Abroad Attorney/LL.M. Master in U.S. Law - Senior Legal Consultant
Resume:
Jorge Orlando Suarez
480-***-**** Gilbert AZ ****6 adwvhh@r.postjobfree.com
Abroad Attorney/LL.M. Master in U.S. Law - Senior Legal Consultant - Compliance Analyst Investigator/Financial Crime with over 6+ years of experience identifying fraud and mitigating risk for financial institutions, government agencies and the insurance industry. Have Extensive experience and knowledge of Anti-Money Laundering (AML), Bank Secrecy Act, monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control teams. Recognized for ability to research all angles and clearly document the risk and corrective action required. Customer Identification Program, Comprehensive and knowledge of AML, OFAC, BSA regulations. English and Spanish: advanced proficiency level. Areas of expertise include:
· Bank Secrecy Act · Anti-Money Laundering (AML) · Customer Due Diligence (CDD)
· FinCEN 314(a) & (b) · Enhanced Due Diligence (EDD) · Know Your Customer (KYC) (PKR)
· USA Patriot Act · High Risk Customer Identification · Financial Crimes Compliance
· Financial Risk · Risk Management Analyst · Risk Models and Support Risk Programs PROFESSIONAL EXPERIENCE
Western Alliance Bancorporation – Phoenix, AZ January 2023 — March 2023 Senior Enterprise Risk Management Analyst – Strategic (HYBRID) As a Senior Strategic Risk Analyst, I played a key role in supporting the due diligence, risk evaluation, and monitoring of new/modified/expanded products and services. Reporting to the Director of Strategic Risk Initiatives, actively curious, ready to challenge the status quo, able to comprehensively synthesize and communicate information, as well as driven to continuously improve. The Senior Strategic Risk Analyst will be expected to effectively collaborate with key stakeholders across the Three Lines of Defense to ensure risks are managed effectively, in accordance with company policies and related regulatory requirements.
Coordinating the risk evaluation process across relevant 1st and 2nd Line of Defense teams to ensure appropriate challenge and complete due diligence has taken place to identify potential risks and mitigates.
Partnering with business owners and project management to ensure risk mitigates are appropriately captured and completed through program/project requirements.
Preparing management reporting across the due diligence, risk evaluation and monitoring lifecycle of new/modified/expanded products and services.
Driving continued enhancements in the due diligence, risk evaluation, and monitoring of new/modified/expanded products and services.
Supporting broader development and implementation of the Bank's Strategic Risk framework/controls in line with regulatory expectations as well as industry best practices. Upgrade Inc. – Phoenix, AZ. April 2022 — November 2022 Sr. Financial Crimes Analyst (REMOTE- CONTRACT - Aston Carter) As a Senior Financial Crimes Analyst help to reduce the likelihood of and prevent these crimes from occurring, bribery, fraud, money laundering, trafficking and smuggling are all types of financial crimes. While a small population of potential customers may attempt to engage in these prohibited acts, my analyst work hard to prevent nefarious activities from occurring within our business. Preventing financial crime is also integral to the company’s reputation and the security of our customers.
Complete reviews of customers and transactions flagged by the Bank’s automated monitoring system(s), manual reports, and/or referrals
Understand the risks and KYC/AML and fraud typologies that are presented by Upgrade’s product offerings and services, including its loan and deposit products
Conduct KYC research using internal and external sources to help determine if escalation is warranted
Ensure annotations include a detailed disposition as to why an alert is being closed or escalated for further review
Retain records of all information relied upon to complete a disposition of an alert
Close false positives and alerts that do not indicate potentially suspicious activity in a timely manner
Escalate potentially suspicious activity and high risk customers for further review Jorge Orlando Suarez
480-***-**** Gilbert AZ 85296 adwvhh@r.postjobfree.com Bank of the West –Tempe, AZ. (REMOTE – CONTRACT – Aditi Consulting) October 2021 — March 2022 KYC Analyst II Operations - Controls & Governance CCB Customer Onboarding Compliance Analyst to plan, direct, and coordinate operations of to ensure compliance with ethical or regulatory standards in Banking -
KYC (Know Your Customer) Analyst primarily reviews documentation for new customer accounts, evaluates high-risk accounts and analyzes new customer processes and policies
Communicate regulatory information to multiple departments and ensure that information is interpreted correctly.
Maintain documentation of compliance activities, such as complaints received or investigation outcomes.
Conduct the internal investigation of compliance issues. Identify compliance issues that require follow-up or investigation.
Reporting violations of compliance or regulatory standards to duly authorized enforcement agencies as appropriate or required.
Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.
Acted as a subject matter resource on the KYC/AML policies and procedures as well as advise in formulating and writing policies and procedures Participate in annual AML discussions with clients.
Discussed and escalated with Compliance complex issues surrounding client types and structures, financial products and services, and other AML risk-related issues.
Investigated names and accounts provided by multiple sources based on the AML Compliance office policies and procedures Review and analyze KYC data gathered to assess reasonable cause to advance an alert for an investigation Conducted due diligence searches, gathered data, and recorded evidence from internal systems, the internet, and third- party databases (Actimize and World Check).
Conducted periodic reviews of Special Category Customers, such as PEPs and other high-profile individuals. PricewaterhouseCoopers LLP (PwC) –New York, NY. April 2021 — September 2021 AML QC ANALYST - Banking and Capital Markets (REMOTE - CONTRACT MBO Partners) Criminal and Fraud Investigations/Financial Crime Cases in accordance to policy and procedures, applies investigative techniques; interview, interrogate, validate information and prepare clear and concise high-volume case reports of fraud/loss events. Provides reporting and/or information to other business partners including Risk Event Notifications and Reports. Also coordinates investigations with financial institutions and law enforcement
Analyze documentation and document issues and clarification points.
Participate in required AML/BSA training as assigned.
Participate as a member in the broader program team, including town halls, team meetings and other program events.
Understand and execute predefined alert review procedures to complete review of assigned alerts while meeting the quality standards defined by the project.
Understand and refer to relevant project guidance and training materials, and know when to ask questions and share relevant knowledge as appropriate with the broader AML analyst team.
Be able to organize tasks, plan time efficiently, and adapt as needed to adhere to pre-defined completion targets as communicated by project leadership on ongoing basis. Mitsubishi UFJ Financial Group (MUFG) – Tempe, AZ October 2019 — December 2020 BSA - Compliance Analyst – (REMOTE)
Responsible for high level Corporate Investigational Cases, completing both internal and external financial crime to ensure that any potentially suspicious transactions, activity or crimes against the bank are appropriately identified within specified timeframes and decisions to file or not to file SARS are adequately supported.
Performing independent review and analysis on moderate to high risk individuals, entities and Politically Exposed Persons
(PEPS to ensure compliance with the Bank Secrecy Act (BSA) and the US Patriot Act.
Direct responsibility for quality and integrity of research and analysis completed and documented via Know Your Customer forms or within various databases.
Jorge Orlando Suarez
480-***-**** Gilbert AZ 85296 adwvhh@r.postjobfree.com
Identify emerging risk issues and recommend course of action on most events and escalate to the management.
Reviews complex and risky client situations and provides negative findings to management to evaluate potential risk to the Bank.
Maintain the enhanced due diligence program, and conduct and document ongoing transaction reviews and monitoring of high-risk clients. Conduct quality control assessments of transaction monitoring alerts, ensuring policies, procedures and regulatory compliance requirements are appropriately followed by bank systems supporting the BSA/AML process including ESB, OASIS, CITRIX, and RCIF.
American Express – Phoenix, AZ May 2019 — September 2019 Compliance Analyst – (CONTRACT – Collabera)
Responsible for high level OFAC Investigational Cases, supporting a team that performs complex, multi-jurisdictional intelligence analysis, reviews, investigates and delivers an engagement model for relevant external parties and internal parties to identify new typologies, initiatives and best practices.
Compliance / Sanctions Analyst in criminal and fraud investigations within the Global Security Operations of American Express. Specialize in AML, EDD, and KYC.
Performed comprehensive screen processes in the Financial Intelligence Unit (FIU) to identify all existing and potential account relationships with Global Sanctioned Persons & Entities and Politically Exposed Persons (PEPS).
Reviewed client portfolios to research and respond to FinCEN 314 (a) & (b) requests in accordance with the USA Patriot Act.
Specific responsibilities include performing Anti Money Laundering (AML) using Enhanced Due Diligence (EDD) research, collaborating with lines of-business and coordinating special projects.
Enhanced Due Diligence (KYC/EDD) Team with the specific responsibilities of assessing client BSA/AML risks both at initial on boarding and throughout the duration of the client's relationship.
Conducting Sanctions and Politically Exposed Persons screening in the enterprise screening tool.
Produce detailed analysis and summary of customer and transactional activity and, when appropriate, refer suspicious activity to the SAR process and/or recommend accounts for termination.
Demonstrate a keen attention to detail in investigation, analysis and writing. State of Arizona Department of Child Safety Phoenix AZ February 2019 — April 2019 Legal Consultant – (CONTRACT – Abacus)
Provided direction a variety of computer-based systems, search for required legal documents.
Review and interpret language in legal documents to assure it meets statutory requirements.
Accurately update fields in PSRT database based on information found in legal documents.
Be able to track multiple tasks and outstanding items for follow up until resolution is reached.
Communicate with internal and external stakeholders to gather information and resolve problems.
A DCS Case Aide works in collaboration with the case management team, and provides a variety of services to families and children in various social service programs
Assisting DCS Case Managers with filing, disclosers, packets, case notes, etc.
Entering case notes into the computer-based Case Management System Wells Fargo Tempe, AZ October 2018 — January 2019
Robert Half Legal – (CONTRACT – Abacus)
Legal Operations Processor - Writs & Levies
Legal Order Processing’s Writs and Levies responsible for providing support and action pertaining to child support, taxes, as well as writs of garnishments from civil suits, liens, levies, and search and seizure warrants against bank accounts served on Wells Fargo Bank N.A.
Support various operational tasks relating to subpoenas, levies and other legal documents representing Wells Fargo
Seek ways to improve customer service experience and determine proper course of action based on customer needs
Perform moderately complex administrative, operational and customer support tasks Jorge Orlando Suarez
480-***-**** Gilbert AZ 85296 adwvhh@r.postjobfree.com
Negotiate with external customers to assure resolutions and deadlines are met
Receive direction from supervisor and escalate non-routine questions
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirement CAAFA – Apache Junction, AZ April 2018 — October 2018 Legal Advocate
As a Legal Advocate I investigated circumstances of clients’ case. Assist Participants with intake and key discovery. Complete intake and needs assessment of participants, assist with their safety planning. Build relationships and work cooperatively with other agencies. Provide assistant in completing and filing documents in different agencies and departments, either on paper or electronically as required. Facilitate outreach presentations to community members and potential clients. Produce filings, preparing affidavits. Maintain program participant files in accordance with legal and grants. Answer incoming calls and assist in handling high volume phone lines.
advising victim of legal rights
Providing services, create a supportive environment, and interact with participants, and their children, in a manner that builds on their strengths Provide Case Management
Work cooperatively with other agencies that provide services to victims of domestic and sexual violence
giving notification of court hearings
Critically analyze situations and respond on a case-by-case basis
Maintain program participant files in accordance with legal and grant requirements, complete all intakes, progress notes, and/or closures during prescribed timeframes
Provide educational components on domestic violence, sexual violence, financial literacy, and other topics
Accompanying victims to court upon request
Aiding in obtaining restitution (where applicable)
Providing referrals for necessities such as food, medical, clothing, safe house, lock changes, storage, etc. . . .
Helping victims obtain order of protection/injunction against harassment Criminal Defense Attorney / Consultant – Bogota D.C. Colombia July 2013 - June 2017 Solo Practice
Crafted legal instruments for team of attorneys and prepared for trials using interviews, presentations and jury selection.
Maintained relationships with investigators by collecting facts and evidence, obtaining documents by subpoena and negotiating with prosecutors, probation officers and victims.
Tried cases from petty theft to gang related felonies for private, paid clients and indigent citizens.
Worked with clients to prepare and attend revocation hearings, bail bond hearings, trials, plea bargains, appeals and post-conviction programs.
Developed strategies to resolve cases in client's best interest.
Conducted legal research and conferred with colleagues with subject matter expertise to develop strategies and arguments in preparation for presentation of cases.
Managed high-volume caseload in most populous and demanding circuit. Attended hearings as representative of corporate entities and firm clients. Worked with management and staff to resolve pre-litigation disputes. EDUCATION
Master of Laws (LL.M.) U.S. Law May 2019
Certificate in Negotiation & Dispute Resolution (LL.M. for International Lawyers) Washington University School of Law, St. Louis, MO Jorge Orlando Suarez
480-***-**** Gilbert AZ 85296 adwvhh@r.postjobfree.com Postgraduate Specialization Criminal Law, Economic Law, Corporate and Financial Crimes November 2016 Politecnico Grancolombiano, Bogota D.C., Colombia
Diploma in Practical Aspects and Trends in Registered Trademarks, Patents, Corporate Secrets and Know-How Politecnico Grancolombiano, Bogota D.C., Colombia February 2015 Bachelors Degree of Laws (LL.B.) October 2015
Politecnico Grancolombiano, Bogota D.C., Colombia
TECHNICAL SKILLS
Legal Research: Lexis/Nexis/Westlaw, Thomson Reuters CLEAR, Bloomberg Law, Fastcase Regulations: AML, BSA, KYC, FCID, OFAC, FINRA.
CRM: Actimize, LexisNexis/Risk Solutions, RDC Review Smart Screening, Informatica, FocalPoint, RCFI or Frames, NetQuery, mPOWER, SMART, OASIS, FileNet, SAS Information Delivery, SAS Enterprise Case Management, InterAction, Aderant, Time Matters, Microsoft 360, Word, Excel, PowerPoint, and Outlook & Skype for Business. ADDITIONAL RELEVANT EXPERIENCE AND INFORMATION
Skynet Limousines LLC – Scottsdale, AZ 1999 - 2013 Limousine Owner -– Managing Partner -– Professional Chauffeur Experienced and dependable Limo Driver with a stellar record of customer satisfaction; safe smooth and efficient Chauffeur with an excellent record of employer satisfaction; driver with a spotless record who maintains equally spotless vehicles; gives every passenger sterling VIP treatment; flexible scheduling availability including weekends evenings and at very short notice, vast experienced and reliable Driver with vast experience working in the transportation of goods and passengers; adept in safe driving practices and traffic laws; bringing forth a clean driving record as well as a career history full of satisfied customers and clients; experienced in performing maintenance and minor repairs on vehicles; committed to the safety and successful transportation of goods, passengers, and vehicle; work for celebrities, high-income clientele, athletes, movie stars, and businessmen.
Complete knowledge of Statewide and local streets geography including routes to hotels, airports and venues
Excellent grasp of transportation laws
Actively participated in resolving any passenger issues or complaints Professional References
Jeff Conly
Vitesse Worldwide
Sr. VP of Operations Vitesse Worldwide
adwvhh@r.postjobfree.com
Alexander Gomez Hanks
Attorney at Law
adwvhh@r.postjobfree.com
Amanda Nelson
Attorney at Law
Attorney at Nelson & Sullivan –
CSAA Insurance Group, a AAA Insurer
linkedin.com/in/amanda-nelson-462baa74
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