Douglas E. Cano Email & Phone Number

New Jersey, United States

United States

• Performed all OFAC Global Sanctions and adverse-media screenings for new and existing clients and determined appropriate compliance action based on information available.
• Performed all due diligence processes for new clients by researching/ gathering client information utilizing online sources such as Customer Website, Regulator Website, Google Searches, Google Maps, and Lexis Nexis.
• Ensured client vetting data and document processing complied with applicable AML/BSA regulations.
• Conducted quarterly QA reviews of new and existing accounts for low, medium, and high-risk client bases ensuring that all documentation met all the requirements outlined in the KYC (Know Your Customer) policies and.
• Partnered with numerous internal teams in the development of new proprietary systems providing support in reviewing, testing, modifying the firm’s policies and procedures as needed.
• Assisted in the annual review and provided SME to update the bank’s policies and procedures, manuals and other important customer documentation as required.

United States

• Partnered with RM’s to onboard the firms domestic and international clients including the preparation and development of the client report that required final approval of all documentation of the KYC records and.
• Analyzed and validated the firm’s KYC - Customer Identification Program (“CIP”) to ensure full and proper completion.
• Identified key risks in the current client lifecycle management process and recommended strategies to future state design to mitigate AML risks while operationalizing efficiency levers and reduce account opening lead.
• Carried out initial analysis of new account Enhance Due Diligence (“EDD”) packages.
• Maintained subject matter expertise (“SME”) of applicable AML rules and regulations to support Front Office by providing guidance on KYC compliance requirements.
• Ensured client vetting data and document processing complied with regulations, guidelines, standards, and policies for all new accounts.

United States

• Reviewed and assessed potential OFAC sanctions hits using internal procedures and industry standard best practices for disposition of false positive alerts and escalation of true matches to management.
• Performed data analysis and visualization on assigned tasks and on an ad-hoc and/or biweekly basis utilizing Tableau software to be used by senior management.
• Compiled and prepared client data to be reviewed and investigated for potential occurrences of suspicious activity via the firm’s transactions monitoring system, suspicious activity referrals received internally and.
• Demonstrated a clear understanding of risks and AML typologies that were presented to the bank in its offerings of products and services, including retails customers, MSBs/TPPs, MPL, and Crypto currency platforms.
• Determined the appropriate course of action for adjudication, including but not limited to, closing the alert, creating a case for further investigation, flagging the customer for EDD Review, and/or filling a.
• Carried out due diligence and adverse media research on new and existing clients and prepared comprehensive dispositions, summaries, escalations as applicable.

United States

• Branch lead for conducting KYC, onboarding, DD/EDD, FinCEn review, OFAC Sanctions screening, negative news screening and analysis for new and existing clients to mitigate risk in high-risk jurisdiction zones (LATAM).
• Participate in UAT/ testing our Fircosoft system updates or filter enhancements as it relates to sanctions screening.
• Carried out research in both English and Spanish through both our in-house databases and online research to assess a client’s profile for potential money-laundering, corruption, and financial crimes.
• Reviewed documentation and forms received from RMs and/or clients for completeness, accuracy, up-to-date, fact check, negative news, fraud, and PEP classification/verification all in accordance with the firm’s internal.
• Carried out all screenings of new clients and their counterparties based on their risk-rating on various databases (WorldCheck, D&B, FircoSoft, OFAC Sanction Screenings website, Google research, Bankers Almanac).

New York City Metropolitan Area

· Carried out all aspects of compliance review including gathering data, sampling, research, recording evidence from internal systems and external sources, and disposition of alerts for the bank’s senior management. · Carried out extensive OFAC sanctions screening of real time alerts/hits for potential sanctions violations.· Investigated non-obvious false.

New York City Metropolitan Area

· Team lead for the screening of OFAC and global sanctions alerts related to the branches Swift messages, wire transfers, check payments, L/C reimbursements and client information derived from domestic and Latin American clients.· Performed testing of new OFAC/SDN updates in the firm’s proprietary AML system to ensure timely upload of watch lists and to.

Weehawken, New Jersey, United States

· Performed KYC (Know Your Customer) remediation on High-Risk clients as part of the annual risk-based approach review process for both UBS Financial Services Group and the Private Bank.· Ensured that all new clients had been thoroughly screened/vetted prior to onboarding as required under Section 326 of the USA Patriot Act.· Served on the Politically.

Finance, Finance And Financial Management Services

Data Science, A

Finance And Financial Management Services