Reviewed investigations final product to ensure the case owner arrived at the correct decision based on available information. All reports sent for filing were reviewed for correct demographic information, that all required fields were correct, and the body of the report was written in a clear, concise, and complete manner. Provided findings to management and investigations teams. Conducted investigations as needed to meet regulatory obligations.

Develop investigators performance objectives, development plans, and execution of these plans. Review reports and non-reports for quality before they are sent or closed. Monitor investigator’s case load to ensure regulatory obligations are met. Provide reports on production and quality to management and investigators. Conduct weekly quality calibration meetings and weekly one on one discussion on production and quality scores. Provide coaching to investigators regarding potentially suspicious or non suspicious account activity.

Conducted reviews of Community, Consumer, and Business Banking customers to identify potentially suspicious activity. This included typology reviews and interviews with customers and bank personnel to obtain information related to transaction activity. Acted as a subject matter expert on a new internal data warehouse system, liaised with law enforcement regarding reports filed/ close to being filed on a regular basis. Trained and coached junior members of the team.

Performed monthly Quality Assurance reviews of cases, events, and alerts for content, correct typologies, backup documents, verbiage and overall correctness for all lines of business (Retail Financial Services, Commercial Banking, Card Services, Treasury and Security Services, Broker Dealer, Private Bank, and Investment Banking); managed 8 to 12 Peer Reviewers each month to gain the highest quality reviews possible and used as an opportunity to coach investigators and analysts; performed targeted deep dives into policies and procedures to assess compliance with current laws and regulations; identified opportunities for improvement in the current workflow and/or policies and procedures; served as liaison for the transition of Washington Mutual’s Quality Control program to Chase’s Quality Assurance program and acted as lead reviewer and point of contact for the AML Operations staff at the San Antonio location; managed colleagues during a sensitive transition phase while assisting in special projects, and ensured that the work was completed timely and that the office remained calm and considerate; identified a large ring of AML activity previously unidentified and presented it to AML Operations Management resulting in SAR filings and subpoenas; performed User Acceptance Testing for the Access Database currently used by the Quality Assurance department; actively involved in the transition of the Access Database to a Java system.

Investigations, OFAC, foreign wires and cash reviews, high risk wire reviews, collateral loan review