John Simas Email and Phone Number
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I have worked in the financial services industry for over 27 years in a variety of roles both in Operations and Compliance. I'm originally from the Boston area but currently reside in the Asheville, NC area surrounded by the majestic and peaceful Blue Ridge mountains. I have my FINRA Series 7 and 24 licenses and CAMS (Certified Anti-Money Laundering Specialist) and CFE (Certified Fraud Examiner). In my spare time, I enjoy staying active with all kinds of outdoor activities including running, hiking, biking, & kayaking.
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Senior AnalystLpl Financial Jan 2015 - PresentFort Mill, South Carolina, United States• Review, update and enhance AML & Anti-Fraud policies & procedures• Act as AML Advisory Liason to other LPL business units & channels• Perform risk assessments, gap analysis, trend and pattern analysis of AML program• Act as SME for independent audits, internal audits, regulatory exams• Assist with vendor risk management, vendor risk assessments for AML & Anti-Fraud vendors• Assist in development, implementation and tracking of AML and Anti-Fraud training programs -
Manager, Financial Intelligence UnitLpl Financial Mar 2012 - Dec 2014Greater San Diego Area• Manage the Know Your Customer (KYC) & Enhanced Due Diligence (EDD) Teams• Approve and monitor highest risk accounts including PEP, OFAC & foreign entity accounts• Provide ongoing training and education of firm’s AML program to home office staff & advisors• Develop & implement internal policies and procedures with respect to the AML program • Review and approve filing of Suspicious Activity Reports (SAR)
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Senior Aml AnalystLpl Financial Services Mar 2008 - Mar 2012Responsible for overseeing firm's "Know Your Customer" & "Customer Identification Programs" to ensure compliance with federal & industry regulations including USA Patriot Act. Identify accounts & client relationships which present a business risk to the firm and report to AML management with recommendations.
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Kyc Remediation ManagerCitizens Bank Nov 2007 - Mar 2008• Responsible for hiring & managing team of 25 analysts for purposes of KYC Remediation• Oversee the remediation process including identifying high risk population, remediate missing data elements, review customer relationship and disposition• Prepare reports for internal auditors, regulators and senior management outlining progress & overall status of the remediation• Evaluate team performance and provide feedback to team members via one-on-one meetings and annual performance reviews• Answer questions from Relationship Managers and Executives from other divisions of the bank concerning KYC Remediation -
Edd AnalystCitizens Bank Mar 2007 - Nov 2007• Responsible for performing enhanced due diligence on customers designated as high-risk for money laundering / terrorist financing• Communicate with designated Relationship Manager or Branch Manager to obtain appropriate documentation from the customer (i.e. corporate documents, contracts, licenses, etc)• Identify and analyze potential suspicious activity and file Suspicious Activity Reports (SARs) with FinCEN as required• Make closing recommendations to the appropriate business lines on those customers who represent a money laundering/terrorist financing risk to the bank or those that fail to comply with CFG policy
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Aml AnalystCitizens Bank Aug 2006 - Mar 2007• Responsible for monitoring all customer transactions across all business lines for suspicious activity• Identify and analyze potential suspicious activity and file Suspicious Activity Reports (SARs) with FinCEN as required• Make closing recommendations to the appropriate business lines on those customers who represent a money laundering risk to the bank• Interact with law enforcement representatives following up on CFG cases on a regular basis
John Simas Skills
John Simas Education Details
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Administrative Studies -
Finance -
Winchester High SchoolHigh School Diploma
Frequently Asked Questions about John Simas
What company does John Simas work for?
John Simas works for Lpl Financial
What is John Simas's role at the current company?
John Simas's current role is Senior Analyst at LPL Financial.
What is John Simas's email address?
John Simas's email address is js****@****ash.net
What is John Simas's direct phone number?
John Simas's direct phone number is +185894*****
What schools did John Simas attend?
John Simas attended Boston College, Bentley University, Winchester High School.
What skills is John Simas known for?
John Simas has skills like Finance, Kyc, Aml, Anti Money Laundering, Risk Management, Due Diligence, Usa Patriot Act, Series 7, Microsoft Office, Compliance, Research, Bank Secrecy Act.
Who are John Simas's colleagues?
John Simas's colleagues are Steve Wedel, Robert Allison, Andre’ Leake, Jontai Blanding, Cotton Sears, Timothy Ryan Ashmore, Greg Judge.
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1yahoo.com1 +131067XXXXX
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John Simas
Program Management Leader | Driving Innovation, Efficiency, And GrowthAustin, Texas Metropolitan Area -
John Simas
Union City, Ca5logitech.com, unionbank.com, uboc.com, svb.com, visa.com1 +151089XXXXX
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