David Duque Email & Phone Number

Altadena, CA, US

Los Angeles Metropolitan Area

• Orchestrated comprehensive audits to ensure strict adherence to regulatory and procedural standards. Streamlined documentation processes, identifying and rectifying discrepancies to bolster operational efficiency..
• Resolved control-related issues promptly, ensuring compliance with critical deadlines and regulatory demands.
• Contributed strategically to discussions on control enhancements, driving improvements in process efficiency and compliance.
• Managed multiple auditing tasks simultaneously with high precision, demonstrating superior organizational capabilities.
• Upheld unwavering professionalism and integrity in all auditing activities, safeguarding sensitive information and compliance with stringent regulations.
• Extended initial three-month contract to ten months due to exemplary performance and leadership in audit management.

Los Angeles County, California, United States

• Conducted complex investigations into suspicious cryptocurrency transactions employing tools like Chainalysis Reactor and Elliptic. Administered enhanced due diligence reviews on high-risk profiles, safeguarding.
• Identified and dissected emerging trends in cryptocurrency compliance, proactively incorporating regulatory updates into strategic planning.
• Mentored cadre of junior consultants in AML investigative techniques, catalyzing their professional development and competency.
• Unraveled sophisticated money laundering network by linking seemingly disparate account activities through deep data analysis using Chainalysis Reactor.
• Fostered culture of continuous improvement and knowledge sharing within compliance team, enhancing overall operational effectiveness.
• Spearheaded critical regulatory report, resulting in flagging and subsequent investigation of high-risk accounts involved in layering funds across multiple exchanges.

Los Angeles Metropolitan Area

• Directed investigations into complex financial irregularities, leveraging analytical acumen and compliance knowledge. Performed exhaustive Enhanced Due Diligence (EDD) on high-risk profiles to guarantee alignment with.
• Upheld stringent BSA and AML protocols, consistently satisfying regulatory mandates and defending against financial misconduct.
• Evaluated financial exchanges meticulously to fortify bank policy compliance, thereby reducing monetary hazards and bolstering operational integrity.
• Enhanced institutional compliance frameworks, effectively mitigating financial crime risks through expert advisory and rigorous adherence to regulations.
• Achieved recognition for pivotal contributions in resolving complex cases and enhancing compliance systems, reflecting commitment and proficiency.

United States

• Analyzed RCSA risk control processes to bolster compliance and efficacy within established regulatory frameworks. Assessed internal controls for robustness against material misstatements in testing scenarios. Created.
• Directed junior staff, enhancing their professional capabilities and advancing team knowledge.
• Executed project tasks independently, achieving targets for regulatory remediation efficiently.
• Devised business process control frameworks, clarifying corporate procedures and objectives for staff adherence.
• Contributed to operational and business risk proposal formulations, aiding in project development.
• Advanced personal professional development through proactive skill enhancement and expertise broadening in consulting field.

United States

• Scrutinized financial activities to detect and resolve money laundering attempts, employing meticulous analysis of transactions. Executed comprehensive due diligence for high-risk business engagements to evaluate and.
• Resolved intricate cases of potential financial malfeasance by preparing and accurately submitting Suspicious Activity Reports (SARs) on schedule.
• Terminated high-risk accounts and dissolved business relationships post extensive investigation, safeguarding institutional integrity.
• Synthesized detailed investigative reports that cataloged findings, enacted measures, and strategic recommendations for risk management.
• Liaised with both internal and external stakeholders to amass critical information, facilitating comprehensive case analyses.
• Updated procedural practices in response to evolving AML directives, significantly bolstering effectiveness of investigative processes.

Monterey Park, California, United States

• Conducted enhanced due diligence reviews for high-risk clients and transactions, including domestic and international wires, to diminish potential risks. Investigated financial transactions to uncover patterns.
• Led comprehensive AML investigations from detection to resolution, documenting and analyzing questionable activity.
• Prepared and submitted Suspicious Activity Reports (SARs) timely for identified suspicious transactions, ensuring precision and adherence to regulatory standards.
• Collaborated with both internal Financial Crime Investigation Unit teams and external entities to secure critical information and bolster comprehensive investigations.
• Contributed to formulation and implementation of financial crime strategies and regulatory initiatives, augmenting bank’s AML compliance framework.
• Mentored junior analysts in AML investigation techniques and regulatory compliance standards, promoting professional growth within team.

Simi Valley, California, United States

• Engineered and executed strategic internal controls system across five essential pillars, ensuring resilient governance framework. Spearheaded investigations into unauthorized account activities during their.
• Resolved complex customer issues by conducting detailed evidence-based investigations, significantly improving risk mitigation measures.
• Mitigated financial risks effectively, safeguarding customer interests through strategic risk control methods.
• Enhanced business control testing and audit efficiencies by leading special projects focused on identifying and rectifying operational vulnerabilities.

Simi Valley, California, United States

• Designed and implemented Risk Control Self-Assessments (RCSA) to enhance risk understanding across managerial and employee levels. Developed comprehensive business process diagrams to identify and rectify.
• Resolved escalated risk control complaints swiftly, ensuring uninterrupted operations and heightened client satisfaction.
• Analyzed RCSA data to produce daily and monthly reports, facilitating strategic management decisions.
• Leveraged Power BI and Tableau for advanced analytics, improving operational performance insights for executive decision-making.

Glendale, CA

Construct payment work out programs and assist customers in the liquidation of property to minimize losses and maximize recovery for company and investors.Review customers credit history and loan- to-value ratio Provide loan modification solutions to customer and authorized third parties Create great customer experiences under difficult situations by.

Glendale, CA

Responsible for answering customer questions via inbound / outbound dialer contact center, including collecting information and funds in an effort to help callers resolved their delinquent loan status or find alternative solutions. Upsell mortgage products, (HELOC, Mortgage Solutions) Address any delinquent concerns customer may have Assist Business.

Glendale, CA

Answered customer’s questions quickly with a high level of accuracy, contributing to a positive customer experience and strengthening the relationship between the customer and company. Up sell credit cards and open new banking products to enhance customer experience Learn all banking regulations to stay in accordance with FDIC and bank guidelines Provide.