Bristol Barnes Email & Phone Number

New York, Ny, Us

• Document and report investigation findings and prepare case files for review, including negative media search results as well as results from internal system searches• Onboard domestic and international accounts for individuals, corporations, partnerships, trusts, nonprofits organizations, personal holding and investment companies ranging from low to high risk• Conduct extensive due diligence on accounts of “Politically Exposed People” that are deemed high risk prior to onboarding, escalate accounts to Global Head and Head of Department that were not identified during remediation• Compose and file Negative Media Reports and use research and knowledge to recommend relationship retention or termination and track account closures • Provide updates to senior management on AML issues within the compliance, legal and business teams • Collaborate with the legal team to ensure onboarding of international accounts are in adherence to global policy and regulation• Serve as point person to provide guidance to junior team members on AML procedures and policies

Toronto, Ontario, Ca

• Responsible for reviewing the suitability of Canadian Banking clients requesting par cross checking and border ACH activities• Responsible for the approval for Canadian Banking clients deemed low/ medium risk for cross border services• Escalated Canadian Banking clients deemed high risk to compliance for further review and approval.• Provided detailed rationale for Canadian Banking clients that have been denied cross borders services• Developed and monitored oversight metrics for cross border services which includes the total number of requests, requests approved, requests declined and requests escalated to compliance• Created and maintained operational procedures for the cross border services in regards to the approval and decline process• Conducted negative media screenings on Canadian Banking clients and their vendors.• Participated in annual AML risk assessment of cross border products with Canadian Banking and global AML compliance

New York, Ny, Us

• Conduct extensive background checks on behalf of J.P Morgan clients and their funds which result in continuity of business amongst its clientele.• Remediate investment vehicles inclusive of hedge funds, mutual funds, pension funds, & special-purpose vehicles ensuring industry standards are being met.• Confirm the existence and the regulation of investment managers, sponsors and anti-money laundering service providers• Cross-reference company names along with any affiliation with the negative media around the world warranting laws and policies have not been broken.

New York, Ny, Us

• Process and settle domestic single or block trades for purchases and sales as per request.• Support Client Service Managers with new account closings requisitions via checks & wires on cost of issuance.• Experience in loan account assignment within debt service.• Knowledge of external and internal fund transferring via wire payments or cash swing.• Process of optional, early and scheduled redemptions of municipal bonds for issuers.• Familiar with short and long term investments such as repos and guaranteed investment contracts.

• Identified strengths, weaknesses and opportunities within the company in comparison to competition.• Implemented business development and strategic marketing plans to attract new business • Liaison between developer and clients to ensure quality and accurate completion of projects.• Negotiated quotes for web design, mobile applications and augmented reality services• Tracked project status to provide updates to client or requested changes to developer

New York, Ny, Us

Responsible for Fixed Income Securities such as (corporate bonds, municipal bonds, collateralized mortgage obligations, tender option bonds, repurchase agreements and stock loans.) This includes principal, interest ,maturity, shortfalls, realize losses and accretions.• Researched and compared information from house financial system for fixed securities with Bloomberg and third party paying agent. • Experienced in sending and receiving wire payments as per instructions from counter parties.• Reconciled house ledger to verify balance with client accounts through detailed journal entries.• Distributed dividend payments from companies and IRA contributions to client accounts• Elected positions changes and tax benefits for overseas securities held by clients • Analyzed structure of fixed securities to identify discrepancies in payments from third party paying agent. • Calculated security payments using contributing variables on Excel to determine exactly where an error has occurred.• Resolved issues involving fail trades, stock loans and repurchase agreements.

• Ensured union members were treated and paid fairly according to collective bargaining agreement.• Traveled to shop locations throughout Long Island and Chicago areas to follow up with member regarding labor issues.• Coordinated meeting between union members and employers to settle disputes and reach fair agreements between both parties. • Attended arbitration hearings with union members that have been unjustly terminated from positions.

New York, Ny, Us

• Calculated and analyzed the net asset values of mid to low cap funds• Researched securities within mutual funds to confirm stock prices that were out of tolerance• Prepared cash and asset reconciliations reports along with cash available reports • Recorded portfolio and shareholder transactions throughout the month• Reviewed and confirmed market value calculation using Bloomberg