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Sr AML Investigator

Toronto, ON, Canada
April 28, 2020

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James Fu



• 4+ years of operational analytics experience with a proven ability to motivate and drive growth across the risk lifecycle. Passionate leader that values continuous improvement, creative thinking, and making a difference.

• Level II candidate in the CFA program, successful completion of the CSC

• Technology suite includes Python, VBA, source banking databases (Interac & VISA analytics, COINS, etc.) WORK EXPERIENCE

Canadian Imperial Bank of Commerce (CIBC)

Anti-Money Laundering Investigator, High Risk/Enhanced Due Diligence April 2019 – Present

• Led investigations on high-risk clients, businesses, and Politically Exposed Persons (PEPs) to assess potential ML/TF risks and file Suspicious Transaction Reports (STRs) accordingly

• Process optimization and efficiency techniques (data visualization, automation, and templates) that contributed to top band production figures (120%+ quantity, 97%+ quality)

• Strong risk-based principles with hands on experience in niche sectors such as MSB, cannabis, and capital markets

• Sound understanding of FINTRAC’s Guidelines, PCMLTFA, and OSFI’s Guideline B-8 reporting requirements Business Analyst, Divestitures November 2017 – March 2019

• Responsible for the strategic divestiture process to mitigate operational risks against the bank; leveraging key internal stakeholders as the department point of contact to ensure a smooth transition during exit cycle

• Specialized in working on high risk cases with the Anti-Money Laundering team; Acted as a facilitator for policy interpretations and point of escalation for lower-risk divestitures

• Built roadmap to optimize templates (e.g. automation of manual processes), leading to a 10% increase in time efficiency; Led digitization initiative of non-critical case documents, reducing paper waste by 20% and improving records retention

Analyst, Credit Card Fraud December 2016 – November 2017

• Proactively identified issues, trends, and opportunities; recommended implementation of strategies to balance credit fraud risk, operational expense and customer experience

• Led monthly productivity meetings to streamline the chargeback process and reduce file turnaround time by 15%, clearing a backlog of 25,000 files within 4 months

• Ensured operational efficiencies and the capability to execute against the fraud risk plan by guiding, coaching and mentoring peers; personally trained 4 analysts as their onboarding facilitator Junior Consultant, Ethnic Marketing September 2015 – April 2016 Altus Strategy Group Toronto, Ontario

• Performed in depth analysis on sales and trend data to determine optimal target demographics; resulting in more specialized campaigns, allowing for a streamlined focus that produced the highest ROI for clients

• Developed and successfully pitched a prioritization algorithm to manage high value clients, leading to a 25% increase in workload efficiency and effectiveness


York University, School of Continued Studies – Certificate in Big Data Analytics Expected October 2020 York University, Bachelor of Arts - Specialization in Financial Economics August 2015 VOLUNTEER EXPERIENCE

Mentor October 2017 – March 2019

Toronto Region Immigrant Employment Council (TRIEC) Toronto, Ontario

• Partnered with new-immigrant professionals in occupation specific mentoring relationships

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