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Aml-Kyc/Edd/Alerts/Trans Monitoring/Ba/Team Mgr/ Prj Mgmt

Upper Saddle River, New Jersey, 07458, United States
March 18, 2012

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CHARLES G. HUMBLIAS (C) 201-***-****



TD Bank Group North America - Contractor BSA/AML/ Consultant 6/11-present

• remediate bank records for current information, data verification and gap analysis; and

• Analyze wires, transaction history, and risk elements for a variety of private banking cases; and

• Apply remediation protocol compiling and verifying EDD information via multitasking between systems to document findings, prepare narrative and complete CIP/KYC requirements utilizing four unique applications concurrently; and

• Interfacing with relationship managers to resolve information gaps, outdated data, and deficiency issues; and

Wachovia/Wells Fargo - Contractor 2/2009- 4/2011

Transaction Activity and Monitoring - Correspondent Banking

• Review of account alert transactions to detect questionable activity including but not limited to money laundering, terrorist financing, and potential fraud; and

• Interacting with business lines to determine validity of entities and establish commercial purpose of subject transactions; and

• Prepare comprehensive case summary drafting suspicious activity for escalation; and

• Responsible implementing methodology and procedures utilizing Excel tracking completion process reporting.

KYC Activity - Wealth Management

• Gathered and audited KYC/CIP client data identifying missing documentation to department head(s) for trusts, estates, corporations, limited partnerships, and investment companies to reduce risk and alert respective stakeholders; and

• Request client information through appropriate business unit heads and relationship managers drafting memorandum of fact and investigative conclusions with recommendations.

WASHINGTON MUTUAL BANK - Contractor 1/2007- 11/2008

BSA/AML/USA-PA Consultant-Team Lead, Quality Control, Senior Analyst

• Responsible for performing quality control, reviews, and case management as team lead of analyst’s activity and;

• Analysis of suspect accounts with a focus on money laundering infractions using a combination of in house systems and internet research tools; and

• Preparing and tracking correspondence with bank officers for account RFI both in house and with corresponding institutions; and

• Review and research wire transactions and formulating disposition of accounts and status recommendation for push back, suspicious activity, or NFA.

NICE SYSTEMS, Inc. - Contractor 3/2006-1/2007

Provider of compliance and monitoring solutions

• Supporting a business team offering call center compliance solutions focused on recording and monitoring transactions, customer service quality and work force optimization; and

• Presentation of business case to all management levels of cost benefit analysis and ROI and;

• Formulating client discovery including analysis of current process and procedures, preparation of user needs, and business requirements document (BRD) in concert with IT; and

• In depth knowledge of a variety conventional and cloud based telecommunications support such as IP and SIP based solutions; and

• Project management of solution including tracking time, milestones and budget vs. actual.

Charles Humblias Resume page 2

NUANCE CORPORATION 7/2004 to 9/2005 Business Analyst and Project Management

Speech Technology

• Supporting a team engaged in business development opportunities for speech based automation solutions through voice recognition and analysis ; and

• Application of self-service and interactive voice response systems within financial services and telecommunications fortune accounts; and

• Excellent presentation skills with C level and department heads while liaising between stakeholders and information technology support; and

• Knowledgeable at formulating user business requirements documents and harmonizing with IT infrastructure and systems; and

• Experience with formulating UAT procedures for customer service self service applications both inbound and outbound,

Autonomy (formerly ETALK Corp. and Teknikron Infoswitch)

Senior Support Manger 1997 to 2004

Customer Relationship Management (CRM)

• Managed sales support, consultants and project leaders responsible for requirements analysis, ROI, Proof of Concept, proposal preparation, contract negotiations, solution delivery, and project management; and

• Assisted in creating and presenting sales campaign and proposed delivery solution plans addressing the needs of all stakeholders; and

• Communicated project goals and progress to group directors and mangers while maintaining IT liaison; and

• Directed implementation of call center suite of solutions to address inbound call management with companion desktop applications; and

• Experienced in the field of customer service satisfaction and surveys, analytics, and objectivity reporting for call center dynamics and personnel.


Pace University New York

B.A., Business Administration


• Excellent verbal and written communications skills with all levels; and

• Proficient in Excel, Word, PowerPoint, Visio, MPM, and; and

• AML/BSA education, knowledgeable regarding banking operations and systems (retail, global, institutional, wealth management, etc.), funds systems (Fed Wire); and

• Proficient in use of case management applications such as Manta, Star, Norkom and familiar with Actimize; and

• Experienced in the application of research engines and specialty products- i.e. Google search, LexisNexis (person info, negative news, D&B) , Dow Jones/Factiva, and more;

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