NOEL CHRISTIAN

SUMMARY

Experienced Compliance and KYC quality control analyst, Private Bank Research Operations Specialist prepared to manage risk while keeping customer data confidential.

Provide professional operation assistance in day to day business and healthy customer service.

Skills:

BSA

Risk Management

OFAC

Risk Management

Team Work

Cross Training

Six Sigma

Privacy Awareness

Managing customer Ac's.

Consumer Protection

KYC

Anti-Money Laundering

Reg W Awareness

Customer Due Diligence

TECHNICAL SKILLS

Software Used: Gold-Tier, BVD, ORBIS, Google Searches, Dow Jones, Lexis-Nexis, World-Check, Net X 360, ADP, SEI, Global Plus (SUNGARD), Global CRM, Bimas, Obas, Epic, ITCS, Impacs, Lotus Notes, Microsoft Outlook, Word, Excel

EXPERIENCE

Cantor Fitzgerald, New York, NY

KYC Quality Analyst 2019 - 2020

Reviewed legal entity reference data by researching public records.

Reviewed quality control case work of KYC processes and documentation to resolve data quality issues.

Helping client on-boarding team to on-boar the new clients with CDDs & EDDs.

Performed outreach where additional KYC information was required.

Ensured all customers undergo a thorough due diligence review.

Ensured complete KYC profile was documented.

Performed enhanced due diligence (EDD) and screening, using software tools like Gold-Tier World-Check, LexisNexis, Orbis, Dow Jones.

Performed EDD on new clients and counter parties.

Involved in testing of new procedure and application enhancement.

Conduent June 2019 - October 2019

Reviewing the images of vehicles of violations of EZ-PASS.

Run the reports for management.

Provide the customer support.

Assist co-worker on various issues.

HSBC Bank USA 2000 - 2018

Compliance & KYC Analyst

Private Bank

Review KYC profiles, related documentation and client screening information for identification of discrepancies to ensure compliance with bank's KYC policy & using BSA knowledge. This includes on-boarding new relationships and new account member names for existing relationships.

Perform enhanced & research & due diligence (EDD) on profiled members to corroborate source of wealth information by case.

Perform the Google searches, Dow Jones, Gold-Tier, ORBIS, Lexis-Nexis, World-Check as part of client's due diligence process.

Monitoring suspicious activities (SAR)

Monitoring banking client’s financial activities and prepare the reports.

Client on-boarding on banking systems applying compliance procedure.

Responsible for opening, amending, reviewing and exiting clients according to established policies and procedures.

Account on-boarding of new clients, new relationships product and services, as well as existing client’s updates.

Review client’s transactions to detect and report either proposed or completed unusual transactions.

W8 & W9 documents review and processing and update the documentation for FATCA classification.

Communicate with RM, RO & front office with client's inquiries & queries and provide the solutions.

Managing small group of people.

Open Act’s in various in various platforms such as Net X 360, ADP, CRM, BIMAS, OBAS, Global Plus (SunGard)

Provide maintenance service for material changes for existing accounts, such as static date changes.

Verification of Tax documentation for FATCA classification and Tax transparency, such as proper classification.

Conduct account documentation analysis, reviews, for new accounts and perform account maintenance.

Provide Maker Checker review and approval process.

Work effectively and directly with front office, RO’s and RM’s to open new accounts in time sensitive fashion.

Receive e-files from front office which contain documents, review for possible deficiencies, assist in curing as to provide quick turnaround solutions.

Perform the disaster recovery test annually on disaster recovery site for the department.

As senior group employee gives proper training to all new teammates on all systems.

Run the reports every morning for new ac's, closed ac's and updated ac's.

Dormant & inactive ac's review and processing.

Republic National Bank of NY 1991 - 1999

Operation Analyst

Run the reports of new accounts, closed accounts & static data change accounts on daily basis

Review client’s transactions to detect and report either proposed or completed unusual transactions.

Review KYC profiles, related documentation and client screening information for identification of discrepancies to ensure compliance with bank's KYC policy. This includes on-boarding new relationships and new account member names for existing relationships.

Research the client's ac's documentation per RM, RO & client’s inquiry.

Manage small group of people.

Perform the workload failover exercise every quarter with Miami DCT team.

Help front office and management to finish the project in timely manner.

Review private bank client's checks for deposit, perform the world-checks, and scan them and send to branch for processing.

Responsible to open, close & maintain client's accounts and documents on various platforms like SEI, Net X 360, ADP, EPIC, OBAS & Global Plus (SunGard)

Process the hold mail for private bank clients.

Making sure the communication between teams & SO, RO & RM is seamless in order to keep the workflow smooth.

On-boarding client in the system.

Provide dual verification of accounts reports & work done for audit purpose on regular basis.

Provide support to RM/RO/SO of special clients’ accounts to waive DDA Fee, setup the parameters of deposit sweep & managed call ac's.

Handled detailed projects on account maintenance, imagine documentation and KYC updates.

Answer the phone calls of front office on hot line to provide support and help on time sensitive information and urgent issues.

EDUCATION

Gujarat University - India

Bachelor of Business Administration & Accounting

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