High School Anti-Money Laundering

John R. L. Peterson

803-***-**** *********@*****.***

Professional Summary

Detail-oriented and analytical professional with over a decade of experience in risk management, anti-money laundering (AML), financial crimes due diligence, and regulatory compliance. Proven success in leading operations, managing complex investigations, and collaborating with internal stakeholders to mitigate risk. Adept at data analysis, audit documentation, and compliance reporting across large financial institutions. Recognized for high attention to detail, cross-functional leadership, and client-focused escalation management.

Professional Experience

LPL Financial- Fort Mill, SC

Repapering Analyst

April 2025 – August 2025

- Ensured new brokerage, trust and estate accounts were accurately uploaded correctly

- Refreshed the accounts using excel spreadsheets utilizing the pivot table format.

- Provided the (TSP) transition support partner weekly reports advising the risk and compliances of accounts being transitioned.

Bank of America – Charlotte, NC

Global Ops Officer, AML Refresh – Ops Professional MKTS

February 2023 – November 2024

- Ensured compliance with global AML policies and regulatory standards across multiple jurisdictions.

- Monitored daily account activity for high-risk clients and sanctioned entities; flagged suspicious transactions and supported escalation procedures.

- Served as a key point of contact for operational escalations and client inquiries.

- Led initiatives to streamline operations, reduce risk exposure, and improve data quality.

- Delivered high-accuracy data reporting and contributed to complex due diligence reviews.

Wells Fargo Home Mortgage – Charlotte, NC

Loan Documentation Analyst III / Team Lead

December 2013 – February 2023

- Managed documentation teams to support high-volume loan servicing operations and mitigate risk during judicial processes.

- Conducted legal and compliance reviews of mortgage documentation, ensuring alignment with regulatory requirements.

- Led special projects involving reconciliation of complex loan accounts and transaction history.

- Produced internal and external trend reports to support audit readiness and business unit performance.

Executive Resolution Specialist IV

- Investigated and resolved escalated customer complaints related to mortgage products and services.

- Identified transaction patterns and anomalies on high-risk accounts; provided escalation reporting on global screening activity.

- Served as SME for onboarding and training of new team members in ECMO support functions.

Loan Verification Analyst II

- Reviewed and executed legal documentation related to foreclosures; served as Vice President of Loan Documentation.

- Coordinated with internal legal teams and external attorneys to support litigation and compliance functions.

- Participated in reconciliation audits, pilot programs, and internal peer reviews.

Research Remediation Associate

- Conducted investigative reviews on loan accounts to assess foreclosure rescission eligibility.

- Communicated with legal, investor, and business partners to ensure timely and accurate resolutions.

- Generated comprehensive reports to identify risks and recommend corrective actions.

Education

North Carolina Central University – Durham, NC

Completed coursework in Computer Science (January 2003 – April 2003)

Core Skills & Tools

- Risk & Compliance: AML, Financial Crimes, Regulatory Reporting, Due Diligence, Escalation Handling

- Software & Systems: Excel, PowerPoint, SharePoint, MSP, LPS/Desktop, Valeri, DAISY, Pacer, Aacer, AWARE

- Tools & Platforms: Web Direct, Investor Matrix, CIV, MARS, GPS, SEC Website

- Process Management: Audit Prep, Transaction Monitoring, Quality Assurance, Data Analysis

- Leadership: Team Management, Project Oversight, Training & Development

References

Available upon request.

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