Description
SUMMARY: • Risk Management and Compliance Specialist who has worked in various capacities in the financial services industry. • Experience include strong Federal and State regulatory background • Experienced with AML, KYC, BSA and Patriot Act compliance and all matters related to the preparation, review and filing of relevant regulatory reports. • Conducted 314(a),OFAC and other regulatory investigations, monitoring, risk assessment,maintenance and filing. • Provide support for KYC risk-related due diligence requirements involving Wholesale Client Onboarding (WCOB) • Experienced as a front-end user in the following surveillance systems – Actimize, Mantas, Norkom and BSA Prime • E-Communications (electronic) Surveillance • AML monitoring system implementations and conversion
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