Aaron Spivey Email & Phone Number

Atlanta, Ga

Atlanta, Georgia, United States

• Supervised and coordinated the activities of a team of Level 1, 2 & 3 BSA / AML investigators. • Provided oversight while the team was tasked with identifying and reporting suspicious and potentially criminal activity through the filing of SARs with FinCEN.• Monitored team productivity while assigning cases involving multiple accounts, products, and banks, including potential human trafficking, BMPE, and PPP / EIDL fraud.• Prepared executive level summaries for case… Show more • Supervised and coordinated the activities of a team of Level 1, 2 & 3 BSA / AML investigators. • Provided oversight while the team was tasked with identifying and reporting suspicious and potentially criminal activity through the filing of SARs with FinCEN.• Monitored team productivity while assigning cases involving multiple accounts, products, and banks, including potential human trafficking, BMPE, and PPP / EIDL fraud.• Prepared executive level summaries for case investigations.• Conducted interviews with potential team candidates and assisted with onboarding of new hires.• Provided ongoing one-on-one coaching to develop investigators’ skills and abilities.• Conducted performance appraisal reviews, provided ongoing feedback regarding expectations and performance, and recommended and executed disciplinary action as needed. Show less

Atlanta, Georgia, United States

• Selected to manage a new team comprised of two combined heritage SunTrust Bank KYC units (Retail and Commercial) following Legal Day 1 of the Truist (SunTrust/BB&T) merger.• Successfully coordinated a newly organized, multisite operation consisting of seven team leads with a combined staff of approximately 100 analysts both on and offshore.• Developed project plans and drove project milestones as the team verified all of the bank’s onboarding policies: Client Identification Program… Show more • Selected to manage a new team comprised of two combined heritage SunTrust Bank KYC units (Retail and Commercial) following Legal Day 1 of the Truist (SunTrust/BB&T) merger.• Successfully coordinated a newly organized, multisite operation consisting of seven team leads with a combined staff of approximately 100 analysts both on and offshore.• Developed project plans and drove project milestones as the team verified all of the bank’s onboarding policies: Client Identification Program (CIP), account opening documents for KYC, and USA Patriot Act and Bank Secrecy Act (BSA). • Identified high risk customers based on client type, product type, or jurisdiction. Performed Enhanced Due Diligence (EDD) when necessary. • Adapted quickly to the challenges of combining two different business cultures, connecting and communicating often to monitor and maintain good morale among the team.• Worked with executive level management to identify duplication of efforts within the Financial Crimes group and helped successfully integrate the two KYC programs. Show less

Atlanta, Georgia, United States

• Responsible for the administration and oversight of a team of four Financial Investigation Unit team leads, each with teams of 6-8 investigators.• Monitored group work flow and reviewed complex and sensitive investigations involving potential money laundering and terrorist financing.• Ensured that applicable policies and procedures incorporated most current regulatory requirements under BSA and OFAC law and all matters related to the preparation, review, and filing of SARs.•… Show more • Responsible for the administration and oversight of a team of four Financial Investigation Unit team leads, each with teams of 6-8 investigators.• Monitored group work flow and reviewed complex and sensitive investigations involving potential money laundering and terrorist financing.• Ensured that applicable policies and procedures incorporated most current regulatory requirements under BSA and OFAC law and all matters related to the preparation, review, and filing of SARs.• Worked with Operation Risk Managers to co-investigate cases. Show less

Atlanta, Georgia, United States

• Responsible for the oversight of a team of BSA/AML investigators tasked with identifying and reporting suspicious and potentially criminal activity through the filing of SARs with FinCEN.• Monitored workflow and accuracy of investigation team.• Conducted reviews of a wide range of client types including International Wealth Management, SunTrust Investment Services, SunTrust Robinson Humphrey, as well as law firms and CPAs.• Worked with Operation Risk Managers to co-investigate… Show more • Responsible for the oversight of a team of BSA/AML investigators tasked with identifying and reporting suspicious and potentially criminal activity through the filing of SARs with FinCEN.• Monitored workflow and accuracy of investigation team.• Conducted reviews of a wide range of client types including International Wealth Management, SunTrust Investment Services, SunTrust Robinson Humphrey, as well as law firms and CPAs.• Worked with Operation Risk Managers to co-investigate cases. Show less

Atlanta, Georgia, United States

• Investigated, researched, and analyzed cases for suspicious financial activity and for possible anti-money laundering violations, including filing SARs when necessary.• Worked with assigned subsidiaries to ensure a risk-focused approach was incorporated into products, services and business segment activities.• Assigned subsidiaries: SunTrust Securities, SunTrust Capital Markets, Private Client Services, International Wealth Management.

Atlanta, Georgia, United States

• Investigated activity reported on AML alerts.• Monitored cash exceptions, risk items, and margin calls.• Assisted with incoming calls for trade support.

Atlanta, Georgia, United States

• Prospected and assisted new clients with their insurance and retirement needs.• Set goals and met sales objectives for January and February.

Atlanta, Georgia, United States

• Reported status of the unit to the manager and conducted staff performance appraisals.• Assisted in developing policies/procedures to ensure that control measures provided accurate, timely and quality service with minimal risk exposure.• Promoted to Operations Officer / Employee of the Quarter.• Completed DTC and Northern daily cash settlement, post capital change transactions, including splits, mergers, and tender offers.