Biz Mgmt, Corp Compliance Analyst, Fraud Investig, Project Coordinator

DORI MANTHEY

**** *. ******** **** ****, Scottsdale, AZ 85255

608-***-**** ~ **.**@****.***

QUALIFICATIONS SUMMARY PROFILE

Highly multi-talented individual with extensive results-driven experience as a Corporate Compliance Analyst and Investigator with 10+ years in Criminal and Fraud Investigations and cross-training in Project Coordination, Business Management and Operations Specialization. Proven ability to manage business with high-stakes investigations, streamline compliance protocols and cooperate with internal and federal agencies. Has exceptional collaborative and interpersonal skills; a driven and confident committed team player with well-developed written and verbal communication abilities, including engineered specifications on project plans and business correspondence. Compassionate and inventive creator of innovative strategies and has successfully demonstrated performing in deadline- driven environments with a high emphasis on targeted resources in the corporate operations business world. PROFESSIONAL EXPERIENCE

U.S. Bank - Tempe, AZ

BSA/AML Fraud and Compliance Analyst 2024-2025 (Contract)

Accountable for fulfilling the Bank Secrecy Act/Anti-Money-Laundering requirements through identification and investigation of suspicious activity. Analyze alerted customer account transactions to detect suspicious activity and make decisions on appropriate action to take. Works cooperatively with business line to establish procedures for identifying suspicious customer transactions, specific to money laundering, including the proper method for reporting such activity to the AML group. Provide guidance, support and recommendations to business lines regarding customer AML risk ratings and account activity. Based on the outcome of the investigation, analyze and determine whether a Suspicious Activity Report (SARs) must be filed with the Federal Government for any identified suspicious activity.

Also accompanies with internal departments, financial institutions and local, state or federal authorities to obtain and analyze necessary information by using proficient knowledge of the bank’s operational policies, procedures, products and services including; multiple PC- based software programs and Microsoft Office applications such as Windows, Word, Excel, etc. and applicable business line systems. Fry’s/Kroger Foods - Scottsdale, AZ

E-Commerce Retail Marketing Specialist 2022-2024

Accountable for retail sales of E-Commerce online services and products, for the ultimate customer service shopping experience. Also promoted daily advertising and marketing sales incentives and initiatives to all customers, for quick and easy online shopping. Wells Fargo - Chandler, AZ

AML Intake and Research Fraud Investigator 2022 (Contract)

Accountable for Employee Relations related investigations including; Anti-Money Laundering, anti-discrimination, harassment and retaliation to ensure related policies and procedures are in compliance with state and federal laws, policies and regulatory standards in banking. Lead in investigative research, complete root cause of data and compose reports of highly complex fraud and claims transactions and policy violations.

Also accountable for case management with high risk related to business processes to ensure if further investigation is needed, before routing to Internal Enterprise Investigations for disposition. Gathered comprehensive evidentiary materials and analyzed data from multiple software programs and resources. Also conducted evaluation of complex data to detect patterns, trends, anomalies, and schemes in transactions and relationships across multiple businesses. Vound Software - Scottsdale, AZ

Client Success Manager 2021-2022

Accountable for Business Account Management for a leading global vendor of technology used for end-to-end forensics, eDiscovery and early case assessment. Conducted client communications and inside sales with upgrades and renewals on various Intella and W4 forensic software products and maintenance contract agreements. Bank of the West - Tempe, AZ

Corporate Compliance Investigator 2021 (Contract)

Accountable for planning, directing and coordinating investigational operations to ensure related policies and procedures are in compliance with ethical or regulatory standards in banking. Maintained internal documentation of compliance activities and issues, such as complaints received or investigational outcomes. Filed appropriate SAR reports on any violations to regulatory and duly authorized enforcement agencies as required. Conducted periodic internal reviews and audits to ensure that compliance procedures were f ollowed. Also consulted with corporate attorneys and management as necessary to address difficult legal compliance issues. Wells Fargo - Phoenix, AZ

Quality Assurance Analyst - Internal Investigations 2021 (Contract)

Accountable for due diligence research in multiple databases within the Conduct Management Department. Handled all internal investigational cases for a variety of different employee risk and misconduct issues. Documents investigatory evidence and information from internal systems, emails, ICMP, etc. and routed to Internal Enterprise Investigations for disposition. Responsible for using excellent communication skills to interpret policy for writing and representing alleged misconduct narratives correctly, before sending supporting documentation to investigators. Also generated fact-based summaries of each misconduct claim. MUFG Union Bank - Tempe, AZ

Fraud Investigator 2020-2021

Accountable 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. 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 coordinated investigations with financial institutions and law enforcement; LEA personnel. MUFG Union Bank - Tempe, AZ

OFAC Investigator 2019-2020 (Contract)

Accountable 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. Accountable for leadership, working collaboratively with regional intelligence and analytics staffing to ensure a globally and regionally consistent effort that enables the proactive identification of control weaknesses and financial crimes risk for escalation and mitigation.

Also accountable for supporting the Head of GCI, whose mission is to proactively identify financial crime risk through global complex OFAC investigations. Aids in the execution and ongoing compliance with Global Transaction Monitoring, SARS and Global Correspondent Banking Standard for AML transaction monitoring, using programs related to BSA, AML and OFAC. MUFG Union Bank - Tempe, AZ

Wire Services OFAC Compliance Analyst 2019 (Contract)

Accountable for high level of OFAC review, research and investigation of wire transactions received and transmitted through the GFT System using a specialized function with high risk restrictions/impact to the bank. Assists with resolution of minimal impact exception items and participates in systems upgrades, UAT, DR related to ACE OFAC Guard, including various aspects of OFAC compliance reporting. Responds and documents issues and present recommendations to the manager and processes work associated with assigned unit in the areas of quality performance and limits risk. Ensures compliance with department policies, procedures, objectives and strategies, responsible for adherence to applicable State, Federal and US Regulations including UCC4A, OFAC, FDIC, BSA and EFTA. American Express - Phoenix, AZ

AML Compliance Analyst 2017-2019 (Contract)

Accountable for comprehensive screening process in the FIU Department to identify all existing and potential account relationships with Global Sanctioned Persons & Entities and PEPS, which is conducted by the FIU-Global Sanctions team, using enterprise screening tools. Specific responsibilities include performing AML using EDD research, SARS, collaborating with lines-of-business and coordinating special projects. Also works with various teams across the country, including Market Compliance Officers and line-of-business representatives. Arizona Department of Revenue - Phoenix, AZ

Criminal Investigator - Auditor 2016 (Contract)

Accountable for the prevention of fraudulent state tax returns by referring to a systematic and independent examination of Criminal Investigations. Inputs data and internal information into computer filing tracking systems. Also conducts further investigations through phone contacts and resolves tax return issues with successful, prompt and courteous resolutions. Arizona Research Center - Phoenix, AZ

Director of Recruiting and Coordinating Manager 2015

Accountable for developing and executing the recruiting process for the clinical research studies. Coordinate and implement clinical study initiatives by providing specific phone screening questionnaire for each individual study to the appropriate qualified candidates. Also conducts administrative duties by scheduling appointments for patients, doctors and medical coordinators, filing patient data into the computer system and daily follow up calls.

EDUCATIONAL BACKGROUND

Bachelor of Fine Arts Certified Nursing Assistant

Milwaukee Institute of Art and Design, Milwaukee, WI Madison Area Technical College, Madison, WI TECHNICAL SOFTWARE PROFICIENCY

CompTIA Computer IT Network Security Information Technology TTY Career College, Phoenix, AZ Madison Area Technical College, Madison, WI

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