Quality Control Analyst
Resume:
Deborah Slusher
Email: ***********@*****.***
Business/ Data Analyst
KYC/CIP/AML Documentation Specialist under the USA PATRIOT Act of 2001
EXPERIENCE
July 2010- Present
Citigroup, NY
Business/Data/KYC Analyst
o Reconciliation of data for system conversion from old platform to Broadridge system
o Responsible for generating reports, handling output and filtering data using Excel
o Filtered and handled accounts restricted due to Compliance regulations along with the completion of their remediation per bank’s KYC/AML process and procedures
o Documentation of workflow procedures as well as provide solutions to the new business platform.
o Specifically tailoring the application per the business needs
o Creation and maintenance of test scripts and mapping files which include updates and enhancements.
o Process of KYC due diligence documentation files presented- prepared by the business unit for new clients- including Banks, Non-Financial Businesses, Registered Investment Advisors, Funds, etc.
June 2008- June 2010
Bank of New York Mellon, NY
KYC/ AML Analyst
o Ensure compliance with USA PATRIOT Act Section 326 and 313 for Customer Identification Program (CIP) regarding documentary evidence along with quality control per global and US requirement guidelines
o Examine the Know Your Customer (KYC) documents to assure accordance of anti-money laundering procedures as required under the newly formed guidelines set forth under the USA PATRIOT ACT of 2001
o Review and approve KYC due diligence documentation files presented- prepared by the business unit for remediation of existing clients that are due for quality control review according to the risk score of the client, as well as new clients- including Banks, Non-Financial Businesses, Registered Investment Advisors, Funds, etc.
o Conduct enhanced due diligence (EDD) reviews on high risk clients and completed SAR’s for suspicious entities
o Analyze questionable documentation with ADR, Shareowner Services and Corporate Trust business units until a satisfactory result is achieved per BONYMellon Compliance guidelines
o Submit KYC documentation to Compliance for approval and ensure prompt responses
o Advise account administration of incomplete and missing due diligence documentation and assist the various business units with obtaining the correct documentation utilizing approved websites
April 2006- May 2008
West LB AG, NY
Consultant- CIP/KYC Group- Analyst
o Ensure compliance with USA PATRIOT Act Section 326 and 313 for Customer Identification Program (CIP) and knowledge of BSA regarding documentary evidence along with quality control per the West LB global and US requirement guidelines
o Examine the Know Your Customer (KYC) documents to assure accordance of anti-money laundering procedures as required under the newly formed guidelines set forth under the USA PATRIOT ACT of 2001
o Review and approve KYC due diligence documentation files presented prepared by front office for new and remediation of existing clients that are due for quality control review according to the risk score of the client
o Analyze questionable documentation with various business units until a satisfactory result is achieved per West LB Compliance guidelines
o Ensure timely Patriot Act recertification. Submit KYC documentation to Compliance for approval and ensure prompt responses
o Advise account administration of incomplete and missing due diligence documentation and assist the various business units with obtaining the correct documentation utilizing approved websites
o Assisted in UAT testing, training as well as implementation and transitioning to new system (GoldTier)
April 2004-April 2006
Bank of America, NY
Officer-Lead Operations Representative in OFAC Database Department
o Responsibilities include verification of all incoming and outgoing messages and payments via the Money Transfer Group for Office of Foreign Assets Control (OFAC)
o Ensure compliance with USA PATRIOT Act Section 326 and 313 for Customer Identification Program (CIP) regarding documentary evidence along with quality control per Bank of America and US requirement guidelines
o Extensive contact with the correspondence banks, compliance officers, lawyers, branch offices and clients regarding the release of payment monies
o Maintain and review the requests made by Compliance Officers to determine if money wires that are received are acceptable to process or if they should be referred to OFAC in Washington DC, for country and government sanctions
o Processed Maritime Court Orders received by the Court System to block funds received or bound to certain entities
o Executed foreign currency payments as well as created and processed accounts for new customers
April 2000-April 2004
Bank of America, NY
Officer- Trade Support Specialist
o Responsibilities included various clerical functions including detailing documentation, research and analysis, trade processing, maintaining, correcting and verification of data, preparation of reports along with ad-hoc projects for management and department heads
o Amended processed errors, as well as tracing and resolving outstanding trade finance related breaks and balances
o Liaise with clients regarding errors and problems on specific items and implementing product enhancement
o Perform administrative duties for a department of twenty, duties included preparing and processing departmental payroll
o Participated in the Training Focus Group on various computer systems within the Global Trade Services Department
Previous Work Experience
April 1999- October 1999 Bankers Trust Company New York, NY
October 1997- April 1999 Industrial Bank of Japan, Ltd. New York, NY
EDUCATION
2011- Present
Post University Waterbury, CT
Major- Business Mgmt
February 1999 - June 2000
Metropolitan College of New York New York, NY
Undergraduate- Majored in Business
September 1996- August 1998
LaGuardia Community College Long Island City, NY
Major: Business Administration
Relevant Coursework: Intro to Business, Principles of Accounting I, Intro to Computers and Principles of Management and Business Law.
SYSTEMS AND COMPUTER SKILLS
Microsoft Word, Excel, Access, Outlook, Powerpoint, Lotus Notes, Gold Tier, Broadridge, Sharepoint, Lexis/ Nexis, Choicepoint, World-Check, Bankers Almanac, Hoovers, SEC Database utilizing EDGAR, Investment Advisors, FINRA and Manta
Typing speed: 75 WPM
• Excellent communication, organizational and multi-tasking skills. Ability to prioritize my work along with being a great team player.
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