James Harkness Email & Phone Number

Jacksonville, Fl, United States

Jacksonville, Florida Area

Associate (Mar. 2020 - Present)Corporate Analyst (Jan. 2019 - Mar. 2020) Client Lifecycle Management Special Projects (Jan. 2019 - Jan. 2020)Providing PM support for Global Markets, Global Corporate Finance, Commercial Real Estate, Global Transaction Banking, Periodic Review, Policy and Training, as well as Risk and Control teams within Client Lifecycle Management. Some tasks included; ∙ Helping fulfill and close out critical Audit points from regulators and internally raised concerns by documenting control functions and analyzing data from onboarding requests to minimize fail rates ∙ Conducting Periodic Review of high risk client files to meet strict deadlines. ∙ Coordinated an onboarding project which required collaboration across multiple jurisdictions and resulted in an expansion of client relationships & trading abilities. ∙ Conducted an analysis of multiple screening systems to gauge effectiveness, highlight gaps and resolve inefficiency. Wrote a White Paper for senior leadership utilizing data and offered recommendations for an effective go-forward plan.∙ Executed bulk screening project by (1) inputting data efficiently into excel templates (2) analyzing and dispositioning false positive feedback (3) escalating to Anti-Financial Crime team to ensure accurate review and disposition of results. Effort resulted in an avoidance of reviewing erroneous client files and helped ensure team met strict deadline. ∙ Working closely with Policy and Risk / Control teams to remediate client files lacking appropriate FinCEN documents. Defined criteria for a monthly control report to be executed and highlight high probability client files requiring remediation. Conducted UAT testing and created DTP documentation of the control requirement needed for audit closure.

Jacksonville, Florida

Americas UAT Lead for Client Onboarding Application (Dec. 2018 - Present)Led user acceptance testing by coordinating bi-monthly UAT activities for DB’s main onboarding system ensuring a successful release of enhancements. Responsibilities included (1) collaborating with IT, Development & relevant stakeholders to ensure KYC requirements were understood across all parties for proper coding (2) identify & manage risks, issues, mitigations and action items to closure, as they pertain to UAT (3) facilitate post-launch business verification testing (4) provide sign-off for Americas region of successful UAT & post launch releases to senior leadership.

Jacksonville, Florida

Operations Analyst (Oct. 2017 – Jan. 2019)Facilitated the onboarding and Periodic Review of corporate, institutional, hedge fund, and private equity clients trading with Deutsche Bank’s Global Markets desks. Performed risk analysis on potential clients, using publicly available information, financial statements and other company records provided by the client to determine the Ultimate Beneficial owners, compliance with regulatory requirements, and source of revenues and cash flows. Worked closely with Front office support to collect necessary KYC documentation and operational agreements such as tax forms, ISDA Master Agreements, FINRA Suitability documents, and Patriot Act Certifications in order to make sure the client is complying with all regulatory policies before onboarding. Worked with clients operating in the Americas, Europe, Australia and Asia requiring adherence to regulations such as MIFID II, Regulation W, Volcker Rule, Dodd Frank, EMIR (European Market Infrastructure Regulation) and FATCA (Foreign Account Tax Compliance Act), this often required working with teams across the globe to ensure all local regulations are fulfilled and certified appropriately. Worked closely with sales desk heads to ensure full KYC adherence for clients with potential high yield trades / deals with tight deadlines.

Jacksonville, Florida

At Aston Carter, we have an unrivaled commitment to deliver world-class careers to our business professionals. As a recruiter, it is my job to figure out what skills, passions and experiences you bring to the table to ultimately find you a job that works for you. Aston Carter is a distinguished global provider of top talent to companies requiring highly specialized accounting, finance, governance, risk and compliance business professionals to give you access to positions you might not find on your own. Find out how we can work together at AstonCarter.com.

Rhode Island

*Promoting the Narragansett brand and offerings at bars, restaurants and venues throughout Rhode Island.*Building brand equity and creating positive customer relations.*Increasing overall brand awareness as well as awareness of new or seasonal product offerings.

Rhode Island

-Managed 85 off-premise accounts throughout Rhode Island. -Booked, assembled and installed interior promotional displays, and exterior signs promoting the Narragansett brand.-Organized and executed tasting events to increase brand awareness which required showcasing in-depth knowledge of all products and offerings using interpersonal skills, and familiarity with a variety of sales and direct marketing techniques.-Facilitated direct product sales at tasting events and regular account visits.-Collaborated with account owners to schedule promotional activities, sell in product for displays, and make sure that inventory was arriving at their stores in the right quantities and at the right times. -Maintained inventory available in stores through; observation of account inventory levels and knowledge of peak sales times in order to prompt store management to reorder when needed. -Assisted with the introduction and implementation of five seasonal craft beer lines and a limited edition promotional "retro" lager line.-Delivered weekly reports on growth and expansion in assigned territory to CEO, VP of Sales, and distributors.

Bachelor Of Business Administration (B.B.A.), Double Concentration In Marketing And Sociology, Senior

Activities and Societies: Executive Vice President of the Bryant Marketing Association (BMA), Secretary of Bryant University Big Brothers.

Education record