Alex Traum Email & Phone Number

New York, Ny, Us

New York, Ny, Us

Charlotte, Nc, Us

Charlotte, Nc, Us

Charlotte, Nc, Us

• Responsible for the investigation of potentially suspicious activity regarding the Consumer and Small Business lines• File and write suspicious activity reports (SAR) to The Financial Crimes Enforcement Network (FinCEN) in a timely and accurate manner for bank remediated cases• Conduct investigations to ascertain customers transactional activity to decide if a SAR or No-SAR should be written• Review and research customers using systems and databases available throughout the bank to determine whether suspicious activity occurred• Collaborate with reviewers/approvers and management regarding escalations to specialty teams for cases with law enforcement interest• Present recommendations on account closures of Consumer and Small Business Clients engaging in suspicious activity• Demonstrate the ability to protect the bank by assessing the risk of customers activities that would be understood and approved by management, and bank regulators

Charlotte, Nc, Us

• Responsible for reviewing and dispensing guidance on transaction escalations that have been stopped in the firm sanctions filtering system and escalated by level I operation teams • Assessed payments to decide if they should be approved, rejected, reported, blocked, or escalated to management for their consideration as well as law enforcement• Reviewed and researched transactions using systems and databases available throughout the bank to determine whether sanctions apply• Collaborated with Subject Matter Experts, Quality Assurance, Regulatory Reporting and COE for the determination of the applicable decisioning regarding sanctions alerts• Evaluated wire payments of Bank of America's customers and correspondent relationships on a daily basis• Processed transactions that dealt with vessels, wire stripping concerns, and filed reports for positive wire stripping through The Referral Management System (TRMS)

London, Uk, Gb

• Responsible for ensuring and upholding the policies, procedures, and regulations which maintain compliance for the commercial bank• Conducted level 0 Sanctions and PEP case investigations utilizing regulatory ready rationales through Pega• Managed the daily administration and review of adverse/negative news screenings of customers through the RDC portfolio monitoring “PM” alerts system for the entire North American business• Authored a guide to understand the hierarchy for clearing RDC PM alerts • Collaborated with AML Advisory, Transaction Monitoring, Client On-Boarding, and the Front Office for the dissemination, escalation, and closure of adverse negative news through the RDC application • Performed manual screening on non-automated transactions such as: letters of credit, suppliers, vendors, checks, asset sale purchases, and Fed returns • Demonstrated working knowledge of KYC, SWIFT messages, The Bank Secrecy Act, The USA Patriot Act, Anti-Money Laundering legislation, and OFAC regulations

• Conducted detail-oriented compliance research and donor background screenings • Investigated compliance matters to ensure the Governor’s campaign aligned with the NYS Board of Elections • Assisted the Compliance Director by filing for the NYS Board of Elections • Composed briefs and memos on donors, organizations, events, and political races

• Performed opposition research and transcriptions to keep the senator informed of opponents’ positions • Developed memos and performed research for the campaign manager on other candidates and utilized the NGP database to research donor history and volunteers

Independent Study- September to December 2012• Researched terrorist organizations for the years 2008 and 2009 and investigated funding sources • Implemented Sovereign Citizens to be included as a terrorist organization for research

• Performed opposition research and transcriptions to keep the senator informed of opponents’ positions • Developed memos and performed research for the campaign manager on other candidates and utilized the NGP database to research donor history and volunteers

Independent Study- September to December 2011• Researched terrorist organizations for the years 2008 and 2009 and investigated funding sources • Implemented Sovereign Citizens to be included as a terrorist organization for research

Master Of Arts (Ma), Elections And Campaign Management

Bachelor Of Arts In Political Science With A Minor In Film Studies, Concentration: American Politics