Administrative Assistant / Receptionist / AML Compliance

GILLIAN CHARLES

SUMMARY

Highly motivated, professional, detailed oriented, team player with 20 years experience in all aspects of operations in bank/brokerage firms. Specific expertise in AML/BSA compliance assignments and broker/dealer operations.

08/08 – 11/08

Washington Mutual Bank, taken over by JPM Chase on 9/25/08 – Albion, New York

Independent Quality Control AML Consultant

 The project covered all divisions of WAMU including Retail Banking, Consumer Finance and Small Business etc. Alerts / cases were worked on by about 150 AML analysts who are employees of WAMU.

 Acted as a BSA/AML subject matter expert by coaching and counseling bank employees on how to adequately review and document unusual account activity

 Performed Quality Control functions on alerts and No SAR documentation in a Look Back and Business As Usual (BAU) environment

 Provided SAR filing recommendation to the Bank once potential and illegal activity had been identified

Capital One Bank – Mattituck, New York 04/08 – 07/08

Consultant-Reconciler

 Conversion of Major Banks: Reconciliation of the Bank’s Branch Balancing for individual tellers within the Region bank.

 Use of Vector system involved to obtain record of Tellers’ transactions: Research and clear exceptions as a result of the conversion and offline issues.

06/07 – 04//08

American Express Bank – New York

Consultant –Transaction Monitoring

▪ Assisted the Payment Compliance Officer in the FIG Compliance & Ethics Department to monitor daily the screening and searching of correspondent banks’ wire transactions. This was done through the use of OFAC filters, various in-house and GIFT EDD systems to identify unusual or suspicious activity through the bank as required by law.

▪ Prepared appropriate RSAs for SAR preparation and filing.

10/06 – 06/07

Israeli Discount Bank - New York

Consultant – Anti Money Laundering – Investigator

▪ Analyzed, reviewed and investigated customer account activities through the use of the Prime Case System within the Compliance Department. Transaction monitoring included: wire transfers, correspondent and private banking, money service business activity; suspicious activity reporting, including investigation, escalation protocols and SAR filing processes.

09/05 – 10/06

Deutsche Bank Trust Company Americas – New York

Consultant – Anti Money Laundering Surveillance and Research Analyst on the Look Back/Interim Monitoring Solution project

▪ Worked in the AML environment with typologies and relevant legislation specific to correspondent banking through the use of an automated Case Management Tool designed by (Deloitte & Touché;)

▪ Research and Surveillance/Field Inquiry Preparation and Response Analyst on duties that included: step-by-step process on analyzing transactions to determine parties/issues for further investigation.

▪ Obtained information through research/using adequate number of sources/research tools to corroborate research; (i.e. Internet, Lexis-Nexis, PCR, Prior Investigations Spreadsheets and Read Only CMT)

▪ Made recommendation to close/field inquiry or file a SAR after completing case research.

02/05 – 04/05

Wachovia Securities – Virginia

Consultant – Mutual Fund Conversion

▪ Worked in the Mutual Fund Conversion Department manually building spreadsheets to send to all Fund

companies informing them of rep and branch changes and posted Prudential conversion.

▪ Manually set up B50’s and B52’s that was not systematically set up. Assisted in reconciling out of balances post conversion.

09/04 – 12/04

JPM Chase ─ Newport, New Jersey

Management Consulting/Help Desk Support-Finance Bank Merger Integration (FBMI)

▪ Coordinated all financial help desk activities: to maintain an open dialog between all divisions, departments and financial operations; to facilitate the JPMChase and Bank One merger.

02/04 – 09/04

Wachovia Securities – New York

Consultant – Mutual Fund

▪ Worked in the Compliance Department on the Mutual Fund Breakpoints and Rights of Accumulation initiative by manually researching through the PruServ internal systems daily mutual fund trades; for the period 1999-2003 to determine client’s eligibility for a breakpoint refund

Law Office of Depetris & Bachrach LLP  New York 04/02 – 02/04

Office Manager

▪ Tabs-Record keeping for all attorney time, billing and expenses as well as firm’s billing and employee payroll. Handled all client records, i.e., new and closed. Heavy administrative duties that included check writing, accounts payables and receiving, reconciling checkbooks.

▪ Handled vendor purchasing and maintained vendor records including 401(k) and insurance plans. Did firm’s deposits and transfers.

JP Morgan Chase  New York 09/01 – 03/02

Consultant – US Dollars Investigation and Compensation

▪ Researched the US dollar amount from outstanding open items weekly/monthly Print Check Register report.

▪ Assisted with customer inquiries over the phone due to check discrepancy issues.

1999-03/2001

 Worked in various positions in ACATS transfers, Treasury Operations Department, Private Trust Department at the following companies:

First Clearing Corporation, Richmond, VA

Citibank, New York, NY

Salomonsmithbarney, New York, NY

Citibank, Tampa, FL

Chase Bank, Wilmington, Del

Nations Bank, Jacksonville, FL The Provident Savings Bank, New York, NY

Bankers Trust, New York, NY

Lehman Brothers Inc., New York, NY

Merrill Lynch, New York, NY

Barclays Bank, New York, NY

Cyrus J. Lawrence, New York, NY

 Reconciled vault differences on Mortgage Backed Securities between bank totals

 Determined all Bond Interest payments on all types of government and fixed income securities such as: (Corporate Bonds, Mortgage Backed Equities, GNMA and FNMA)

 Counted positions vs. physical total count

 Knowledge of all physical securities and negotiability; Stock record and DTC knowledge

 Daily review and reconciliation listing of cash trades suspense and clearance accounts

 Daily stock record research and reconciliation at the following companies:

EDUCATION

Saint Francis College, New York, NY Bachelor of Science - Business Management

COMPUTER SKILLS

Microsoft Word, Excel, PowerPoint, Access, Beta Pega System, DTC, ADP, Settlements, International

& Domestic, Systems Conversion, Corporate Mergers Reconciliation, Escheatment, Federal/State,

Mutual Funds, Compliance Case Management Tool, Prime System, GIFT EDD System, Vector system

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