Compliance Investigator

BANSARI AMIN

*** ****** ****** · 908-***-****

***********@*****.***

High-energy business professional seeking a role in a financial organization where my skills can be utilized and expanded. Working knowledge of financial products and specialized experience in Back-office operations closely working with compliance. Highly organized and efficient with time management. Maintain a current awareness and complete understanding of appropriate banking laws, regulations, internal policies, and procedures to fully comply with those laws, regulations, AML policies, fraud prevention and procedures.

EXPERIENCE

OCTOBER 2021 – PRESENT

CLIENT SERVICE CENTER INVESTIGATOR, SMBC GROUP

Perform all product, service, and investigation-related operational activities necessary to satisfactorily process payment inquiries for transactions completed through the USD clearing systems (chips, fed)

These case management activities include case opening, correspondence through swifts and emails with local and overseas correspondent banks.

Monitor and observe repetitive inquiries and conduct root cause analyses of the underlying reasons for the repetition of the inquiry oversee and confirm end of day close out transactions is completed and properly recorded.

Effectively and collaboratively identify, escalate, mitigate, and resolve risk, conduct and compliance matters

Familiar with business AML procedures

Comprehensive, transparent, and timely responses to risk, compliance, and regulatory inquiries

OCTOBER 2019- OCTOBER 2021

UNIVERSAL BANKER, provident bank

Meeting sales referral and cross-selling goals, actively engaging clients.

Advancing the Bank’s Corporate Sales Program through consultative profiling of clients to develop new relationships.

Knowledge of financial products and instruments.

Assisting with special bank projects, as needed.

Ensuring compliance through CTR/SAR and other policies/procedures.

Performing daily cash management functions.

EDUCATION

MAY 2008

B.A. BUSINESS MANAGEMENT, kean university

3.5 GPA

SKILLS

Data management and entry

Strong analytical skills

Reconciliations and settlements

Proficient in Microsoft Office

Fluent in English, Hindi & Gujarati

Knowledge of SWIFT, CHIPS and FED clearing systems

Excellent time management

Effective communication skills

Fircosoft, Montran, OFAC, AML

Contact this candidate