KYC QA/QC Analyst
Resume:
Wendell Corbin
*************@*****.***
Summary
Knowledgeable and innovative Risk Compliance Professional with excellent client and project management skills. Action-oriented with a strong ability to communicate effectively with technology, executive, and business audiences.
Skills
SAR writing
Transaction Monitoring
BSA
OFAC
Compliance Testing
Correspondent Banking
KYC/EDD Due Diligence
Institutional Banking
FINCEN
Sanctions
Experience
July 2022
to
Present
Banco Popular (Guidehouse) New York, NY
Sr. Consultant
Team Leader
Conducted KYC QC audit reviews for full regulatory compliance with the Bank's Global KYC Operating Procedures
Performed High Risk Customer Reviews on backlog remediation
Ensured completeness and accuracy of the customer file by obtaining the necessary requirements
Reviewed and Performed KYC and Enhanced Due Diligence screenings via internal and external sources, Lexis Nexis, World Check, Dow Jones and Dun & Bradstreet.
Reviewed all FinCen related items.
Analyzed negative news, PEP or Sanctions on the Client, Related Parties and Related Individuals. Made written recommendations based on findings
New Client Onboarding
Consumer Lending
Validated the customer risk rating information
Conducted issues management for the client.
Ensured completeness and accuracy of the customer file by obtaining the necessary requirements
November 2019
to
June 2022
USAA (KPMG) New York. NY
Consultant (Contract)
Team Leader
Conducted QA and QC audit reviews on Suspicious Activity Reports for full regulatory compliance with the Bank's Global KYC Operating Procedures
Wrote Suspicious Activity Reports (SAR)
Monitored transactions and customer relationships for money laundering activities to identify any identified red flag issues
Mitigated banking risk alerts and drafted narratives outlining suspicious activity or clearing the file
Ensured completeness and accuracy of the customer file by obtaining the necessary requirements
Ensured profile reviews are completed in a timely manner and meet quality expectations
Consumer Lending
Reviewed and Performed KYC and Enhanced Due Diligence screenings via internal and external sources, Lexis Nexis, World Check, Dow Jones and Dun & Bradstreet.
Reviewed all FinCen related items.
Conducted issues management for the client.
Analyzed negative news, PEP or Sanctions on the Client, Related Parties and Related Individuals. Made written recommendations based on findings
Submitted timely and accurate documentation of performed risk assessments and AML quality assurance reviews
August 2017
to
November 2019
Credit Suisse (Guidehouse) New York, NY
Sr. Consultant
Team Leader
Conducted KYC QC audit reviews for full regulatory compliance with the Bank's Global KYC Operating Procedures
Performed High Risk Customer Reviews for backlog remediation
Ensured completeness and accuracy of the customer file by obtaining the necessary requirements
Reviewed and Performed KYC and Enhanced Due Diligence screenings via internal and external sources, Lexis Nexis, World Check, Dow Jones and Dun & Bradstreet.
Reviewed all FinCen related items.
Analyzed negative news, PEP or Sanctions on the Client, Related Parties and Related Individuals. Made written recommendations based on findings
New Client Onboarding.
Validated the customer risk rating information
Conducted issues management for the client
Ensured completeness and accuracy of the customer file by obtaining the necessary requirements
January 2017
to
August 2017
Citi (Deloitte) New York, NY
Sr. AML Compliance Investigator (Contract)
Wrote Suspicious Activity Reports (SAR)
Monitored transactions and customer relationships for money laundering activities to identify any identified red flag issues
Mitigated banking risk alerts and drafted narratives outlining suspicious activity or clearing the file
Performed KYC and Enhanced Due Diligence screenings via internal and external sources, Lexis Nexis, World Check, Dow Jones and Dun & Bradstreet
Performed Enhanced Due Diligence on customers deemed high risk and suggested account restrictions and/or account closures based on risk to the institution
Performed High Risk Customer Reviews
Communicated effectively with bank store management to complete RFI's
Analyzed potential Office of Foreign Assets Control (OFAC) hits to ensure compliance with United States sanctions
Identified possible improvements to the AML infrastructure and communicated findings to the senior quality assurance management
Conducted issues management for the client
New Client Onboarding
June 2014
to
December 2016
TD Bank(Protiviti) New York, NY
Sr. AML Analyst (Contract)
Wrote Suspicious Activity Reports (SAR)
Monitored transactions and customer relationships for money laundering activities to identify any identified red flag issues.
Mitigated banking risk alerts and drafted narratives outlining suspicious activity or clearing the file.
Was responsible for Due diligence reviews of Consumer and Business Banking customers.
Identified customer up-sell opportunities & provided leads to sales managers.
Analyzed potential Office of Foreign Assets Control (OFAC) hits to ensure compliance with United States sanctions.
Performed High Risk Customer Reviews.
Communicated effectively with bank store management to complete RFI's.
Performed QA and QC reviews on casework to ensure bank policies and procedures were met. Also provided coaching and training to other members of the AML team.
Identified possible improvements to the AML infrastructure and communicated findings to the senior quality assurance management.
Conducted issues management for the client
New Client Onboarding.
November 2007
to
June 2014
Citizens Bank New York, NY
AML / KYC Compliance Officer
Conducted QA and QC audit reviews on Suspicious Activity Reports for full regulatory compliance with the Bank's Global KYC Operating Procedures
Managed to the BSA/AML/OFAC/CIP compliance program and all related functions, maintaining day to day compliance with all the applicable laws and regulations.
Conducted KYC QC reviews for full compliance with the Bank's Global KYC Operating Procedures
KYC and Enhanced Due Diligence was performed on entities via Lexis-Nexis, Google, World-Check and Dunn and Bradstreet.
Reviewed all FinCen related items.
Mitigated risk alerts and drafted narratives outlining suspicious activity or clearing the file.
Performed due diligence reviews of all account documentation submitted by the Product specialist in order to assist in mitigating risk against fraud and/or money laundering for the firm.
Submitted timely and accurate documentation of performed risk assessments and AML quality assurance reviews.
Performed QA and QC reviews on casework to ensure bank policies and procedures were met. Also provided coaching and training to other members of the AML team.
Performed High Risk Customer Reviews.
Communicated effectively with bank store management to complete RFI's.
Analyzed potential Office of Foreign Assets Control (OFAC) hits to ensure compliance with United States sanctions.
Performed Compliance Testing to identify solutions for improving processes.
Made recommendations and proposed methods of testing.
Assisted in the development of the annual testing plan and prepared detailed reports for Sr. Management that spoke to testing results, and areas of improvement.
Identified possible improvements to the AML infrastructure and communicated findings to the senior quality assurance management.
October 2004
to
October 2007
JPMorgan Chase Marlton, NJ
Sr. Loan Officer
Wrote consumer lending mortgage loans and walked customers through the process from application to close
Adhered to all federal and state compliance guidelines relative to retail mortgage lending
Analyzed applicants' financial status, credit and property evaluation to determine feasibility of granting loan
Educated customers on the variety of loan products and available credit options
Created financial analysis reports of commercial real estate, borrowers' financial statements, lease reviews and market research
Provided expert financial advice on mortgage and both educational and personal loans
Academic Background
Morgan State University
Bachelor of Arts: Business Administration
Morgan State University Baltimore, MD, United States
MBA
Licenses
Certifications
Life Insurance License
Health Insurance License
Property and Casualty Insurance License
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