Ana Gomez Email and Phone Number

Create robust quality assurance process. Manage daily and quarterly sanctions program. Partner with cross functional teams (Engineering, Product, Risk, Fraud, Operations) on initiatives to enhance software product, investigate technical issues, and fix bugs in KYC & Risk Onboarding program. Aid associates and teams throughout the organization in responding to and resolving complex compliance and risk issues. Review and action on High-Risk Transactions. Respond to RFI requests. ● Revamped Customer Identification Program (CIP) and improve risk assessment.● Spearhead enhancements to the KYC and Risk Onboarding Process● Compliance captain on product initiatives such as gift card product● Take ownership of the KYC & Fraud Manual Review process, build a process guide, and provide training to the Trust & Safety Team

Built and implemented a comprehensive sanctions program, including development of standard operating procedures for review, escalation, reporting, and monitoring. Recruited, trained, and mentored team of compliance analysts to review customer accounts, conduct sanctions screenings, and provide ongoing quality assurance for both consumer and business accounts. Managed Starter Issuing platform, onboarded clients, conducted KYC, and ensured card and financial limits matched expected transaction history and nature of business. Collaborated with product and engineering teams to design internal and external customer onboarding platforms. Trained compliance, onboarding, and due diligence teams to ensure in-depth understanding of compliance issues and processes. ● Designed Customer Identification Program (CIP) for Privacy.com and Lithic Platform.● Created KYC Risk Rating Metrics for Lithic business customers. ● Improved internal tooling to bridge gaps in vendor tooling.● Partnered with product and engineering teams to create Know Your Customer as a Service (KYCaaS) for enterprise customers.

Led a team of analysts and third-party consultants conducting periodic refreshes of KYC files. Evaluated analyst conclusions to ensure analysis is supported by file documentation. Identified issues for escalation to QA management team and coordinated with external auditors. Created standard operating procedures and trained sales staff and relationship managers in KYC requirements. ● Recognized as the subject matter expert (SME) to UBS Know Your Customer Periodic Reviews Team, providing advice and consultation to corporate banking clients, relationship managers, senior management, and international and third-party analysts completing periodic KYC refreshes.

Spearheaded bank wide KYC remediation project. Partnered with internal business partners and external clients to acquire timely approvals and registrations of new customers. Coordinated with front office to ensure completion of customer risk assessment for issues identified by compliance department.● Led bank wide review and remediation of Treasury’s KYC customer accounts.

Directed a nine-member team of KYC specialists overseeing onboarding activities for five business groups operating throughout world. Assigned and managed new accounts for Client Onboarding Team and completed KYC client onboarding to ensure compliance with bank and regulatory guidelines. Collected client tax information to ensure compliance with Foreign Account Tax Compliance Act (FATCA) and monitored high-risk client accounts. Trained employees to ensure consistent and up-to-date understanding of regulatory requirements. Implemented software and system enhancements to improve efficiency and client service. ● Established cohesive structure and comprehensive guidelines across different business division to ensure robust policies and processes for companywide risk management.

Managed legal onboarding process for new clients, including gathering required documents and processing legal contracts. Collaborated with sales representatives and compliance team to ensure timely document approval. ● Developed policies and procedures for client and vendor onboarding processes.