Brian Nathan Email & Phone Number

Flossmoor, Il, Us

Chicago, Illinois, United States

Greater Chicago Area

• Work as part of the AMLRO to perform ongoing monitoring protocols for Lines of Business and supporting control units for AML control design and operational effectiveness• Perform quality control monitoring on newly implemented control processes• Perform ongoing monitoring of key AML controls across Capital Markets; monitor whether controls relied upon by Capital Markets are sustainable• Continue to build upon and leverage the understanding of the systems, controls, processes, and procedures, in place for all US Capital Markets Lines of Business and Legal Entities, becoming acquainted with the various stakeholders within Capital Markets and throughout the BMO Financial Group• Continue to learn the interconnectedness of various processes and departments; how the organization works together• Work with members of Capital Markets AMLRO to communicate any control discrepancies and describe control findings within a formalized report structure• Assist the Director in ensuring regulatory compliance

Greater Chicago Area

• Work as part of the AMLRO to perform ongoing monitoring protocols for Lines of Business and supporting control units for AML control design and operational effectiveness• Perform quality control monitoring on newly implemented control processes• Perform ongoing monitoring of key AML controls across Capital Markets; monitor whether controls relied upon by Capital Markets are sustainable• Acquire an understanding of the systems, controls, processes, and procedures, in place for all US Capital Markets Lines of Business and Legal Entities, becoming acquainted with the various stakeholders within Capital Markets and throughout the BMO Financial Group• Learn the interconnectedness of various processes and departments; how the organization works together• Work with members of Capital Markets AMLRO to communicate any control discrepancies and describe control findings within a formalized report structure• Assist the Vice President in ensuring regulatory compliance

Greater Chicago Area

• Work as part of the AMLRO to perform testing engagements for Lines of Business and supporting control units for AML control design and operational effectiveness• Perform ongoing monitoring protocols• Perform quality control testing on newly implemented control processes• Perform testing of key AML controls across Capital Markets; test whether controls relied upon by Capital Markets are adequate• Acquire an understanding of the systems, controls, processes, and procedures, in place for all US Capital Markets Lines of Business and Legal Entities, becoming acquainted with the various stakeholders within Capital Markets and throughout the BMO Financial Group• Learn the interconnectedness of various processes and departments; how the organization works together• Work with members of Capital Markets AMLRO to communicate written test results and describe control findings within a formalized testing report structure• Assist the Vice President in recommending possible courses of action to ensure regulatory compliance

Greater Chicago Area

• Directly responsible for managing a number KYC Analysts within KYC Chicago Team• Assisted Director with managing AML request processing workflow and performance of the unit• Ensured timely response and processing of requests from Corporate Banking and other Lines of Business to capture customer due diligence information in automated AML Book of Record• Worked with the U.S. AML Office High Risk Unit to ensure customers’ risk was appropriately assessed and AML risk ratings recorded/adjusted as needed• Worked with Corporate Banking, T&PS Sales teams, and other Lines of Business to obtain approval/concurrence of all AML information• Ensured KYC Analysts collaborated with T&PS Documentation Analysis and Control (DAC) and Implementation teams as needed to complete AML due diligence and assessment in a timely manner• Ensured KYC Analysts responded to requests from Corporate Banking, T&PS Sales teams, and other Lines of Business to review and update AML information during annual review process• Responsible for ensuring KYC Analysts accurately completed KYC Checklists and stored supporting documentation• Escalated customers to U.S. AML Office High Risk Unit for risk rating• Supported the production of ongoing reporting on the activities and performance of the unit• Set appropriate context for KYC Analysts, solicited views on the working environment, coached and provided performance management• Provided input and analysis to support continuous improvement to AML Due Diligence processes

Greater Chicago Area

• Effectively assisted in completing business initiatives in AML risk mitigation with goals of minimizing potential for revenue loss• Monitored annual reviews and new relationships to determine AML requirements• Responsible for accurate completion of KYC Checklist and population of files• Audited adherence to AML requirements• Communicated and implemented AML and KYC policies and procedures• Provided back-up support to varying group functions• Assisted with the implementation of other regulatory requirements as needed• Interacted with staff of all levels in the Lines of Business as necessary for issue resolution• Ensured delivery of exemplary internal client service by troubleshooting and providing issue resolution in a professional, ethical, and conscientious manner• Instrumental in the initial implementation as well as testing, initial and ongoing, of the AML Book of Record

Greater Chicago Area

• Worked with Risk Management to gather various data points from loan files and internal systems to assist in the redesigning of General Commercial Risk Rating model used to determine the probability of default on a given loan• Populated data points into a database or spreadsheet

Greater Chicago Area

• Analyzed and reviewed both business and personal financial statements, and made decisions regarding loan risk grading• Calculated and analyzed cash flows, as well as forecasted the evolution for the portfolio being analyzed• Calculated the risks associated with granting businesses loans and extending credit• Demonstrated ability in reading and interpreting financial statements, ratios and credit reports• Evaluated and implemented internal and external credit scoring using both traditional and advanced forms of predictive technology• Analyzed loan and customer credit risk performance using corporate database• Utilized external scoring and/or management software packages to aid in portfolio management

Greater Chicago Area

• Conducted interviews and evaluated each prospective student based on his/her needs, desires, interests, qualifications, motivations, and commitments, and in accordance with all school policies and procedures, all applicable federal and state regulations and all accrediting agencies standards and requirements• Presented information in a factual and ethical manner to prospective students and others regarding school’s programs and tuition• Completed and maintained all required paperwork and data entry in an accurate and timely manner• Worked with other departments (financial aid, academics) to ensure student satisfaction• Verified criteria for admission to the school• Assisted prospective students in completing the admissions process in the most efficient and supportive manner• Assisted students with finalization of enrollment process and starting date with the school• Developed an ongoing relationship with the prospective student• Responsible for the student’s success from inquiry to starting school• Served as an advocate for prospective students• Upheld all AIU policies, procedures, integrity, and ethical standards

Greater Chicago Area

• Worked along with Northern partners in Personal Trust Support with the processing of gift transfers to fulfill the wishes of donor clients to benefit charitable and individual donees• Verified client’s security holdings and calculated accurate mean market value and tax cost information of securities to facilitate efficient movement to charities or individuals• Processed security movement from donor’s accounts to charities or individuals • Performed valuation and calculation of Unitrust accounts• Processed Unitrust accounts by doing prorated calculations and ensuring proper payments were set up and paid

Greater Chicago Area

• Spread financial statements of the bank’s customers, guarantors, and prospects into an Excel based program (Moody’s Financial Analyst) in a format consistent with the bank’s policies• Ran risk analysis reports to assess credit worthiness and notified Officers and/or Division Managers of deteriorating conditions• Monitored covenants as defined in loan agreements in order to inform the Officer and/or the Division Manager of non-compliance

Retrieved approximately thirty books per shift from campus libraries and processed approximately thirty books per shift to be loaned to other schools nationally and internationally.

Greater Chicago Area

• Aggregated and prepared audit results of Government contractors into quarterly reports• Interacted with beneficiaries and legal counsel in order to verify correct allocation of Government funds for approximately 250 cases• Performed an audit of the cost reports of a Government contractor’s provider and moderated exit conference for audit• Constructed a database of approximately 100 bankrupted entities in attempts to identify and recover funds needed to protect the Medicare trust fund

Assisted in organizing and budgeting for three large scale programs benefiting public school children, interacted with personnel on a professional level, and performed outreach to many agencies for assistance including Mayor’s office, radio stations, and Chicago Park District among others.