Sales Associate Assistant Manager
Resume:
JOSEPH LAWSON
**** ********* ***** #***, **** Hill, Maryland, 20745
******.*.******@*****.***
WORK HISTORY
AML Consultant – Optimal Network (Texas Capital) November 2020 – September 2021
● Successfully documented all research and analysis conducted in case management system.
● Executed AML customer research based on demographic information for new and existing customers.
● Identified potential matches and referred exact matches to the appropriate compliance teams for further investigation or disposition.
● Worked closely with Team Lead throughout duration of an investigation.
● Analyzed alerts and investigated customers who match the Politically Exposed Persons and Negative Media lists during the account opening and maintenance processes.
● Conducted searches, gathered data and recorded evidence from internal systems, commercial databases and collaborated with business or compliance contacts within the organization.
● Conducted enhanced due diligence investigations in support of policies and procedures.
● Reported unusual client activities such as money laundering or terrorist financing.
● Conducted alert investigations using global standard policies as well as procedures and tools aimed at meeting internal and external regulatory requirements.
● Identified and verified beneficial Owners
KYC Specialist – Revature (BNP Paribas) October 2019 – October 2020
● Ensured deliverables were met through my knowledge of KYC/AML processes with the ability to work through delays, whilst managing operational banker’s and client’s risks effectively, and escalating appropriate risks in driving issues to closure.
● Worked on several projects involving large on-boards of high net-worth CB-REB clients with timely completion, to exceed the client’s expectations.
● Collected and reviewed AML documents in accordance with current KYC Policies and provided rationales when client risks were identified.
● Provided subject matter expertise where needed, during my Due Diligence and Enhanced Due Diligence (EDD) process and escalated suspicious findings to the Compliance team for Specialized Due Diligence.
● Worked with the Quality Control analysts to identify best practices, and involved line managers where necessary, to ensure the banks procedures were properly adhered to.
● Created and built KYC due diligence profiles for each new/onboarding and client review.
● Related closely with compliance on documentation issues, fraudulent or suspicious identification, sanctions or embargo issues or negative news triggered during enhanced due diligence.
● Demonstrated an excellent work relationship with my teammates, line manager and other teams.
● Perform Enhance Due Diligence via Lexis-Nexis, Google, World Check, DDIQ and various other platforms.
OFAC/Sanctions Specialist – Knight Point Systems (Amegy Bank) May 2018 – September 2019
● Assist the Sanctions Program Manager with updates to the OFAC policies and procedures
● Participate in Ad-hoc management requests with relation to Global Sanctions
● Stay abreast with new laws and regulations that involve Global Sanctions Compliance
● Performed other duties assigned by management
● New client screening – screening of clients using World Check, Lexis Nexis databases – process and investigate RTS related alerts generated by the bank’s case management tool
● Internal controls for sanctions compliance, including screening of customers and transactions, as appropriate, and ongoing sanctions list management applicable to location/legal entity
● Performing research on prospective and existing clients as well as related parties to identify and analyse a sanctions nexus
● Blocking and rejecting accounts & transactions (OFAC and local Sanctions)
● Reporting of true match, blocked or rejected transactions (OFAC and local regulator) AML Consultant – Glenlake LLC (Capital One Bank) June 2016 – May 2018
● Analyzed and dis-positioned alerted activities for both manual and automatic generated cases.
● Supervised a small team in the timely completion of their cases and provided my expertise when needed.
● Analyzed and dis-positioning alerted activity flagged by the transaction monitoring systems.
● Completed special projects involving high risk clients and clients on internal watch lists.
● Investigated customers who match with SDN, PEPS and Negative Media list during the account opening and maintenance processes.
● Conducted searches, gathering data, documenting evidence from internal systems, the internet, commercial databases to support dispositions on alerts.
● Drafted comprehensive analysis of the account activity and documented enhanced due diligence
(EDD) investigations on high risk clients in the Global Consumer Banking (GCB) sector.
● Analysed cases to know if a Suspicious Activity Report (SAR) should be filled.
● Drafted SARs in compliance with BSA guidelines within set time frames.
● Participated in special project involving the review and possible mitigation of escalated cases per outlined procedures for GCB customers.
● Accumulated facts from investigations to be utilized in presentations to Senior Management and Compliance.
● Escalated Suspicious Activities Reports (SAR) that display elements of AML and Terrorism Finance red flags.
● Validated testing efforts and log defects in complex test identities.
● Constantly communicated with project managers as well as stakeholders on project updates.
● Reviewed critical KYC documentation and maintained electronic and physical partner records. EDUCATION
Morgan State University – Bachelor of Arts in Hospitality Management
Contact this candidate