Research Consultant Precious Metals

Location:

New York, NY

Salary:

$25 hr

Posted:

March 04, 2022

Contact this candidate

Resume:

Proficiencies - Extensive experience with OFAC (Office of Foreign Assets Control), KYC (Know Your Customer),

AML (Anti-Money Laundering), SDN (Specially Designated Nationals), 314a, SAR (Suspicious

Activity Reports) dealing with the USA PATRIOT Act, FATCA (Foreign Account Tax Compliance Act),

BSA (Bank Secrecy Act) Sanctions and FINRA

- Funds / Money Transfers (CHIPS), Fed Wires, SWIFT, ACH, Derivatives (Options), Money

Market, Precious Metals, Letters of Credit, Hedges, Credit Cards, Mortgages, Auditing, Equity,

Imports / Exports and Collections

- Trade Finance, Loans, USD / Foreign Exchange Payments / Clearing / Filtering, Settlements,

Investigations, Compensation, Reconciliations, Confirmations and Reimbursements

- Able to learn proprietary systems / applications quickly and easily

- Skilled in aspects of recording transactions, posting debits / credits, reconciling accounts,

General ledger, Bank Reconciliation, Trial Balance and ensuring accuracy and completeness of

data

- Microsoft Word, Excel, PowerPoint Outlook and Access 2007 / 2010 / 2013 / 2016,

IntelliMatch, WordPerfect, MANTAS, Lotus Notes, Fortent, SharePoint, Adobe Acrobat, LexisNexis,

Actimize, WorldCheck, IntelliTracs, MONTRAN, STOR QM, MIDAS, SOAR, QuickBooks and

Peachtree, Prime, SunGard, Clear

- Typing 40 - 60 WPM; Data Entry - Alpha / Numeric

- Adept in aspects of general office procedures

- Highly organized and detail focused

- Strong organizational and analytical skills

- Able to handle financial reporting in deadline-oriented environment

- Excellent interpersonal and communications skills / highly creative and intuitive problem solver

- Able to work independently and as a team member

Education / Certifications / License

SUNY Empire State College New York, NY, started attending Sept 2017 - Associates Degree (Business)

Certificate in AML / KYC Financial Crimes Prevention, Abigail Consulting Solutions, NY, NY, 2015

Certificates in MS Office Word / Excel 2007 Intermediate and Advanced, Queens Jamaica Ctr, Jamaica, NY, 2009

Certificate in Bookkeeping, Alliance Computing Solutions, Flushing, NY, 2009

NYS Real Estate License, Express Real Estate School, Bklyn, NY, 2005

Certificates in Windows / Server, UNIX Administration, Cisco, CheckPoint, Orion Technology, NY, NY, 2002

Certificates in A+ PC Technician, MCSE Windows and Internet, NOVAX Technology, NY, NY, 1997 - 2000

Some college coursework, Secretarial Science, State University of New York, Bklyn, NY, 1992

Experience: Seeking Employment 04/19 - Present

Mega ICBC Long Island City, NY

AML Compliance Analyst (Temp) 10/17– 04/19

- Reviewed transactions on corporations, banks’ and clients accounts for suspicious activity utilizing

Prime and SunGard; and other In-house systems and analyzing risks assessments triggered by a

defined set of analytic flags

- Submitted requests for information to Branches, following a set parameter of protocols defined by

Regulations

- Conducted due diligence on key parties and transaction details following agreed upon procedures,

protocols, and sources

- Reviewed and analyzed underlying data gathered to assess reasonable cause to escalate an alert to

investigations or to clear the alert

- Checked prior SARs on corporations and individuals to ensure the activity in the present case was

not related to the present case(s) and the occurring transactional activity

-Trained new hires on work and systems, as requested and needed

Seeking Employment 09/16 – 09/17

BNP Paribas Jersey City, NJ

AML Compliance Analyst (Temp) 04/16 – 09/16

- Reviewing AML / KYC Alert activity and analyzing risks assessments triggered by a defined set of

analytic flags utilizing Actimize, GCARS, CRDS, Syfact, SAR Search, World Check, Google,

Bloomberg, LexisNexis, ORBIS, MONTRAN, and other search parameters like LinkedIn, Dun &

Bradstreet, Secretary of State, or court cases

- Submitting requests for information to Branches following a set parameter of protocols defined by

regulations

- Conducting due diligence on key parties and transaction details following agreed upon procedures,

protocols, and sources

Seeking Employment 06/15 – 03/16

JP Morgan Chase Brooklyn, NY

AML Compliance Analyst 05/13 – 05/15

- Audited transactions CHIPS, SWIFT, Fed Wires, CHECKs, CASH, Credit Card / Mortgage payments

and all other payments processed to customer accounts to ensure they complied with OFAC / SDN /

BSA and USA Patriot Act Sanctions for risk assessments (and all other necessary systems)

- Conducted periodic internal account customer reviews to identify potentially suspicious activity

- Utilized Mantas, Actimize, Fortent and several other system programs to resolve alerts and cases

- Performed intake controls to ensure all alerts were logged and assigned in a timely manner

- Wrote SARs (Suspicious Activity Reports)

- Collected and documented data, including alert, investigation, and Suspicious Activity Report

history, Know Your Customer information relevant to account and transaction data, plus any other

required information to assist the investigation

- Reviewed and analyzed underlying data gathered to assess reasonable cause to escalate an alert to

investigations or to clear the alert

- Wrote dispositions and fully documented all alerts, including supporting data, analysis and rationale

for disposition, within the case management system in a timely manner

- Built relationships with AML Investigations units, effectively communicated and transferred

information for case investigations

K2 Intelligence New York, NY

KYC On-Site Clerk (Temp) 01/13 – 03/13

- KYC / AML Project for large Domestic Bank; exposure to confidential and sensitive data for risk

assessment

- Migrating data from former in-house system to new upgraded digital in-house system, in a timely

manner, in accordance with all U.S. Compliance Sanction Regulations; some files were paper and

others were electronically handled

- Quality Control, ensuring all necessary required information had been accurately input, and was

compliant with KYC, BSA, and CIP

- Reported any inaccuracies to management

American Stock Transfer & Trust Company Brooklyn, NY

Cust Serv / Call Ctr Stock Trfr Clerk (Temp) 11/11 – 11/12

- Provided shareholders / brokers with information pertaining to shareholders’ stock accounts,

which included cost basis, dividend reinvestment / book and certificate stock history, issue

certificates

- Provided shareholders with assistance about Lost Certificates, Loss Stop(s), Affidavit of

Domicile, Stock Power, Letters of Transmittal, Tender Offer(s), REORGs, Mergers and various