Quality Control Assurance

MILDRED SSENNYONDO

********@*****.***

917-***-****, Waldwick NJ

OVERVIEW:

A seasoned, results driven and certified AML professional in the financial services industry, with remarkable experience in conducting AML Risk Assessments, AML investigations,Transaction Monitoring, Enhanced Due Diligence, Quality Assurance reviews, and managing & training teams. Indepth understanding of OFAC, US Patriotic Act and FINCEN requirements. KEY COMPETENCIES:

Time Management

Team Building & Leadership

Actimize, Lexis Nexis,

Communicational skills.

Investigative & Analytical

Quality Control & Assurance

Risk Assessment

KYC Policy & Procedures

Anti-money Laundering

Transaction Monitoring

SAR Drafting

Bank Secrecy Act

PROFESSIONAL EXPERIENCE:

Banca Intesa- Sanpaolo SpA (People 2.0) New York, NY Contractor, AFC KYC Analyst (KYC Compliance Advisory Unit) (05/2022- 09/2024)

• Assist in managing the Bank’s comprehensive KYC Program, updating global KYC/CIP/EDD requirements, policies, procedures and Training modules.

• Subject matter expert in Financial Crimes area, handling AML/KYC inquiries from the front office and other stakeholders.

• Conduct Quality control review for Corporate & Investment Banking clients regarding Negative Media, PEP and Sanction hits.

• Assist with internal audits & Fed regulatory inquires and managing special projects.

• Prepare & deliver production metrics reports to senior management. Sumitomo Mitsui Banking Corporation (Ettain Group), Jersey City, NJ Contractor, AML Testing & Monitoring (FIU & KYC Unit) (03/2021- 11/2021)

• Identify, test, and evaluate related controls and procedures; with testing plans and scripts to determine that business procedures and controls are designed appropriately and operating effectively.

• And document findings to communicate with process owners and senior management.

• Assist in collection and analysis of quantitative and qualitative Risk Assessment data.

• Perform full-scope reviews, targeted reviews, and / or special projects and related tasks from KYC, Sanctions & FIU, as directed by the BSA /AML QA Testing Director; and perform validation and closure of issues identified during tests. Société Générale (Phyton Talent Advisors), Jersey City, NJ Contractor, AML KYC Quality Control Case Lead (04/2018- 12/2020)

• Conduct Quality internal control checks, risk assessments for completed KYC files for Investment & Private Banking; and Foreign Correspondent Banking clients; in line with Bank’s policies and procedures.

• Proactively highlight Audit and Compliance issues and ensure that all existing Audit, Permanent Supervision or Compliance recommendations are closed out in a timely manner. JP Morgan Chase & Co- Brooklyn NY

KYC Case Lead Quality Control Team (03/2015- 02/2018)

• Performed internal control analysis of existing accounts/customers as per regulatory requirements and utilized report findings for process improvement and procedure enhancement.

• Conducted enhanced due diligence and risk assessment for High-risk clients. State Street Bank & Trust Company- New York, NY

AVP, AML Analyst (11/2014-03/2015)

• Review contracts/ formation documents, and approve new business risk assessment & KYC process, for new business products; and escalate unusual activity to Senior Management. JP Morgan Chase & Co- New York & Texas

Team Lead, AML Investigator (11/2011- 11/2014)

• Managed a Team of 25-30 AML analysts, achieving a weekly production of over 500 cases.

• Utilized the case management system (ACTIMIZE) to conduct investigations from begining to completion, customer risk assessment, review of negative media, OFAC hits, transaction monitoring & surveillance generated alerts for High-Risk customers from various lines of businesses such as Consumer, Business Banking, and Wholesale Banking; and determined whether client's relationship should be maintained or exited.

• Drafted SARs inline with FINCEN requirements and policies and guidelines. EDUCATION & CERTIFICATIONS:

CAMS Certification: Since Dec 2012- current.

Master of Sciences in Banking & Finance, Mercy College; New York. Bachelor of Sciences in Finance, Makerere University; Kampala, Uganda. EXTRA CURRICULAR ACTIVITIES:

Personal Interests: Lifelong table tennis competitor and 1999 All Africa Games Bronze medalist. Volunteer in the development of education and sports talent in schools.

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