Wantagh, New York, United States
Experienced Senior Project Manager with a demonstrated history of working in the financial services industry. Skilled in Enterprise Risk Management, Compliance Training, Management, Fraud Investigations, and Risk Management. Strong program and project management professional with a Bachelor of Science (B.S.) focused in Accounting and Finance from Hofstra University.
• Structured AML/KYC teams to suitable silos to adapt to the Oracle Mantas software platform • Served as a Subject Matter Expert (SME) providing insight for threshold setting • Acted as a key contributor for the formation & implementation of scenarios within the Mantas AML/KYC platform including but not limited to Rapid movements of funds & Structuring • Served as Team lead within the Enterprise Case Management (ECM) workflow unit • Managed the Client Intelligence Unit (CIU) & Financial Intelligence Unit (FIU) as it pertained to alerts and case workflow • Reviewed and Dispositioned AML Alerts as appropriate • Devised a SAR’s writing strategy for RJF • Served as SAR’s QC • Acted as QC level 1 reviewer for AML/KYC alert/case management team • Reported to key Stakeholders on all aspects of the Projects progress • Established a KYC risk ranking policy • Managed a team of 29 AML/KYC Business Analyst & 6 QC’s • Supervised a UAT testing team while implementing a UAT testing strategy • Worked hand & hand with the ETL team on Data Mapping issues Acted as OFAC SME by executing the Reconciliation of Customers, Accounts & Activity from Banking System(s) to PCS by undertaking the following activities: Review efficiency of Customer/Country Profile Monitoring Review efficiency of monitoring Rules, i.e. Rules Tuning Review EDD Risk Assessment, Factors, Items, Scores compared to peers Review Data Mapping Review OFAC Sanction Data Rule settings, recommend filtering options Review efficiency of Batch filter screening and provide recommendations Review OFAC cases, recommending and testing the addition of Noise Words, Inequalities and Excludes for False Positive Reduction
• Managed a project management organization and standardized change management process with defined governance structure, reporting, milestones and methodology to accommodate shifting business/regulatory requirements. • Served as a team lead for 25 UAT testers • Acted as the Level 1 QC for a team of 32 AML/ KYC business analyst for the projects integration while at times performing all roles from BA through QC • Managed an Axiom (IRIS) implementation, including StanCo deliveries, and integration into a working environment • Served as a lead in a General Council interface creating complex deliveries for SLD program, including DQU exception pipeline, LLK verification, netting library and netting engine, CLM scope/ business requirements/ user interface, SME management for 2015 BoW, Search use cases • RRP scope and delivery for June 2015 submission • Administered Global Netting remediation in response interdependency needs of the project • Implemented a Control Frame work initiative within the scope of the project • Outlined a Contract Risk scope, plan and delivery time line while accounting for the Control function’s integration into the BAU process • Acted as the team lead in the Vendor management initiative • Managed the end-to-end process of the negotiation of in-scope complex negotiations in accordance with CS processes/ templates/ guidelines • Responded to escalations from the CoEs and within CRMA and provide product/ legal advice including but not limited to obtaining legal advice and managing outside counsel in connection with negotiations • Guided the UAT process along multiple phases of the project • Created UAT Test Scripts and adapted such scripts as needed • Created sophisticated submissions for top tier management & Stake holders
• Documented a dissection of the payment flow process with an extreme prejudice on the OFAC and Recusal filtering components • Worked Daily in the Prime Compliance Suite • Supervised a team of 14 – 16 analysts clearing OFAC Alerts in a QC capacity • Created metrics based on OCC restriction letter outlining an exact designated criteria • Recalibrated threshold metrics on a periodic basis to assimilate with data flow • Customized workflow platform to adhere with metric’s divergence • Initiated a gap analysis of the CIF database integration portion of the filtering process • Vetted and analyzed the SWIFT exclusion routing procedures with a specific focus on MT101, MT942, MT950 and MT199 message types • Categorized the token and algorithm related issues within the current filtering process • Documented the Montran and Prime filtering components with the in the OFAC filtering platform • Reviewed the OFAC “special circumstances” scrutiny procedures • Advised on procedural enhancements to the intraday monitoring and control processes • Addressed the protocol put in place to abide by the Treasury Departments recent sanctions against BNP
AML ALERT REVIEW TEAM ANALYST • Conducted AML reviews of wire transactions involving JPMC Correspondent Banks • Executed Correspondent Banking review from high risk jurisdictional parties • Reviewed the banks Payment processes for loop holes in the OFAC’s SDN list / targeted countries screening process • Initiated a Gap analysis of the integration of the OFAC’s updated Denied Persons / Entities list as detailed by the Bureau of Industry and Security at the U.S. Department of Commerce • Created from Scratch a narrative outlining the review process conducted • Served as AML subject matter expert • Trained key personnel on the process with a concentration on integrating the JPMC employees into the role • Acted in a FINCEN & BSA expert capacity • Conducted in-depth review of all Focal entities and counterparties using a wide range of internal and external systems • Identify changes to legislation or industry guidance to ensure this is communicated effectively to management and staff • Investigate reports of suspicious transactions / circumstances while following the proper money trail • Vetted all CBC client’s as the flow of funds dictated • Conducted EMEA reviews in an aggressive ad hoc environment • Facilitated a KYC vetting of the parties as the flow of funds dictated