review

Mortgage Loan Officer/Document Specialist Apr. thru Dec. 2014

JPMorgan Chase & Co., Westmont, IL

Accomplished requiring redocumentation for high end customers loan renewal to be in compliance with regulatory & enterprise updates. Reviews closed loans for compliance with state laws & federal regulations, policies and procedures. Review multistate documents and resolve any problems.

Mortgage Servicing Compliance Audit Oct. thru Nov. 2013

AccountAbilities Professional Group, Irvine, CA - (Assigned to: Dovenmuehle Mortgage, Inc. Lake Zurich, IL)

Accomplished Mortgage Loan Servicing compliance audit risk assessment for Collections; Foreclosure; OREO, FDCPA; RESPA; Home Mortgage Disclosure Act (HMDA); Flood Disaster Protection Act (FDPA); Equal Credit Opportunity Act (Reg.-B); Truth in Lending Act (Reg.-Z); FHA; HOPA; Servicemembers Civil Relief Act (SCRA) & Homeownership Counseling Act.

Evaluates the level of risk and determines the interest rate and credit limit or loan terms of the borrower

Consultant – Compliance Audit Aug. thru Aug. 2013

Allonhill, LLC, Denver. CO.

Achieved contract job assignment reviewing foreclosure loan files

Jaime Mayo I. Ordonez Page Three

PROFESSIONAL EXPERIENCE (Continued)

Financial Analyst Loan Level II Mar. thru July 2013

Resource Accounting – (Assigned to: Bank of America, Chicago, IL)

Completed monthly loan activity reconciliation reports achieving department goals

Resolved all loan level variances/discrepancies thru research and coordination with external & internal business partners

Compliance Audit Sept. 2011 thru Jan. 2013

PNC Bank, Dayton, OH

Foreclosure review (monitored, oversight and direction of the OCC (Office of the Comptroller of the Currency) handled in accordance with HAMP, RESPA or other loss mitigation program). Performed Regulatory Compliance & Audit reviews.

Detected during the foreclosure assessment that customers suffered financial injury during the foreclosure process or activities.

Auditor/Consultant/RAC Contractor Jan. thru April. 2011

RSM McGladrey/Corvus Group, Chicago, IL – (Assigned to: 1st Nat’l Bank of Arizona, Scottsdale, AZ (July thru Aug. 2008); Main Street Bank, Northville, MI (Aug. Thru Nov. 2008); Baxter Credit Union, Vernon Hills, IL)

Exposed discrepancies and deficiencies of loan files on Real Estate Originations audit (Mortgage, Real Estate Investment, HMDA, RESPA, HELOC, Stocks/Shares, Automobiles and Unsecured loans)

Performed Regulatory Compliance & Audit reviews.

Resolved exception issues by researching & creating loan history 10-30-60-90 day’s loans, indexing documents from scanned files for upload to intralink prior to note sale & other special projects. (Due diligence team assisting Underwriter.)

Managed in various Asset Management projects such as foreclosure, ORE, bankruptcies, (Commercial/Mortgage loan review note & mortgage), due diligence, environmental documentation, assess environmental risk & costs of remediation, encumbrances, appraisal, financial statements, Participation loan, SBA, Commercial & Residential), Case Management, payment voucher (accounts payable & accounts receivable), participate in preparing Business Plan, collateral releases, cross collateralization, creating various procedures; furniture fixtures & equipment; and involved with other special projects. FDIC closing, working both on Proforma and Asset Mgmt.

Asset Servicing Professional 2008 thru 2010

C.D Mitchell & Co., Irving, TX – (Assigned to: Franklin Bank, Houston, TX); and (Superior Bank, Oneonta Branch, AL)

Facilitate a smooth training, processing and execution of cases to allow for all actions as required by FDIC

Prepared easy access for all Department Daily Activities and Monthly Reports for Management and FDIC Officers

Asset Management-case writing of loans. Analyze & making study of loans that were declined by lenders, cancelled by clients and other loans that were not closed for reconsideration so loans can be approved if conditions are met.

Jaime Mayo I. Ordonez

Cell: 630-***-****

email: adajbo@r.postjobfree.com

Career Summary

Jaime is a motivated result driven professional with seven years plus of experience in compliance, auditing, AML, mortgage and banking. Possess strong analytical skills demonstration by identifying, improving, negotiating and streamlining complex work process and procedures. Strong knowledge in foreclosure, documentations, data management, due diligence, problem solving, compliance and auditing.

Work Experience

Professional Summary.

Manage security controls as they relate to HITRUST and SOC2. Perform periodic compliance reviews as required for third party audits such as HITRUST and SOC2

7+ years experiences in the auditing, banking, financial analysis and compliance professional

Communicated compliance/audit findings and recommendations to the Director in Charge. Using Correction Action Preventive Action (CAPA) process which investigates & solve problems, identifies causes, takes corrective action & prevents recurrence of the root causes.

Performed Regulatory Compliance & Audit reviews.

Mortgage Loan servicing compliance audit risk assessment for RESPA, HMDA, Reg. B, OREO, FHA, Reg. Z, FDPA, SCRA

Managed in various Asset Management such as foreclosure, ORE, bankruptcies, due diligence, appraisal, case management reporting

Providing analysis of compliance risks & proposing solutions

Developed and initiated numerous reports that have proven to be highly effective in aiding analyst in achieving department goals

Gather and analyze financial data, such as the purpose of a loan, payment history, liabilities, wage earnings, assets and other information for warning signs that might present financial risks

Analyzing, researching & solving problems all outstanding issues to ensure that solution have been reached

Gathered, compiled, research & manipulated data to prepare a variety of management reporting

Part of the team initiating AML/KYC, background checks and remediation for new and existing customers

Performed Enhanced Due Diligence (EDD) on high end risk global client’s (Individual and/or Business)

Major Accomplishments

Capital One Bank

Achieved to a manageable level analyzed & investigate on various customers that have been alerted for Politically Exposed Person (PEP); Special Interest Person (SIP); Relatives & Close Associates (RCA).

Baxter Credit Union

Exposed discrepancies and deficiencies of loan files

PNC Bank

Detected during the foreclosure assessment that customers suffered financial injury during the foreclosure process or activities (conduct of the review are subject to the monitoring, oversight and direction of the OCC (Office of Comptroller of the Currency))

U.S Dept. of HUD DFW Office, DFX, TX

Determined during the due diligence process as Underwriter & review for 202/811 HUD Multi Family servicing & legal files of various UCC filings are expired and out dated.

First National Bank of Arizona, Scottsdale, AZ

Found lost painting, furniture’s & fixtures during the FDIC closing foreclosed bank

Compliance/Audit/AML

Areas of Practice

Risk Assessment

Data Management

Due Diligence

Audit

Bank Fraud

Documentation

Research, Investigation

Industry Specialization

Banking’

HealthCare

Mortgage

HUD, OCC & FDIC

Computer Applications

Excel

Access

LexisNexis, DowJones

Credit Browser, Citrix,

TPSS, Clear, SBS

MSP/Director/3270

Prime Alliance, Symitar

SBO 2000, OCIE

Process Management

GenZRC

SOHO

Past Project Companies/Employers

Capital One

PNC

FDIC, HUD, OCC

Dovenmuehle Mortgage

Baxter Credit Union

Education/Qualifications

Bachelors of Commerce – Business Administration

University of Santo Tomas

Bank Internal Audit

HIPPA Training Program

AML/BSA Training Program

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Contact this candidate