Anthony Diminno, Cams Email & Phone Number

London, GB

- Assess risks to the bank based on an analysis of the design and operational effectiveness of controls managed by business lines across Compliance, Financial Crimes, Fraud, and Conduct disciplines via standard and targeted audits- Develop planning and scoping documentation (via Audit Planning Document, Audit Scoping Memo, and Control Objective Matrix) and.

Jacksonville, Florida, US

- Established and managed a team of Commercial Onboarding Specialists who processed onboarding applications from small and medium businesses, requiring review of legal entity documentation, identity verification, fraud detection, business verification, and holistic risk assessment- Designed, developed, delivered, and maintained onboarding and compliance.

London, GB

• Oversee day-to-day operations for Onboarding Quality Control team consisting of 6 analysts via management and prioritization of requests in daily queue
• Liaise with colleagues across the globe to ensure that processes, controls, and line teams adapt effectively to reflect the evolving regulatory framework and compliance risk appetite
• Analyze daily/weekly/monthly production output of the team through AOMI Workware system in order to forecast future volumes and formulate production targets
• Respond to policy and process errors raised by Quality Assurance team to ensure adherence to global procedures and manage correction of outstanding errors after weekly discussion calls
• Report “Right First Time” and Accuracy metrics on a monthly basis to KYC Management to potentially identify any focused training opportunities or improvements to be made by both KYC and QC line teams

London, GB

• Onboarded new customers ranging from regulated investment advisers to complex corporate vehicles such as SPVs, PIVs/PICs, Trusts, etc.
• Analyzed ownership structures, legal agreements, formation documents, tax forms, geographic locations, and the nature of business for all client portfolios in order to determine accurate risk profile
• Conducted sanction screenings (via Alacra, World Check, Factiva, LexisNexis, OFAC, AML Watchlist, etc.) to assess any potential adverse media/negative news or FinCrime concerns that may trigger an enhanced due.
• Ensured compliance with regulatory requirements such as Dodd Frank, EMIR, FINRA, MiFID, and FinCEN
• Lead trainings for Onboarding and Quality Control teams in response to procedural changes
• Spearheaded large suites of related onboarding requests comprised of 50+ entities assigned across several analysts, one of which resulted in recognition on Semi-Annual Global KYC Onboarding Town Hall in June 2019

Chiyoda-ku, Tokyo, JP

• Onboard and reassess KYC attributes of credit/deposit customers including CIP, CDD, and EDD information including beneficial ownership, identifying politically exposed individuals, and sanctions concerns
• Coordinate with other stakeholders of the bank to obtain necessary documentation and information
• Resolve inquiries from other business units relating to customer data and risk ratings via team mailbox
• Query customer database via Microsoft Access to generate reports for management regarding specific attributes
• Adjust department policies and procedures in response to regulatory changes as well as bank initiatives
• Research customers via public and paid services such as LexisNexis, Dun & Bradstreet, Bankers Almanac, etc.

New York, NY, US

• Authenticated and executed client financial transactions which adhered to U.S. anti-money laundering guidelines and OFAC restrictions, identifying and escalating potential issues of regulatory violations and data.
• Conducted “Know-Your-Customer” evaluations when onboarding or reviewing accounts to ensure with reasonable diligence that standards of regulatory compliance and investor suitability were met for all clients
• Successfully aligned 100% of clients' profiles within mandatory FINRA elements by 2015 year end
• Implemented managed investment strategies through Merrill Lynch One platform to improve portfolio performance
• Researched securities investments and monitored the market daily to provide relevant information to clients

New York, NY, US

• Aggregated comprehensive financial statements to provide a basis for clients’ investment performance evaluations
• Fulfilled retirement distributions, wires, and check orders which adhered to anti-money laundering guidelines
• Opened, activated, and maintained clients’ accounts which included brokerage accounts, IRAs, and lines of credit
• Managed mutual fund matrix to provide most recent market performance to financial advisors and clients

Ramsey, NJ, US

• Compiled market information from NJMLS and Zillow into Excel spreadsheets for corporate management team
• Prepared correspondence including reports, memos, and emails to update corporate team of most recent sales
• Developed and distributed customer survey letters for buyers and sellers to compile feedback database of agents
• Arranged and hosted a seminar for real estate agents to demonstrate how to better market themselves online

• Initiated promotion on GroupOn, attracting 1100+ new customers with a 95% positive feedback to date
• Directed employees on policies and procedures to ensure compliance with health and safety standards
• Reconciled ticket and concession sales, concluding with a daily report to Rentrak
• Resolved customer inquiries and complaints in a timely fashion

Mahwah, NJ, US

• Oversee safety of entire first year student dormitory building
• Utilize quick and proper judgment to validate identity and safety of each person entering the building
• Work late night hours up to 5 AM