Ashley Doty Email & Phone Number

New York, New York, Us

•Participating in Anti-Money Laundering (AML) monitoring, governance, oversight and regulatory reporting activities in coordination with the Compliance and Control team •Conduct reviews of client account activity, statements, internet research, and client profile information•Conduct background checks/intelligence/customer research/transactional analysis•Conduct regulatory and sanction screenings as well as review domestic consumer cases and support complex periodic review processes•Escalate unusual activity to the Financial Intelligence Unit (FIU) and assist with escalating potential risks•Present summarized findings to peers and management, including recommendations to changes in procedures resulting from review findings and quality assurance review of analyst case work•Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

New York, New York, Us

•Assist with customer service inquiries and providing solutions based on client needs in coordination with the Customer Service function•Overall objective is to analyze the best course of action to resolve client issues•Assist with evaluating and resolving service inquiries from clients across different platforms•Effectively use various computer systems to complete assigned tasks and address account inquiries•Develop and maintain working knowledge of specific groups of products and services•Analyze and identify potential risks and identify solutions that meet client needs•Complete assigned tasks in an accurate and efficient manner•Solve disputes and retain clients, while minimizing operating loss, through adherence to established rules and regulations•Fulfilling the clients’ necessities while providing an exceptional client experience is the expected behavior from all our employees and it will be measured by specific metrics•Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency

Bachelor Of Science (Bs), Anthropology

Graphic Design

Graphic Design