Bobby Blue, Cams Email & Phone Number

Seoul, Jung-Gu, Kr

• Conducted KYC/CIP/EDD reviews on high-risk client files for bank headquartered in Korea.• Utilized Retail Banking Transaction Monitoring and Trade Finance Transaction Monitoring experience for look-back and sanction screening review projects. files. • Evaluated findings, escalated suspicious activities, and presented in clear, comprehensive reports.• Reviewed Trade Finance alerts to ensure proper documentation, researched individuals and entities.• Researched transactions: Retail Lookback (600-700 alert) backlog and Trade Finance (300-400 alert). • Accurately cleared 10-15+ alert cases per day and completed 50-75 on average each week.

Paris, Fr

• Reviewed and detected suspicious activity based on a variety of AML after systems generated transactional alerts from transactional activity, including wire transfers, checks, trade finance credit, loans & cash letters.• Evaluated alerts and elevated any that warranted an active investigation in the case management system.• Conducted in-depth research, using open sources and third-party site research tools, to flag transactions. Examined aged alerts and cases to determine conclusions and next steps.• Escalated unusual activity or lack of responsiveness to inquiries and kept U.S. Financial Security Management informed via prepared reports, as needed.• Drafted Suspicious Activity Reports (SAR). Documented investigations in case management tool.• Worked independently and actively participated in team discussions on compliance procedures.• Assisted in the coordination of list management within the monitoring system (including country risk ratings; alternative country spellings and abbreviations and watch lists).

New York, Ny, Us

• Reviewed alerts generated by the monitoring system concerning transactions for unusual or suspicious activity and when needed prepare SAR draft for approval and filing.• Adhered to firm’s investigative procedures; conducted extensive due diligence on alerting persons/entities-negative media searches, transactional history review, 314(a) requests, as well as demographical reviews, while establishing understanding of alerting persons/entities or alerted activity.• Scanned Carver’s customer database against the OFAC list using Fiserv-Navigator. Supported Caver branch network by guiding potential OFAC “hits.”• Reviewed and prepared currency transaction reports (CTR).• Assisted the BSA/AML Officer with daily operations.• Presented Bank Security Act and OFAC training materials to new hires for onboarding and orientations.• Prepared specialized reports using BSA department software, known as Fiserv Navigator, and Excel.

Zurich, Ch

• Conducted Investigations of UBS Financial Services Investment Banking, Correspondent Banking, Private Banking, Broker-Dealer, and alerted accounts in accordance with the investigative protocols.• Reviewed Alerted Activity and analyzed the risk assessment that triggered the alert, (i.e., Money Funds, International/Domestic wires, ACH/EFT, Asset Management, Option Calls, sensitive geography/entities transactions), as well as the UBS/OFAC watch list.• Performed Extensive Due Diligence on key parties. Submit RFI to stakeholders, when necessary.• Drafted case summaries to document dispositions and rationale, and drafted SARs or cleared the alerts. • Delivered training and communications on compliance policies and procedures, as well as the transactional and investigative procedures for team and stakeholders.

New York, Ny, Us

• Utilized Bank Secrecy Act AML/CTF knowledge to retroactively review 2012 correspondent banking transactional data as part of the management and execution of The Office of the Comptroller of Currency 2012 AML Consent Order.• Conducted Extensive Due Diligence (EDD) on alerting persons/entities-negative media searches, transactional history review, 314(a) searches and requests, as well as demographical reviews. Performed Quality Assurance reviews and KYC documentation.• Identified, evaluated, and escalated multiple significant suspicious cases, which included complex patterns containing red flags associated with the laundering of illicit funds. Escalated high-risk accounts for SAR review.• Investigated and evaluated Special Person of Interest (SPOI) PEP, customer’s account vs. OFAC Sanction List and Terminated Relationship List (as part of the Office of the Currency Comptroller (OCC) 2012 AML Consent Order Article VI) to identify the full extent of a targeted customer’s relationship.• Performed Client List Screening (CLS) reviews to detect matches against OFAC, International sanctions, Politically Exposed Person (PEP), Negative Media, and various internal lists.

• Supervised a six-investigator unit responsible for conducting Enhanced Due Diligence (EDD) and investigations to identify, prevent, and detect potential fraud, suspicious and/or unusual activities and transactions of our clients by performing transaction analysis, investigations, and monitoring accounts.• Used KYC databases, including LexisNexis, Accurint, and JP Morgan Electronic Financial Services, to perform due diligence searches on institutional clients and individuals. • Coordinated with law enforcement agencies for subpoenas and FOIL Requests for Information: conferenced and prepared Civil Litigation, Fair Hearing, Intentional Program Violation cases and District Atty Referrals.• Represented the Agency at the various regulatory compliance proceedings to obtain court ordered judgements, suspensions, and/or convictions for misallocated funds. • Performed thorough analysis of personal banking documents; tax and business records: make appropriate fact-finding and recommends, generates reports and chronicle developments in cases for presentation.• Monitored customer accounts and high-risk customers by guided transaction monitoring policies to mitigate legal, regulatory, and reputational risk.

Education record

Master Of Science (Ms), Criminal Justice And Corrections

Bachelor Of Science (Bs), Criminal Justice And Corrections

Non-Degree, Accounting And Finance