Quality Control Bsa Aml

Adaora Theresa Okekeocha

**********@*****.*** 614-***-**** 16923 kilgarth Dr, Richmond Texas, 77047

PROFESSIONAL SUMMARY

Experienced KYC Quality Control Analyst with 10 years of experience in performing quality control review of KYC files submitted by the KYC onboarding team to ensure compliance with the BSA/AML Policies and have expert knowledge of BSA/AML laws and regulations relative to money laundering and terrorist financing, ability to apply this knowledge in assisting client KYC profile and a good understanding of AML, KYC, BSA, OFAC, and regulatory policies.

Knowledge & Skills Areas

Knowledge of BSA/AML laws and regulations.

Microsoft office suites.

Knowledge of established bank procedures & regulatory requirements.

Knowledge of various computer systems used for performing & documenting investigations.

Ability to maintain effective working relationships with key business partners.

Good understanding of AML, KYC, BSA, OFAC, and regulatory policies.

Certified Anti-Money Laundering specialist.

Data Analysis, Auditing, Analytical, Import & Export Logistics.

Networking, knowledge of filing SARs and CTRs.

PROFESSIONAL EXPERIENCE

JPMorgan Chase Bank, Houston Texas

Global Financial Crimes and Compliance

KYC/AML Quality Control Analyst II (March 2015 – present)

Perform Quality Control review of KYC files submitted by the KYC onboarding team to ensure compliance with the BSA/AML policies and procedures.

Interact with the KYC onboarding team, and other line of business partners to resolve and/or escalate case issues.

Perform quality review and provided feedback to analysts on findings and coached analysts on their rationale to ensure it met KYC and Consumer AML standards.

Provide expert AML and KYC guidance to the existing KYC/AML onboarding team and other key lines of business.

Provide coaching and guidance whilst identifying learning opportunities and training objectives to the KYC onboarding unit team.

Determine additional steps required to decision and validate AML risk to the firm.

Interact with Analysts, other line of business partners, and AML Compliance to

resolve and/or escalate case issues.

Accurate quality review and Coach Analysts towards the research and analysis

rationale and conclusion to ensure the case meets KYC and Consumer AML standard.

Partner with Team Manager, Operations Management Team, and AML Compliance to

develop and improve procedures and the reporting and tracking of Quality and

productivity statistics.

Identify and remedy defects within the production process.

Recommend, implement and monitor preventative and corrective actions to ensure that quality assurance standards are achieved.

Compile and analyze statistical data.

Ensure that user expectations are met during the testing process.

JPMorgan Chase Bank, Houston Texas

Global Financial Crimes and Compliance

Consumer KYC AML Analyst (Oct 2010 – March 2015)

• Knowledge of regulatory rules and regulations relating to Anti-Money Laundering

• Stay aware of current policy and procedures for Retail Clients

• Remain updated with current Patriot and Bank Secrecy Act’s guidelines

• Monitor Politically Exposed People to ensure they are not funding terrorists’ accounts

or participating in Anti-Money Laundering

• Remediate all high risk transactions for Consumer Accounts and determine their

legitimacy

• Stay aware with current events and when new countries have been determined to be

high risk

• Conduct due diligence and enhanced due diligence on Consumer Accounts by

reaching out to clients or other Lines of Business to retrieve information

• Send letters, emails or other forms of communication when attempting to perform due

diligence

• Follow up with clients or other LOBs as needed until the case has been closed

• Clearly articulate the purpose of the remediation to the clients as well as other

colleagues and Upper Management

• Implement methods to remain in compliance and make or suggest changes when

necessary

• Interpret and apply external regulations and internal policies when reviewing cash,

wire and velocity ensuring that they are in compliance with the law

• Work with multiple systems to retrieve information simultaneously while remaining

accurate and being consistent

• Demonstrate independent judgment with high accuracy doing problem solving

activities

• Confident in recommending or suggesting new processes to streamline current methods

used

• Handle escalated issues while performing high quality tasks

• Prioritize, maintain work load and remain current with required training

JPMorgan Chase Bank, Columbus/Westerville Ohio

Risk Operations Analyst I & II & III (June 2007 – Oct 2010)

• Ensured that regulatory, legal, bank and audit requirements are met

• Stayed current with the Patriot and the Bank Secrecy Act guidelines

• Researched and analyzed account closures and identify suspected fraud

• Supported various departments and the call team by restricting and setting accounts for

closure

• Conducted funds verifications for accounts that are pending closure

• Contacted paying banks to check the status of deposited checks before funds are

Released.

• Worked requests received through electronic mailboxes and events in Closing Desk

• Responsible for various off phone processes such as Claims Closures, ATM Check

Fraud Closures, ACH Risk Closures and other closure requests

• Handled the pending reopen events through Closing Desk and determine if accounts

are eligible to be reopened.

• Researched and resolve escalated issues related to checking and savings accounts

• Performed routine account activity review of risky transactions

• Followed standard procedures and action plans to reduce exposure on suspect items

and/or transactions

• Opened fraud or loss cases as necessary and ensure that case files are accurate and

complete with all appropriate dispositions and detailed notes

• Documented the review and investigation process followed for each account reviewed

and preparing various documents, reports and system entries as necessary for financial

entry, certification, reporting and statistical purposes

• Responsible for publishing Fraud Alerts accurately for all of the Retail Chase

Branches to prevent Fraud from taking place within the allotted timeframe

• Responsible for researching and completing complicated cases and able to

communicate my results to Managers and other Line of Businesses (LOB)

• Performed other special projects and duties as assigned

• Determined when customers or accounts are eligible to be removed from Chexsystems

when requests are submitted

• Acted responsibly in pursuing these objectives, but in a manner that will not

Inappropriately disrupt JPMorgan Chase's relationship with its customers.

Education: Franklin University Columbus, OH - 2011

Human Resource Management (BSc) Program

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