Contract Consultant Project Manager
Resume:
STEPHANIE A. SMITH, CAMS
Chicago, IL 60616
708-***-**** ******@*****.***
PROFESSIONAL SUMMARY
Accomplished BSA/AML Compliance Officer with over 20 years of experience in banking industry. Successful track record in managing and overseeing Bank Secrecy Act and Anti Money Laundering Compliance Programs. Seeking an opportunity where I can utilize my skills. I am re-entering the job market following a departure due to a health issue.
SKILLS
Regulatory reporting
OFAC & Sanctions Compliance
KYC-CIP Program
Enhanced Due Diligence
Risk management
Operations management
BSA/AML Policy and Procedures
Conflict Resolution
Coaching
BSA/AML OFAC Risk Assessment
BSA/AML and Fraud Investigations
Training across LOB’s and for BOD
Primary Point of Contact for External Audits and Safety & Soundness Examination
Automated Monitoring System (AMS Model), tuning, testing
Project Management
EDUCATION & CERTIFICATION
Anti-Money Laundering Specialist
Association of Certified Anti-Money Laundering Specialists, Charter Member, Chicago Chapter
Rosemont, IL
Graduate School of Banking: Finance with Honors
Bank Administration Institute
University of Wisconsin, Madison, WI
B.Sc., Business Administration, Personnel Administration
Roosevelt University, Chicago, IL
COVID-19 Contact Tracing
Coursera – Johns Hopkins University
PROFESSIONAL EXPERIENCE
09/2015 – 02/2016 Senior Quality Assurance/Risk Analyst/Contract Consultant
Swoon Technology Resources, LLC, Chicago, IL
Successfully performed Risk Assessments and Quality Assurance review at Project Site: BMO Harris Bank, N.A., Chicago, IL to evaluate the effectiveness of AML policies and controls in mitigating money laundering and terrorist financing risks. (6 month contract)
2011 – 01/2015 Officer – Enterprise AML (Financial Intelligence Unit) - Team Lead
BMO Harris Bank N.A., Chicago, IL
Provided support and expertise to BSA Officer. Served as BSA/AML Team Lead. Liaison between Senior Management and Bank Examiners.
Directed the daily functions of a staff of 20+ Anti Money Laundering Analysts and Investigators
Managed the Quality Assurance Review of Anti Money Laundering Alert Adjudications and Suspicious Activity Reports (SAR) investigations related to the preparation, documentation and submission of SARs with the Financial Crimes Enforcement Network (FinCEN - U.S. Treasury)
Provided subject matter expertise, advice, and counsel to team as needed to effectively apply the process designed to prevent/control risk supported by automated systems and approved documented processes and advised team members of AML developments and emerging issues to ensure they are well understood and expected impacts are fully considered
Created/Updated methods, policies, and procedures designed to aid in the accurate and timely preparation of periodic reports presented to Senior Management
2001 – 2008 Vice President - Compliance Department: Manager - BSA Research & Analysis
Banco Popular North America, Rosemont, IL
Efficiently managed the responsibilities of BSA Research and Analysis Team.
Directed the daily functions related to a staff of five (5) BSA Compliance Specialists
Developed and maintained Research & Analysis and Proactive Monitoring programs
Project Manager for ASSIST application upgrade ($100,000+ budget), ASSIST is an Experian Anti Money Laundering monitoring software
Managed BSA investigations related to preparation, documentation and submission of Suspicious Activity Reports with Financial Crimes Enforcement Network (FinCEN - U.S. Treasury)
Liaison with BPNA Internal Audit department, Popular, Inc. Compliance and Audit departments, New York State Banking Department, and New York Federal Reserve Bank during examinations
1998 – 2001 Consultant
Parson Group, Chicago, IL.
Effectively executed financial services reporting including audit preparations, account reconciliations, and monthly management reporting at Project Sites:
Consultant Project Sites:
Finance Department – ABN AMRO, Chicago, IL
Controller’s Department – GATX Corporation, Chicago, IL
Affiliate Accounting Department – MacNeal Hospital, Berwyn, IL
Finance Department – Maui Jim, Inc., Peoria, IL
1988-1997 Vice President – Controller’s Department: Manager of Accounting
Bank of America, Chicago, IL
Held numerous positions within the financial reporting department, many of which allowed for the opportunity to work closely with all business areas of the corporation. This cross-departmental exchange of knowledge led to increased insight of bank operations and the development of business skills and resources.
Directed the daily operations related to a staff of six (6) accountants
Devised methods and procedures designed to aid in the accurate and timely preparation of periodic internal and external regulatory reports
Functioned as liaison between bank examiners from the Federal Reserve Bank of Chicago, the Office of Banks & Real Estate, the Office of the Comptroller of the Currency and multiple business units within Bank of America regarding the coordination of information related to various credit examinations
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