Manage KYC Client On-boarding staff responsible for completing regulatory reviews and obtaining AML documentation for on-boarding Equity, Fixed Income, Derivatives and Hedge Fund accounts. Implemented a CDD process for verification of Customer information and the Recertification of required Documentation.Created a Documentation Control system to track and monitor account documentation required to meet our AML/KYC requirements.Member of the AML committee, working closely with Compliance to address AML/KYC audit findings and update KYC procedures to meet regulatory requirements. Implemented a Documentation Control Grid to ensure staff is requesting and monitoring proper documentation for each counterparty upon on-boarding process and Continued CDD.Hire, Train, and evaluate staff in the New Accounts and CDD area.Create, improve, and maintain desk procedures for staff training.Provide Senior Management will monthly CDD and Client On-Boarding Forecast reports Implemented a Quality Assurance process to ensure all completed work is accurate and the departments Policies and Procedures are compliant. Worked on internal and external audit requests.

Managed New Accounts staff responsible for reviewing, approving, and processing information and documentation obtained to satisfy AML and other regulatory requirements. Provide backup coverage for staff when needed.Perform daily Quality Assurance checks and identify inefficiencies in the account opening process Manage the relationship with the middle and front office to ensure the New Accounts process is in Compliance with our procedures and that all required documentation is being requested and obtained.Created and implemented a New Account Documentation tracking system to increase our efficiency in obtaining required account documentation and monitor for Compliance with all AML CIP, Due Diligence and Enhanced Due Diligence requirementsCreate, improve and maintain written procedures for staff trainingResponsible for hiring, training, and evaluating staffWork with internal and external auditors to ensure the area is in Compliance with regulatory procedures; adjust department's policy and procedures accordingly.

Mutual FundsActed as the lead associate in the Defined Benefit plan conversionWorked with Mutual Fund sales desk to balance daily NAVPerformed asset to liability reconciliations with our custodian bankActed as a liason between sales desk and outside fundsAssisted Mutual Fund sales team in various workshops and conferencesAssisted internal auditors in their examination of our procedures

Managed New Account team of 15 peopleEnsured all accounts were in good order, all required documentation was received and all requested changes were completed in a timely order.Verified the identity of all accounts and completed required OFAC and AML verifications.Performed Know Your Customer due diligence required per the U.S.A. PatrioAct.Created procedure manual used to train all new hires and guideline our audits

Supervised daily New Accounts functions for institutional and retail accountsVerified and approved all accounts opened within groupEstablished and coordinated documentation processSupported institutional trade desk in setting up accounts for fixed income and derivative tradingSet up Settlement instructions for Equity, Fixed Income, and Derivative accountsReviewed new and existing accounts for evidence of fraud, identity theft, money laundering, and restricted OFAC (Office of Foreign Assets Control) individuals

New Accounts / ConversionsResponsible for opening and maintaining customer accountsObtained and processed required account documentation Assisted management in various New Accounts projectsWorked with various back office groups to complete customer conversions.Ensured all converted accounts and balances were received from contra-broker before due date.INDUSTRY LICENSES: Series 7, Series 63