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Customer Officer

Location:
North Brunswick, NJ
Posted:
March 18, 2020

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Resume:

Delores(Lola) McBride

*** **** **

North Brunswick, N.J.

631-***-****

Summary:

** ***** **** ********** ******* Matter Expert (SME) in AML/KYC, performing and reviewing AML/KYC activities.

Compliance: Excellent regulatory and Compliance knowledge regarding KYC, AML, Sanctions and OFAC USA Patriot Act 2001 Section 326 and 313 for Customer Identification Program (CIP), Bank Secrecy Act (BSA) Anti Money Laundering (AML) & Suspicious Activity Report (SAR).

Ensure data is consistent with Know Your Customer (KYC) and Bank Secrecy Act Polices

Responsible for reviewing and ensuring all required KYC regulatory requirements for clients have been met.

KYC documentation verification, account opening and remediation.

Performed Enhanced Due Diligence while examining KYC documents to assure accordance of Anti Money Laundering (AML) procedures under the USA Patriot Act of 2001.

Investigations: In-depth analytical experience, performed investigations related to Compliance Suspicious Activity, Funds Transfer Wire, Client on boarding, Investment Banks, Foreign Currency Trade Support Administrative and Operations.

Proficient in systems ACTIMIZE (MANTAS), GSM, Fircosoft, Microsoft Suite Products.

Education:

Long Island University – Undergraduate Courses.

Work Experience:

JPMorgan Chase Bank N.A. Jan 2014 – Jun 2019

Associate Compliance Officer

Anti-Money Laundering (AML)

Global Financial Crimes Compliance (GFCC)

Conduct periodic internal account/customer reviews from alerts received manually as well as generated via ACTIMIZE./MANTAS.

Complete analysis of transactional information to identify risks, trends and potential suspicious activity.

Completely and accurately document steps taken through the investigation process.

Check individuals and entities against OFAC Sanctions and Specially Designated National (SDN) Watch List

Escalate cases to Law Enforcement.

Effectively obtain information and assistance from appropriate law enforcement agencies, peer, banks and other external groups or AML issues and cases.

Prepare and ensure Suspicious Activity Reports (SARs) are filed with Financial Crimes Enforcement Network (FINCEN) in a timely manner

Function as a key contributor with demonstrated knowledge of all AML/KYC issues with established regulatory guidelines with time frame

Associate Compliance Officer

Sanctions

Blocking and Licensing Unit (BALU)

• Works independently at assigned weekly/daily tasks with time constraints.

• Completion of processes around regulatory driven sanction list or internally developed watch list searches of transactions and account holders looking for designated high-risk clients and sanctioned transactions

• Working with internal Lines (LOBs) and OFAC for all functions related to the restriction, blocking and unblocking of account/property, working directly with OFAC to create profiles in Fircosoft, with regards to blocked accounts.

• Review blocked and rejected transactions from the various Compliance regions, request and obtain applicable indemnities, consult with management and assist in the preparation of the weekly and annual blocked property reports sent to OFAC, created using Microsoft Suite

• Proved written and verbal communication on issues with management, the lines of business and Compliance units

.

Compliance Projects:

Various Agencies Jan.2009 – Dec 2013

Short term and Long Term projects including look backs and Know Your Customer (KYC).

Anti-Money Laundering (AML) projects

Senior KYC Analyst/ Quality and Assurance (Q & A)

Ensure data is consistent with Know Your Customer (KYC) and Bank Secrecy Act Polices

Responsible for reviewing and ensuring all required KYC regulatory requirements for clients have been met.

Accurately verify and enter documentation information via Ernst Young Tool (EYT).

Natexis Capital Markets Dec 2007 – Dec 2008

Associate/Paying and Receiving Group

Supervised a staff of five

Payment Investigations/Foreign Currency/Position Desk/Dormant Accounts/USD Clearing

Habib American Bank Mar 2005 – Dec 2007

Senior KYC Analyst

Opened and created profiles of all newly opened accounts in GIFTS Web Enhanced Due Diligence (EDD) system in compliance with USA Patriot Act, Section 326 and 313 for Customer Identification Program (CIP)

KYC documentation verification, account opening and remediation.

Performed Enhanced Due Diligence while examining KYC documents to assure accordance of Anti Money Laundering (AML) procedures under the USA Patriot Act of 2001.

Bank of America Sept 2002 – Feb 2005

Officer/Money Transfer Operations

Supervised a staff of eight

Same day Investigation / Correspondent Banking /International Money Transfer/ Paying and Receiving (P&R) group / International Funds Transfers/Office of Foreign Asset (OFAC).

References presented upon Request



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