Managed KYC Department by providing an in depth subject matter expertise on potential key risks identified during the KYC Periodic Review lifecycle.

• Conducts KYC high risk customer analysis and reviews KYC forms for compliance with KYC procedures and AML policy• Enhance and restructure the Adverse News (RCD/WLF) process to be more efficient and streamlined• Interacts with business compliance officers, business staff and compliance staff to ensure consistent and high quality management of the KYC process• Keeps track of high risk customer lists, PEP lists, and others requiring ongoing monitoring• Advises the business lines regarding the KYC process and other AML program requirements• Interacts with Client on Boarding team to review escalations and provide compliance guidance • Prepares presentations of AML packages to AML Governance Committee for consideration of final risk rating (PEP’s, FCPA violations, fraud, etc.)• Review business EDD packages for completeness and accuracy to maintain compliance• Review and assess adverse news search, result to supplement EDD or Periodic Review packages• Track metrics for EDD and Periodic reviews, and Actimize alert escalations• Provide weekly and monthly reports to the VP KYC Officer, Director of AML Compliance and AML working group.

• Involved in various KYC projects, including projects related to FATCA, Dodd Frank, EMIR and annual review/periodic review of cases• Verify all CIP information through documents and non-documentary methods• Review and maintain a high volume of KYC/AML cases at various stages to ensure that counterparties ultimately qualify as AML compliant. • Specialize in KYC review for complex entities (Hedge Funds, Private Equity firms, Estates, trusts, etc.)• Gather, pursue and communicate with respective counterparty/broker regarding post-trade KYC requirements• Monitor transactions with any OFAC sanctioned countries, entities, or individuals• Work with DODD Frank, BSA, Suspicious Activity Reporting (SAR), the SEC, and Enhanced Due Diligence (EDD) for clients who were determined to be Higher Risk

• Reviewed and approved KYC documentation, information, and due diligence for new and existing clients• Liaison with internal teams to discuss AML/KYC requirements and conveyed KYC approval status• Ensured all policy required client documentation/records were complete and accurate• Conducted audits and AML/KYC related issues• Specialized in KYC review for complex entities (Hedge Funds, Private Equity firms, Estates, trusts, etc.)• Alerted management as appropriate to issues that require immediate attention• Handled all sensitive and confidential information in accordance with the firms policy• Compiled metrics for daily reporting• Liaison with CEO and Deputy CEO to organize and facilitate their daily KYC queues for risk review• Supplied knowledgeable opinions based on prior regulatory and reputational risk decision for complex KYC review to senior management• Researched high risk KYC’s for our CEO and Deputy CEO to help them finalize their decision • Handled extreme deadlines for high priority clients who needed accounts opened urgently• Monitored transactions with any OFAC sanctioned countries, entities, or individuals• Worked with DODD Frank, Suspicious Activity Reporting (SAR), the SEC, and performed Enhanced Due Diligence (EDD) for clients who were determined to be Higher RiskWorked side by side with the CEO and deputy CEO to organize and facilitate their daily KYC queues for review. Along with inputting opinions based of regulatory risk classifications based on the clients situation.Have experience working for several top-tier Wealth Management, Institutional and Commercial Banking firms and can adapt to new environments with ease.Professional Certifications studying for:- Anti-Money Laundering Specialist (CAMS).- Certified Financial Crimes Specialist (CFCS)