Manager Analyst

Derrick Knauss

New York, New York **********@*****.*** 407-***-**** **********@*****.***

Professional Profile

Offering a unique blend of expertise as a BSA/AML/OFAC officer and specialist developed over the course of 6+ years of combined experience, key to honing a comprehensive knowledge of BSA compliance

Strong interpersonal communication and leadership skills that were a vital asset while interfacing with multiple teams, working with external auditors, and collaborating cross-functionally to complete multiple projects

Highly adept at conducting a variety of bank transaction reviews, lookback reviews, SAR investigations, executing due diligence reviews, and proactively enforcing bank policies and procedures

Core Competencies

Policy Compliance

AML Transaction Monitoring

EDD Reviews

Team Collaboration

Liaising & Communication

Compliance Training

OFAC Sanctions Screening

Research & Analysis

SAR Writing

Technical & Computer Expertise

Microsoft Office Suite – SharePoint – World-Check – Bankers Toolbox BAM+ & BSA Manager – Norkom – GlobalPlus – Nautilus – NICE Actimize – FIS/Metavante Prime – FIS BancPac – EastNets Interdiction Software – Fircosoft Continuity – SAS AML Case Management – eGIFTS Wire Transfer and S.W.I.F.T. Solution.

Career Path

Mashreq Bank

OFAC Sanctions Compliance Officer (Contract) 2019 – Present

Alert Review -review of real time transactions against bank’s interdiction system for potential sanctions matches

Case Management -send and review RFIs for potential sanctions matches

OFAC Report Filing - support Sanctions Management in preparing block and reject reports

K2 Intelligence

OFAC Specialist (Contract) 2018 – 2019

Combined extensive management expertise with a top-notch work ethic to complete 1.4M OFAC SWIFT message alerts for a client bank lookback project, while collaborating with a 30-member team of investigators

Stepped in as a resource for office personnel and ensure that all operations are properly coordinated

Collaborated with the regulatory compliance team lead on required transaction escalation and review

United Bank Limited

AML/BSA Investigator (Contract) 2018

Successfully completed an SAS lookback review for 1200+ regional trade finance and MT202 wire bank-to-bank related alerts; balance these responsibilities while coordinating with all head office personnel

Worked cross-functionally with a team of investigators to ensure the review was completed on schedule

Communicated with the USA BSA officer to handle all necessary RFIS for transaction escalation and review

Savoy Bank

AML/BSA OFAC Officer (Vice President) 2017

Played a vital role in the enforcement of BSA policy and procedure by working closely with compliance committee members, external auditors, and the branch senior management as needed

Enhanced compliance by providing hands-on BSA and compliance training for staff and the board of directors

Proactively trained and supervised the BSA analyst in all AML banking principles, policies, procedures, and

(Savoy Continued)

clerical AML duties by leveraging superior technical communication abilities

Evaluated and amended the company’s BSA risk assessments at the enterprise, customer, and account levels

Reviewed bank transaction reports on a daily, monthly, and quarterly basis according to strict guidelines

Functioned as the head administrator for BAM+ case management and disposition alerts where required

Industrial Bank of Korea (US Branch)

AML Investigations Manager 2016 – 2017

Analyzed trade finance activity and reported suspicious activity to the head AML compliance officer

Led regular SAR investigations while also monitoring trade finance wires, letters of credit reimbursements, and deposit transactions for all bank customers in the SAS case management system

Provided assistance to the deputy manager and bank IT staff with database management tasks and list scans of SDN and FinCEN 314a updates to the internal “Good Guy” list

Acted as an asset for the OFAC analyst in the daily maintenance of interdiction database by dispositioning, real-time OFAC SDN watch list SWIFT matches

HSBC

AML Private Banking Investigator (Contract) 2015 – 2016

Monitored transactions on high net worth domestic private banking customers to identify any potential issues

Adhered to the risk-based approach and internal bank policy to mitigate circumstances while determining the reason behind observed transaction activity; completed annual reviews of high risk customer transactions

Facilitated the digitization and organization of al 2010-2015 SAR and subpoena documentation for domestic private banking by working with a team of analysts on the delivery of a uniform case management project

Maintained workflows within Norkom case management and proprietary KYC systems

Contributed to the completion of a uniform case management project that digitized and organized all 2010-2015 SAR and subpoena documentation for domestic private banking

Bank of China

BSA Compliance Associate (Contract) 2014 – 2015

Completed 25K Q1 and Q2 lookback alerts for the January OCC audit in conjunction with fulltime FIU staff

Executed investigations into monthly alerts for all international correspondent bank wire transactions

Perform Enhanced Due Diligence (EDD) on originator and beneficiary parties by conducting internet, LexisNexis, Dow Jones, and Bridger Insight searches; also developed and submitted SARS for FinCEN review

Ensured that the investigation log of escalated alerts was kept updated and maintained at all times

Contributed to training compliance professionals on the key aspects of the alert clearing protocol

JPMorgan Chase

Compliance Analyst (Contract) 2014

Administered data integrity test screening on samples against the company’s enterprise database

Expedited OFAC specially designated nations and FinCEN 314(a) list screening by investigating customer models to identify any inconsistencies

Bank United

BSA EDD Specialist, Surveillance Analyst (Contract) 2013

Successfully completed a preparatory project for an OCC audit of high-risk bank customer in collaboration with the external auditing team, as well as a team of EDD validators

Employed LexisNexis and World Compliance software to execute background and negative history checks into 3K high-risk bank relationships; also used the bank customer database to conduct initial screening

Analyzed 50K+ incoming/outgoing check/wire transactions by working with the BSA Investigation Department

Disseminated investigatory-supporting documentation for multiple high-risk bank customer alerts

Professional Development

Florida International University MBA (Graduated 2013)

Rollins College BA, International Business (Graduated 2005)

Banker’s Toolbox Certified Professional (2017)

Association of Certified Anti-Money Laundering Specialists Certified Anti-Money Laundering Specialist CAMS(2013)

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