Qa Analyst Risk Manager

Summary

Bi-lingual (Spanish) Financial Services Specialist with over 9 years of banking experience conducting Compliance risk and AML risk audits. Strengths include: BSA/AML Compliance Internal Audit and OFAC Testing, Continuous Monitoring control testing reviews, Quality Control Testing, Know Your Customer (KYC), Know Your Distributor (KYD), Enterprise Wide Risk Assessment (EWRA) reviews for AML, Sanctions, AB&C and strong knowledge of the Volcker Rule, Bank Secrecy Act, OFAC, AML institutional guidelines, and USA Patriot Act.

Applications: Actimize, Accurint, Admin Online Tool, AS400, Bloomberg Professional Service, Bridger Insight XG, BuySmart, Customer Assist, Dow Jones Risk and Compliance, ECAMS (Enterprise Case and Alert Management System), Factiva Adverse Media, Customer Assist, Contact Manager, FT MONT, FIS Prime Compliance Suite, Fiserv: AML Risk Manager, Fortent, HALO (KYC database), Helios (Operational Risk Management System), Lexis-Nexis, Mantas, Lloyd’s List Intelligence, Microsoft Office (Word, Excel, Oracle Fusion, PowerPoint, Visio, Access, & Project), NESS (Citi Screening), Orbis, PACER (Public Access to Court Electronic Records), Portfolio Analyzer, Prime Compliance Suite, Risk Assessment Tool (RAT), Share Point, SONAR (cash transaction system), TeamMate (Audit Trail System), and Thomson Reuters World Check

Experience

QA Analyst, Financial Crimes Advisory Team - Contract Role 10/2020-02/2021

KPMG LLP (New York, NY)

Supported the design and execution of an engagement's KYC approach in accordance with relevant BSA/AML Compliance and regulatory professional quality control standards, and applicable firm guidance and KPMG methodology

Assisted with the implementation of the client’s objectives and policies and procedures to meet organizational goals and focus on AML/KYC

Conducted Quality Assurance on High Risk written analysis of customers who require periodic reviews and escalate for file remediation

Confirmed the KYC Analysts are managing Negative News and PEP screening functions, as appropriate

Manager, Business Risk and Control Management (BRCM) - Contract Role 10/2019-09/2020

HSBC Global Asset Management (USA) Inc. (New York, NY)

Provided support to the AMUS BRCM Team, for the execution of an effective risk management program

Collaborated in operational risk assessments, management and oversight of the control monitoring/ testing environment, and development of the BRCM monitoring plan (test script creation)

Reviewed and validated the continuous monitoring controls for different teams within AMUS such as: Buy-Side Sanction monitoring, Transaction Sanctions Risk Approvals (TSRA’s), Social Media review - AMUS, Incident management and escalation, Electronic access segregation arrangements, KYD, ADA Material - quarterly reminder, Class action and corporate action reviews, New product/ service checks and approval – pre-launch/ launch, Ongoing review and approval of existing product/ services, Employee pre-trip and post-trip verification, Pricing and valuation, Mark to Market NAV report monitoring, IMAs, prospectuses and other supporting documents, Conflicts register maintenance and on-going checks, Volcker (C1) – Product lifecycle (assessments and approvals),Volcker (C2) – Records Management in FDMA, Volcker (C6) - Backstop of restricted fund investments, Volcker (C8) - Personal account dealing restrictions, Volcker (C9) – Subscription Restrictions – HSBC Affiliates, Volcker (C11) - 3rd Party fund due diligence, Volcker (C12) - Annual Attestation, Volcker (C13) - Backstop prohibition monitoring, Volcker (C14) – Training, Volcker (C16) – Restrictions on Investments in 3rd Party Funds, and Volcker (C17) - Changes to approved investment activity

Conducted Financial Compliance Crime (FCC) reviews on AMUS Third Party Vendors, including CIP and Beneficial Ownership, PEPs, Transaction Monitoring, Anti-Bribery and Corruption (AB&C) policy, AML/ Fraud Training, and Cyber Risk

Reviewed and evaluated AMUS EWRA reviews for AML, Sanctions, and AB&C utilizing the RAT tool

Sanctions Case Investigator

03/2019-06/2019

Mega International Commercial Bank (New York, NY)

Conducted Sanctions investigative reviews for wire transfer alerts generated in PRIME and eGIFTs, and examined the originator and the beneficiary for potential matches with the Bank’s OFAC and AML Block Lists

Ensured transactions do not involve an SDN blocked person or entity, a prohibited transaction or a sanctioned country without transaction documents and internal escalation for review and approval as appropriate

Performed due diligence on trade financing related documents, such as Bill of Ladings, Invoices, and Sales Contracts while ensuring complete screening of all mentioned parties

Tracked vessel and air tracking shipments to determine the destination of goods is not being sent to a sanctioned country

Facilitated and prepared requests for Information (RFIs) inquiries and monitored the case log for completion

Assisted Sr. Management in the drafting of reviews and filings for all OFAC related government reports (Rejection report, Blocked Account report, and Voluntary Self-Disclosure report)

Acting Team Leader - KYC / QC Advisory Officer

09/2018-02/2019

KYC / QC Advisory Officer

05/2018-09/2018

Mega International Commercial Bank (New York, NY)

Led a team of Quality Analysts to review Enhanced Due Diligence (EDD), Politically Exposed Persons (PEP), and Negative News functions for compliance and consistency with departmental goals and objectives

Examined new and existing accounts for CDD and EDD, periodic KYC Reviews, and Special projects

Provided recommendations and corrective actions in response to QC review findings

Trained KYC personnel and other units in Quality Control standards and procedures

AVP, Compliance AML Intel Senior Analyst, Quality Control Team

01/2015-05/2018

Citigroup Inc. (Jersey City, NJ)

Conducted AML Quality Control reviews for financial crimes investigation cases and produced metrics reports for Senior Management

Created and spearheaded global training via-web ex on new policies and operations

Provided individual trainings to new team members on conducting AML Quality Control reviews

Senior BSA/AML Analyst - Contract Role

11/2014-01/2015

Alma Bank (Long Island City, NY)

Managed and cleared transaction alerts generated in FIS Prime Compliance Suite, created cases, and documented conclusions to identify suspicious activity

BSA / AML Compliance Specialist - Contract Role

05/2014-08/2014

JP Morgan Chase & Co. (New York, NY)

Performed transaction research and documented and dispositioned reports appropriately

BSA / AML & OFAC Senior Auditor

07/2010-09/2012

Banco Santander, S.A. (New York, NY)

Performed testing, and developed findings and executed the BSA/AML Compliance Internal Audit and OFAC Testing for different units (Consumer, Treasury Services, Broker Dealer, Money Remitter, Investment Securities, Commercial, Personal, Corporate and Private Banking Services and the US Corporate Compliance Office)

Performed a follow-up review of prior audit issues, determined appropriate corrective actions were taken to address previously issued recommendations or improvement proposals

Education/Awards

M.B.A.,Pace University, New York, NY - Anticipated Completion: 2023

ACAMS Certificate - Fighting Modern Slavery and Human Trafficking (August 2020)

Citi Recognition Awards (2015-2017)

Audit Certificate, New York University, S.C.P.S. - New York, NY

B.S., Computer Programming & Info. Systems, Farmingdale State College SUNY, Farmingdale, NY

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