Office Manager Risk Analyst

Vincent G Calvaruso

Farmingdale, New York ***** (C) 516-***-**** *******@*******.***

Professional Summary

Financial Services Expert with a demonstrated history as a full-time Compliance Officer, Operations Officer and a Branch Office Manager in the boutique Broker-Dealer arena. Also, 7+ years' experience in the banking industry as a consultant with duties consisting of AML/KYC analytics. Acclamation: After becoming CAMS certified and taking over the AML Division at one of those financial services firms, FINRA remarked that there was a "vast improvement" in that firm’s AML Program.

Specialties

• Trade lifecycle • MS Office • Interacted with regulators and industry groups • Operations Specialist

• Lexis-Nexis • Trade support • Audits • Experienced with ACT, CAT Reporting, BlueSheets, Trade Surveillance, Email Review, 15c3-5 • Strong knowledge of general trading rules/regulations (SEC, FINRA, NYSE, Nasdaq, CBOE, etc.)

Licenses and Certifications

Series 7, SIE, 24, 52, 63, 65, 79, 99 and CAMS

Education

Bachelor of Arts / Master of Public Administration- Long Island University CW Post College, Greenvale, New York

Experience

VCExpress Financial LTD, Port Jefferson, NY Mar 2022-April 2023

Compliance Officer for start-up of new Broker-Dealer (Consultant)

• Set up the Firm’s new KYC/AML program.

• Accomplished creating the firm’s Written Supervisory Procedures (WSP).

• Completed their operations network for full implementation.

• Tested systems implementation for accuracy.

BBVA-BSI, Farmingdale, NY December 2021-Feburary 2022

KYC Analyst-BSI Customer Onboarding Department [COD](Consultant)

• Successfully onboarded institutional customers via BSI’s internal system in-line with its Workflow Checklist.

• Performed the required Customer Identification Program (CIP) findings discovered through the use of the Bank’s internal- regulatory filings (SEC EDGAR, Form ADV, FINRA, FinCEN, NYSE, Registries, WorldCheck, OFAC).

• Completed the Workflow checklist verifying account information for accuracy before submitting to the QA.

KPMG, Farmingdale, NY April 2021-November 2021

AML Quality Control Reviewer-Financial Intelligence Unit [FIU] (Consultant)

• As a Compliance Advisor, QC is a structured, after the fact onboarding review (or test) of transactions and controls.

• Conducted regulatory reporting activities in trade surveillance at an enterprise level-alerts were dispositioned.

• Performed a Risk Based approach by identifying, analyzing, evaluating and mitigating money laundering risks.

• Reviewed for prior Alerts (Risk Management alert levels), Cases, and SARS.

• Due diligence performed on profiled customer(s) and research conducted on counterparties)/non-counterparties.

• Utilized SharePoint / Actimize / Excel and LexisNexis for Alert reviews with in house communication via Skype or Slack.

Guidehouse (Credit Suisse project), Farmingdale, NY July 2020 – September 2020

KYC/CDD/EDD (Consultant)

• Performed client identification (ownership of account) and Phase III onboarding review. Included but not limited to the writing RFI/RFP so to identify additional controllers for the completion of response documents.

• Researched the Global List of Approved Regulators. If approved regulators unavailable, then further research was needed to locate a list of a Controller(s) on the account.

• Internal systems utilized were the Credit Suisse internal US/UK repositories for client document retention.

• SharePoint’s web-based platform was applied and PowerPoint’s presentation program for the resourcing of requisite documents were also used.

Lakeridge Capital Inc., Farmingdale, New York Dec 2019 – July 2020

Compliance Officer (Consultant

• General compliance, operations and auditing.

Richard James & Associates, Inc Syosset, NY Aug 2017 – Nov 2018

Branch Office Manager-Compliance Officer (Full-time employee)

• Completed trade surveillance, examining trade blotters, exception / activity reports, and trade orders daily.

• Conducted electronic communication reviews utilizing the Global Relay Site.

• Performed OFAC and MIS checks, including OATS reviews and corrections where necessary (COR Clearing FTP Server).

• Performed daily financial services oversight utilizing the COR Clearing platform (FTP Server);

• Completed Pre-Market / Post-Market Trades via BETA (Black screen)- including market servers, Thomson/SunGard.

National Securities Corp, Westbury, NY Mar 2014 – Nov 2016

Branch Manager-Compliance Officer (Full-time employee)

• Reviewed daily activity reports, incoming / outgoing wires, log in funds received by clients and submitting to corporate.

• Advised branch reviews of all trading activities (trade surveillance) for suitability purposes.

• Daily email monitoring of marketing and advertising materials displayed on social media profiles.

• Analysed trade surveillance involving cost to equity ratios, excessive trading, high turnover ratios in equities.

• Monitored and operated KYC / AML surveillance. Cyber security monitoring for potential cyberattacks.

Citigroup, Long Island City, NY Oct 2013-Jan 2014

Sr. Risk Analyst (Consultant)

• As a team member, conducted surveillance for the Fraud Investigations Unit (FIU) of all AML related queries/Issues from a look-back prospective during its review period.

• Reviewed SARs to determine either account retention or termination with follow-up of SAR maintenance and quality case assessments feedback provided to the Quality Control Officer.

• Capitalized on bank’s proprietary and external (FileMaker Pro Certified) database management systems and Actimize.

JP Morgan Chase, Brooklyn, NY Mar 2013-May 2013)

KYC Analyst for Quality Control-Fraud Investigations Unit [FIU] (Consultant)

• Conducted BSA / AML / KYC / Customer Due Diligence (CDD) reviews of Politically Exposed Persons (PEPs).

• Ensured alerts and name matches were reviewed and escalated daily.

• Reviewed source documents to analyse those transactions that seem unusual (suspicious).

• Performed investigations for the AML related queries/Issues from a look-back prospective during its review period.

Credit-Suisse, New York, NY Jan 2013-Mar 2013

Compliance Risk Officer (Consultant)

• Accomplished KYC / CIP Compliance functions involving investment banking, private banking, and asset management.

• Performed customer's screening through World-Check, Mantas, LexisNexis and OFAC sanctions list.

• Managed client onboarding verifying the identities and financial circumstances of prospective clients (CDD).

Capital One Bank (RIA Division), Melville, NY June 2012-Oct 2012

Compliance Risk Analyst (Consultant)

• Performed customer's screening through Compliance 11, Bloomberg, LexisNexis, and World-Check.

• Coordinated, monitored, and tracked the status of IARs securities and state insurance licensing, and renewing same.

• Conducted annual reviews and updates regarding Financial Advisors SEC Form ADV.

Salomon Whitney LLC., Babylon Village, NY April 2010 – Dec 2011

Chief Compliance Officer and Chief AML Officer (Full-time employee)

• Conducted trade surveillance, examined trade blotters, exception reports, and trade orders daily.

• Key responsibilities included internal and external audit coordination and issue follow-up with SROs. Administrated and completed FINRA audits (examinations) in a timely and efficient manner.

• Scrutinized all prospective account holders’ history against OFAC (Office of Foreign Assets Control) list and FinCEN (Financial Crimes Enforcement Network) reports. FinCEN 314(a)(b) requests and OFAC updates.

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