Dennis O'Connor Email & Phone Number

Greater New York City Area

Greater New York City Area

• Conducted a year review (Look-Back) of Bank customer transactions in Prime Banking system utilizing 12 months of Bank statements and the cash aggregation report to determine if potential SAR should be written or any other unusual activity was overlooked.• Analyze and completed time sensitive investigations of alerted and referred transactions for Structuring, suspicious activity and other AML rules using internal and external resources. (i.e. Lexis-Nexis, Secretary of State searches, Excel, utilizing Macro and Pivot Tables.• Prepared and wrote SARS with pertinent information to be presented to Bank Management for review before submission to FINCEN. • Reviewed and performed KYC/EDD checks of Bank’s high-risk customers, based on customer product and high-risk jurisdictions.• Performed negative media searches on customers as well as signatories/beneficial owners/guarantors found in Bank KYC/CDD files utilizing both open source and external research tools.

Seattle

Activity review OFAC ,alert investigations/escalations-eCommerce Company

Greater New York City Area

Jersey City, Nj

Performed AML Episodic transaction (“AET”) review process for Corporate & Investment Banking (“CIB”) as well as the Capital Markets Origination (“CMO”) divisions of Citi Group.Identified assessed and escalated risks relevant to AML but not limited to Sanctions (OFAC) and Anti-Bribery& Corruption (FCPA) to the Legal and Compliance Group for further review and direction.Utilized company proprietary software (Citi Screening, World check) and various peripheral supporting applications, i.e. search engines to conduct client and counterparty screenings.Directed reviews involving reputational risk to Citigroup including, Senior Public Figures, Gaming Industry, Money Service businesses, to the Financial Intelligence Unit(“FIU”) for enhanced due diligence (EDD).Prepared standardized due diligence reports for review and eventual Greenlighting of deals to the appropriate business units in a timely manner.Logged and tracked all deal transactions and relevant review files into AML Compliance deal tracker and folders.Followed current Bank Secrecy Act (BSA), OFAC, FinCEN, FINRA, SEC and AML institutional guidelines, and US Patriot Act to stay current with Industry and Government regulations.

New York, Ny

• Conduct enhanced due diligence reviews of customer’s client database.• Investigated account holders for negative news and matched against government watch lists.• Utilize industry propriety software (Westlaw) (World check) and various peripheral supporting applications, i.e. search engines to conduct investigations.• Report all findings in written reviews of each client.• Communicate to management ways to improve investigation protocols.• Perform quality assurance reviews of due diligence investigations• Working knowledge of Bank Secrecy Act (BSA), OFAC, AML institutional guidelines, and US Patriot Act.

New York, Ny

• Managed an accountant staff which included, staff objectives, professional training and development.• Oversaw the daily process of P&L reporting of the trading desk using Geneva accounting platform.• Responsible for the calculation of the month end close as well as the daily maintenance of all Geneva accounting ledgers including monthly review of all account reconciliations, journal and accruals entries.• Prepared all Geneva and Advisorware accounting financial reports.• Implemented Firm’s Accounting Policies in regards to all financial accounting transactions.• Analyzed and advised finance constituents on financial accounting and reporting deliverables, issues and process improvements.• Developed and provided a monthly report and information performance summary for each of the funds.• Managed daily Geneva Accounting System Data entry with regards to trades, pricing, spot FX rates, forward rates and variable rate tables.• Consulted with HBMJ Partners to customize the Loeb Capital Geneva reporting system.• Hands on experience in Special Projects as needed.

Roseland, Nj

Supervised and trained a department of 8 portfolio accountants on various derivative products and proper accounting of each vehicle, including options, swaps, and bank debt. Reviewed position and cash reconciliations on a weekly basis, and assisted staff in troubleshooting issues. Delivered the month end reporting packages out accurately to client service. • Successfully led the conversion of accounts from Total Return to Advent Geneva Accounting System. Set up trial balances, reconciled holdings, and properly priced portfolios. • Responsible for the preparation monthly financial valuation statements for 30 Hedge fund accounts totaling $ 10 Billion in assets.• Reconciled Broker web reports to our portfolio accounting system. Brought cash and trading differences to the attention of brokers and clients. • Involved in the hiring, training and development and review of all personnel.• Performed fund accountant duties when required.

New York, Ny

Relationship Manager for fourteen mid-market corporate pension plans representing assets of $1.7 billion and revenues of $ 1 million.Introduced clients to enhanced products and services offered at State Street.Trained clients in new reporting and on-line services.Set up MS Excel spreadsheets which reconciled and combined the Deutsche Bank short annual report with the State Street final annual report for clients and auditors.Researched and resolved any variances including pricing, market value, accruals, and gains and losses between the prime broker reports and client’s reports. Created additional customized reporting to help the clients accounting firms and third party vendors file tax returns and forecast budgets for the client.

Jersey City, Nj

Jersey City, Nj

New York, Ny

Bachelor Of Science (Bs), Management

Activities and Societies: Zeta Phi Epsilon- President, Basketball Team- Captain, Baseball Team.

Education record