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Manager Customer Service

Staten Island, NY
February 23, 2020

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Roy R. Booth

Staten Island, NY 917-***-****

Senior Compliance Analyst / OFAC Regulatory Filtering Supervisor

Approachable and Natural Leader Drive Efficiency and Effectiveness

Excel in Dynamic and Fast-Paced Environment

Versatile and results-oriented with expertise in leading teams to handle extremely high caseloads, manage filtering process, and meet tight Wire Deadlines. Utilize extensive knowledge of OFAC, Bank of England, EU, BSA, Financial Crime Network, other sanctions, and financial laws to work cross-functionally and collaborate to ensure compliance and accurate data management. Tackle and solve complex problems, seamlessly manage multiple projects, and quickly adapt to changes in priorities.

Self-taught and continual learner recognized for exceptional memory and ability to apply new learnings to wide variety of situations. Merge hands-on leadership with excellent execution, communication, and organizational skills to continually motivate and focus teams toward efficiency, effectiveness, and goal attainment. Quickly establish self as coach, mentor, and advisor by fostering environment of trust, inclusiveness, and accountability.

Areas of Expertise

Relationship Management Cross-Functional Team Collaboration Crisis Resolution

Process Improvement Drive Efficiency and Continuous Improvement Compliance Legal

Professional Experience


Assistant Manager OCT 2019

Managed new Jacksonville, FL team and trained on laws, regulations, and OFAC filtering process. Tracked US Treasury OFAC Standard Designated Nationals (SDN) and various other watch lists. Reviewed Swift Wires, Messaging Coding’s and different types of MT Swift Messages MT 100 thru MT 999.

Reviewed Executive Orders (EO), explaining relevant information to team and collaborating with compliance officers when needed concerning Incoming and Outgoing Money Transfer Wires

Researched marine vessels and different applications, utilizing in investigations and Wire Transactions

Tracked Financial Crimes Enforcement Network (FINCEN) Sections 311, explaining financial institutions of primary money laundering concerns.

Assistant Manager / Senior Compliance Analyst 2009 - 2019

Managed direct team of 14 and collaborated with global teams in Germany, India, and US. Cross trained fellow colleagues to enhance knowledge and increase productivity. Supervised work, backed up team manager, controlled workflow, and provided resolution to crisis situations. Directed support to resolve operational and regulatory filtering issues that arise within wire payment investigations. Maintained working knowledge of laws and regulations and kept abreast of OFAC / compliance updates. .

Roy R. Booth Page Two


Liaised with various departments including AFC, Fraud Network, Investigations, escalating operational, regulatory, and sanctions concerns and ensuring proper resolution.

Monitor workflow and systems, ensuring wire transactions were processed in timely manner and all deadlines were met.

Served as subject matter expert on OFAC sanctions and cross-train colleagues with OFAC updates, increasing team’s knowledge and driving adherence to regulations of out and incoming wires.

Assisted with process improvement initiatives, increasing efficiency of workflow and minimizing errors.

Completed daily compliance reports including blocked reports, providing necessary information to compliance officer and ensuring SARS reports were filed within 10 days to US Treasury OFAC Department.

Rejected weekly reports dealing with internal and external lists and submitted to compliance department for money transfer and OFAC section reports that included wire transactions swift instructions, detailing hit involved and specific program.

Prepared monthly quality review presentations which consisted of filtering figures for monthly volume of wire transactions, each global area processed in New York and India, number of additional names added, and compared to previous month, updating algorithms and artificial intelligence in filtering system and reducing hit-rate volume.

Demonstrated Customer Inquiry System OFAC filtering systems to upper management, ensuring team was up-to-date on changes and utilizing correct information that had been added to filtering system including names, countries, and new sanctions regulations that had been added to filtering system.

Conducted weekly quality assurance analysis of 100+ domestic and international wires and Swift messages, mitigating risk and preventing money laundering / fraud.

Identified and escalated transactions of suspicious fraudulent activity, referring to compliance officer and assisting in mitigating risk.

Utilized subject matter expertise and ability to retain information to review data before uploading, increasing efficiency and consistently exceeding productivity threshold of 2K – 3K transactions daily.

Liaised with domestic and global business units, resolving issues and ensuring completeness and accuracy of payments.

Additional Professional Experience

DEUTSCHE BANK (Continued), OFAC Analyst

Bankers Trust Company, New York NY International Customer Service / Processing Supervisor over the Canadian, New York Agencies and the Latin America Markets Cleared all Investigations and Processing concerning International Money Transfers, Swift, ACH, Checks and Clearing any Compliance, KYC and Legal Department concerns.

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