ELAINE L. LEE

OBJECTIVE: To obtain a contract or permanent position within a Compliance department of a financial institution and assist in its development.

WORKING KNOWLEDGE: Bank Secrecy Act, OFAC, AML institutional guidelines, and US Patriot Act

WORK EXPERIENCE

HSBC

February 2011 to November 2011

Contract Compliance Officer

• Analyzed transaction activity of overseas correspondent banking transactions

• Drafted due diligence and Suspicious Activity Reports when necessary

• Conducted enhanced due diligence investigations of transactions examining the customer’s customer in

high risk jurisdictions.

• Investigated international high risk jurisdictional correspondent banking transaction alerts

• Reviewed and analyze compliance monitoring reports and other related source documents for suspicious/unusual patterns of activity.

• Performed quality assurance review of due diligence investigations

• Tested metrics procedures

• Communicated to management ways to improve investigation protocols

• Utilize industry proprietary software to conduct investigations

• Provided compliance training for new team members

• Assisted in bank’s conversion and integration to new software platform

• Ensured significant issues identified are reported and escalated in a timely manner

• Assist management in furthering regulatory relationships.

• Assisted in coordination of monthly reporting metrics

• Review and monitor market regulatory development and trends

Standard Chartered Bank

Dec 2010 to January 2011

Contract US Country Compliance Supervisor

• Conducted due diligence reviews of correspondent banking transactions of high risk flagged parties

• Performed AML Investigations utilizing Norkom application and various peripheral supporting applications, i.e., search engines, proprietary database services (Lexis Nexis, World Check, Accuity)

• Performed quality assurance of transaction monitoring to identify suspicious activities

• Complete enhanced due diligence reviews on high-risk customers and Clients

• Analyzed transactional statistical data

• Assisted in the identification, prevention and detection of potential suspicious and/or unusual activities, transactions and/or customer behavior by performing transaction analysis, investigations, and monitoring account relationships.

• Supported TMU Head in developing controls and procedures relating to transaction monitoring

Aiden West Financial Mortgage

October 2009 – October 2010

• Conducted due diligence investigation of applicants

• Carried out varying levels of research to determine at risk cases

• Assist management in furthering regulatory relationships

• Timely reported and escalated significant issues to management

• Communicated with regulators and responded to subpoena and discovery requests

Morgan Stanley

May 2009 – September 2009

Contract Compliance Analyst

• File Remediation project of client files for due diligence

• Reviewed client transactions

• Updated client profiles by reviewing transaction history and account holders for negative news using database research

• Researched account holders including source of wealth, corporate ownership and products used

• Reviewed risk dossiers on clients and drafted reports

Capital One

February 2008 – March 2009

Contract Compliance Analyst

• Reviewed wire transaction activity to match recorded profiles of account holders

• Investigated account holders for negative news and matched against government watch lists

• Evaluated transactions to look for layering activities

• Prepared reports for FIU Sr. Manager for SARS reporting

• Assisted in an OFAC system replacement project through testing and analysis of false positives alerts

Bank of New York

November 2007 – January 2008

Contract Compliance Analyst

• Reviewed OFAC screening calls for suspicious activity of account holders

• Edited transcripts of OFAC calls

Platzer, Swergold, Karlin, Levine, Goldberg & Jaslow LLP New York, New York

Senior Litigation Associate

October 2005- August 2007

Represented various institutional lending and leasing companies in complex commercial litigation. Met with several clients and developed litigation strategy plans based on the client’s needs and recommendations.

PROFESSIONAL AFFILIATIONS

● Admitted to the New York State Bar - 2002

● Admitted to the Southern District and Eastern District of New York Bar - 2005

EDUCATION

Syracuse University College of Law-Syracuse, New York

May 1998, Juris Doctorate

● Graduated Dean’s List

● Law Technology Management Certification with concentration in intellectual property law.

Union College- Schenectady, New York

June 1994, Bachelor of Arts - East Asian Studies

● Graduated Dean’s List

SKILLS

Norkom, Accutity, Westlaw, Lexis, Worldcheck,

MS Word, MS Excel, MS PowerPoint, and Access. Conversant in Chinese (Cantonese dialect).

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