Aml Analyst Focus Group

SHAWN L. JOHNSON

*** ******* ******, ******, ****, NJ, 07304

C: 973-***-**** E: *****.*******.*******@*****.***

Objective:

To further my career within an analytical industry by increasing my knowledge. A highly experienced and skilled individual with over 15 years of efficient work experience in areas of compliance and corporate security with focus on fraud prevention, halting financial crime and quality assurance. Experience working in KYC and following the USA Patriot Act and Bank Secrecy Act standards. Additional experience includes completing extensive due diligence investigations using public and private databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to prevent risks. Having the ability to communicate effectively and with a high degree professionalism has allowed me to work with individuals at all levels of an organization.

Experience:

Promontory Financial Group 3/2023-Current

EDD Risk Review Specialist

Conducting detailed Enhanced Due Diligence (EDD) and well supported investigations of transactions for the identification of suspicious activity and/or potential matches documented with clear rationale to support disposition determinations.

Performing comprehensive research utilizing computer-based tools, utilizing reviews of media sources, public record databases, and open sources information.

Analyzing research h results, identifying relevant information, and discerning potential areas of concern.

Concisely and effectively communicating due diligence findings, both written and verbally, for compliance and related Bank stakeholders.

Providing subject matter expertise and judgement on financial crime responsibilities, and other tasks as assigned.

Design LLC 5/2015-3/2023

OWNER/DESIGNER

Manages marketing, bookkeeping, payroll, and advertising functions.

Studies the industry market to keep abreast of new trends.

Manages the operating expenses by taking accountability for forecasting, accruals and results.

Conducts business process assessments and develops new processes for the successful management and execution of custom products.

Develops project-specific financial models and tools to assist in ensuring projects run more smoothly.

Manages price and terms with vendors.

Maintains business bank accounts, payment processing, and accounts payable/receivables while complying with both federal and state tax laws.

Designs and implement all marketing and sales strategies.

Analyzes impact on, and risk to, essential business functions or information systems to identify acceptable recovery time periods and resource requirements.

Offers consultation services to create marketing strategies for customer interest.

Develops custom products that will appeal to customers through trend analysis and other data.

Procures custom graphic design packages and logo development for new brands.

MUFG UNION BANK

Senior Analyst (CONSULTANT) 1/2018-4/2018

Monitored and processed all manual review transactions on HotScan, based on the level of system access, ensuring that: (a) such transactions are executed within prescribed time frames, (b) identified irregularities are reported to Compliance for their review and approval, per established procedures and (c) no transaction is processed without proper authorization.

Managed changes to any Compliance, Legal or Trade related programs such as OFAC, JFEL, BSA/AML, etc. and any system related issues/concerns; maintained the HotScan databases, made modifications to reflect program changes. Educated staff with all HotScan/Compliance related changes and enhancements. Remediated workflow procedures as necessary.

Continually analyzed the HotScan software by identifying any weakness and recommending any enhancements to improve system performance and accuracy.

Tested recommended enhancements from the time that the enhancements are received through system implementation.

Monitored and processed all manual review transactions during off hours including (but not limited to) holidays.

Identified compliance issues that require follow-up investigations.

Discussed emerging compliance issues to ensure that management and employees are informed about compliance reporting systems, policies and practices.

Filed appropriate compliance reports with regulatory agencies.

Conducted statistical analyses to quantify risk, using statistical analysis software and econometric models.

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JP MORGAN CHASE & CO 6/2009-8/2014

BUSINESS ANALYSIS & REPORTING SPECIALIST

Performed quality assurance procedures by reviewing other analysts' reports for inclusion of relevant information and overall accuracy based on established guidelines and benchmarks. Provided data assessments, verification, and analysis. Oversaw the training of new employees.

Verified all aspects of Client Identification Program (CIP) and necessary account opening documents were provided and in accordance with Know Your Customer (KYC), USA Patriot Act and Bank Secrecy Act (BSA) standards.

Identified accurate risk rating for individual/non-individual accounts to highlight high risk jurisdictions, cash intensive/high risk businesses and Politically Exposed Persons (PEPs) or Relatives or Close Associates (RCAs).

Completed extensive due diligence investigations using public and private databases in accordance with Anti-Money Laundering (AML), BSA and other regulatory standards to assist business units and prevent operational and reputational risks. Performed checks on all employees, consultants, vendors, contractors, and third-party advisers against World Check Risk Screen, FinCEN list, and OFAC Specially Designated Nationals List (SDN) and Blocked Persons list.

Performed secondary analysis functions by reviewing preliminary findings, providing feedback, and highlighting derogatory information to ensure the final reports were comprehensive, compliant, and suitable for use in the client on-boarding decision-making processes.

Designated as Learning Coach and Cohesion Focus Group Representative.

JP MORGAN CHASE & CO 2/2006-6/2009

DUE DILIGENCE ANALYST – GS&I

●Responded to requests for information and/or action from Compliance Testing and Monitoring, Internal/External Auditors and Federal Regulators/Examiners in a timely fashion to resolve findings/recommendations.

●Performed assessments of new and existing Private Banking (PB) and Private Wealth Management (PWM) clients in US, LATAM and EMEA regions.

●Assisted in preliminary investigation responsibilities by verifying information of current and potential clients of the bank and other business groups.

●Conducted enhanced due diligence research in attempts to find derogatory/background information used to aid client advisors' decisions in initiating, maintaining, or closing business relationships.

●Gathered and manipulated data for routine business analysis and reporting purposes.

●Validated accuracy of client information and assisted with initial steps of KYC report preparation.

●Helped test functionality of new due diligence software/databases by identifying areas of improvement.

Education: UNIVERSITY OF PHOENIX 2011

MASTER OF BUSINESS ADMINISTRATION

THE COLLEGE OF NEW JERSEY 2003

BACHELOR OF ART; POLITICAL SCIENCE

Hudson County Community College 2021

Project Management Certification

Certification/Licenses: Project Management

Skills: Microsoft Office Suite (Outlook, Excel, PowerPoint, Project) Mainframe System LexisNexis Research System Dow Jones/Factiva Bridger OFAC Choice Point Salesforce CRM World Check SAP

Reference available upon request

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