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Analyst Customer

Markham, ON, Canada
September 24, 2020

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AML/Compliance Specialist offering 10+ years of expertise in risk management, policy and program development and strategic planning. Advanced knowledge of regulatory compliance with a proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.


Team Leader: Promontory Financial Group Oct 2018 – Jan 2020

Toronto, ON

KYC Remediation (CDD & EDD/Name Screening)

Working on CIS Sanctions & Non-Sanctions, NLP PEPS & International Alerts

Liaised with clients to identify and target inefficiencies in areas of risks and business controls, process gaps and workflow discrepancies

Developed and delivered compliance training to team members and bank staff

Managed quality assurance program, including on-site evaluations, internal audits and customer surveys

Authored thorough reports detailing results of investigations and recommendations to improve compliance and maintain solvency

AML Analyst: Promontory Financial Group Oct 2017 – Oct 2018

Toronto, ON

Disposition of high-risk name screening escalations conducted name searches, through different business lines

Escalation of true matches identified to the proper units (AML investigation, FIU Client On-Boarding and Maintenance, Global Sanctions Compliance) as part of the procedure

Documented, report/follow up the findings

Responsible for analyzing and conduct more complex EDD for alerts (from level 1) in which the client is a match with SDN, PEP and Negative Media Lists

Provided support and ideas to management in the enhancement of productivity and timeliness goals and special projects

Provided Training and support to new team members on the systems and how to write adjudication and do reviews

AML Analyst: HSBC Nov 2015– Jun 2017

Toronto, ON

To Review alerts generated by the AML transaction monitoring system (CAMP)

Conduct holistic analysis of the activity in the customer's accounts for cases assigned

Prepare Suspicious Transaction Report Forms for filings with FINTRAC

Maintain a paper-based and electronic file documenting actions taken and supporting recommendations made on Case Management (SCION) as per Global Standards

Senior Compliance Officer, Laurentian Bank Dec 2014– May 2015

Toronto, ON

Account Opening for Commercial Bank, Real Estate, Purchaser Deposits and Trust Accounts

Handling of Overdrafts for Real Estate & Commercial Banking

Certification of Cheques, Account to Account Transfers, Standing Instructions

Performed client risk scoring, client identification and KYC documentation reviews for on-boarding new clients/accounts and updated KYC databases with the most current AML/KYC information for existing clients/accounts to ensure compliance monitoring is in place, including processes for management of operational risk, in accordance with Local regulatory and Group office requirements

Senior Compliance Officer: ICICI Bank July 2008 – Dec 2014

Toronto, ON

Conducted end-to-end risk based AMLTF investigations including account activity, internal data systems and open source intelligence, in an efficient and timely manner

Formulated KYC questions and liaising with account managers to attain KYC/EDD information to make educated, informed decisions and recommendations

Initiated judgmental call to decide if the cases require STR (suspicious transaction report) or can be considered as DNR (do not report)

Prepared the STR for potential suspicious cases and escalated to QC Team and MLRO to complete the level 3 investigation and submitting the STR

Demarcated recommendations, referrals to Financial Intelligence Unit (FIU), Global Internal Investigation Group (GIIG), Global Sanctions and Line of Business AML officers

Reviewed STR filings, provided feedback to the case analysts, and submitted the STRs


Bachelor of Commerce (BComm)

Finance & Accounting

Certified Anti-Money laundering Specialist (CAMS) from ACAMS

Certification from IFIC for Canadian Securities Course (CSC)


Anti-Money Laundering/Antiterrorist Financing experience (Transaction Monitoring, Triage, Investigations, and Quality Assurance)

Compliance banking laws and regulations (CAMS certified)

Advanced MS Excel (V-Lookups, Pivot Tables, and Macros)

Data Analysis/Data Management

Excellent FINTRAC/OSFI reporting knowledge Summary

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