Gabriel Iezzoni

addigf@r.postjobfree.com – 631-***-****

** *. **** ****** **., Dix Hills, NY, 11746

AML ANALYST

PROFESSIONAL SUMMARY

Documented and reported case review’s / investigation findings; determined if any client issues required further remediation or if client actives required restriction or other actions.

Conducted research over available systems, the Internet and Databases such as File Ziller, Excel, Tinzip, Lexis Nexis, World Check consistent with the resolution of investigations.

Work in conjunction with data consumers and Domain stakeholders to support data quality rules, standards, and thresholds to ensure appropriate data quality-monitoring practices are in place.

Actively tracking regulatory changes and anticipating the impact these will have on the Business.

Over twenty years Financial industry experience. Under-graduate degree in Finance.

Knowledge of AML/ATF legislation regulatory requirements related projects.

Created Suspicious Activity Reports (SARs); and recommended relationship retention or termination; and tracked account closures as required.

Built a customer-focused culture to deepen client relationships and leverage a broader range of relationships using improve methods and systems.

Knowledge of AML/ATF legislation regulatory requirements and related projects.

Knowledge of requirements gathering, design methodology, and building test cases - detail oriented, analytical, and capable of investigating complex issues.

Able to troubleshoot data related issues and support in the authorization in maintenance and modifications.

Good communication / presentation skills (both oral and written).

Excellent team player in coordinating with co-workers and cross-departmental business & IT stakeholders.

Responsible for executing the day-to-day systems, activities, including correcting data quality issues and processes.

Responsible for establishing and maintaining strong data management records and systems.

Developing and maintaining accurate data lineage and procedures for critical data files and systems.

Documentation of end-to-end processes, including securing all Key Controls

Establishment of Service Level agreements with appropriate third parties.

Establishment of Data quality measurements and reporting

Establishment Issue management processes, policies and procedures

EDUCATION

BBA Degree, Finance, Pace University, NY, NY ACAMS Certified. FINRA SERIES 4, 7, 24, 63, 87, 99.

PROFESSIONAL EXPERIENCE

Inter-source Everest Consulting, LLC, Dix Hills NY Nov 2018 to Till Date

AML Analyst/Compliance Consulting (Contract)

Developed and updated procedure’s worked on various projects outlining guidelines for supervision and AML governance. Investigated Fraud, Filed SARS and liaison between Gov’t agencies and business units.

Reviewed AML polices with updates, conducted AML Audits and made recommendations to enhance compliance thereof. Investigated, complaints, arbitrations, private placement due diligence and AML compliance therewith, account forms, training, reporting and mock audits. Conducted AML audits and investigations regarding issues and provided reports to management and the Board of Directors.

Richard James and Associates, NY, NY Feb. 2016 - Oct. 2018

AML Representative /CEO / Operation &Compliance Officer

Hands on compliance and operations, review content for firm risk and exposure. Determined if client was a risk or if any restrictions were required.

Revised compliance manuals, liaison to FINRA and the SEC regarding inquires, audits and investigations and test of current policies and systems.

Supervised a staff of twelve including supervisors and brokers. Conduct risk management by overseeing client performance and selected securities for investment, etc.

Legend Securities, Inc., Melville, NY Mar. 2015 – Aug. 2015

AML Compliance Consultant

Scrutinize, revise, and made recommendations regarding compliance structure. Ensure regulatory guidelines are met in relation to heightened supervision, emails, new accounts, activity letters, trading, commission, surveillance, system test and a variety of other components required to meet legal parameters.

Assisted the AML Representative with KYC day to day activities.

Brookville Capital Partners, Uniondale, NY Sep 2010 – Dec 2015

AML Representative/ Chief Compliance Consultant

Spearheaded compliance pertaining to retail and institutional transactional broker-dealer., tested system and procedures. Implemented new CE to encompass AML as well as company-wide compliance. Investigated client issues and determined any client restriction or remediation.

Enhanced, replaced, or created procedures to comply with regulatory guidelines and strengthen longevity. Revised manuals and policies concerning AML, BCP, and WSP.

Review marketing and advertising material for new products to confirm they do not expose the firm to litigation and are within boundaries of legal guidelines regarding truth in advertising laws.

Procedural Compliance: Reworked AML, BCP, and WSP manuals to align with respective policies, laws, according to regulatory guidelines and key stakeholder requirements. Established updated procedures for Prime Brokerage.

System Initiations: Launched new systems to monitor transactions for retail, institutional, and options, along with material changes for the US and foreign accounts, including UK.

John Thomas Financial, New York, NY Oct 2009 –Sep 2010

Assistant Compliance Director

Guided analysis regarding compliance of supervisory structure entailing review of AML function, complaints, investment banking, research, and Chinese wall. Examined sales within institutional and retail sectors, in addition to media contacts, policies, procedures, OFAC, FINCEN, Section 311, PEP’s, and money flows, among others. Conducted branch audits, assessed ethics, and reviewed employee accounts.

Vectorglobal Wmg, Inc., Jersey City, NJ New York, NY Miami, FL July 2007 – Oct 2009

AML Representative/ Chief Compliance Consultant

Instituted replacement procedures for AML, BCP, WSP, RIA, and the supervisory structure. Observed daily compliance of institutional and retail accounts within the US and Mexico.

Performed daily AML reviews concerning KYC for on boarding clients.

Responsible for AML review, OFAC, Third party wires, suspicious activity, Peps, bad actors, Prime Brokerage, etc.

AML Expertise: Point-person for all aspects of daily KYC and compliance activities, including enhancements to existing KYC procedures. Investigated client findings and determine any restrictions if necessary.

Ehrenkrantz King Nussbaum, Garden City, NY July2005 – July 2007

Chief Compliance Consultant

Formulated new CE to cover general as well as AML compliance and reviews of client issues before opening accounts and on an ongoing basis. Identified accounts that required restrictions or termination.

Developed guidelines for investment banking comprising of compliance for IPO and private placements.

Inspected conformity of client accounts in the US and UK to confirm WSP adherence of all business units.

Trained personnel conducted branch audits, ethics, and employee reviews.

Critical Procedures: Engineered comprehensive procedures for Patriot Act, WSP and BCP, supervisory steps to protect data and financial integrity.

Brean Murray & Company, Inc., New York, NY Feb 2003 – July 2005

AML Representative/ Chief Compliance Director V.P.

Ensured firm functioned in accordance with regulations governing investment banking, research, institutional sales, market development, proprietary trading, ex clearing trades, the Investment Advisors Act, KYC, trading surveillance, options, control room, and NYSE floor activity guidelines.

Reviewed firm training to detect noncompliance with front running and unauthorized trading.

Managed analysis of branch audits, ethics, 144 stock, registered Securities, Unregistered Securities, Prime Brokerage and employee accounts.

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