Karen Wise work email
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Karen Wise personal email
RESULTS-DRIVEN COMPLIANCE CONSULTANT/ANTI-MONEY LAUNDERING OFFICERCompliance-focused with relevant experience in management of suspicious activities and development of exception reports. Record of positively impacting organizations with extensive experience in compliance and operations for broker-dealers, major insurance companies and banks. Proven ability to recognize, assess and propose solutions to compliance and regulatory concerns, communicate with business partners of all levels, and build and develop effective teams. • Extensive knowledge of business laws and AML policies; expertise in analyzing emerging regulations• Effective analytical skills that help detect frauds and inconsistencies; enhanced research abilities• Efficient data management, SAR report writing, regulatory compliance, auditing and project development• Creative problem-solver and dynamic leader with exceptional organizational skills
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Aml AnalystCapco Oct 2021 - Sep 2022London, Uk, Gb -
Aml AnalystCustomers Bank Apr 2021 - Aug 2021Wyomissing, Pa, Us -
Sr. Analyst I (Temporary Assignment)Aml Rightsource 2020 - 2020Cleveland, Oh, Us• Transaction monitoring and research of customers deemed to be high risk for money laundering. -
Aml Consultant (Temporary Assignment)Penn Mutual 2019 - 2020Horsham, Pa, Us• Reviewed AML monitoring reports• Drafted Suspicious Activity Report (SAR) and Form 8300 narratives -
Aml Analyst (Temporary Assignment)Barclays 2018 - 2019London, Gb• Reviewed system generated alerts to assess presence of illicit activity that required reporting based on BSA/AML requirements, conducted research as required, and documented detailed results in written format• Wrote Suspicious Activity Reports (SARs)• Identified trends and reported to management -
Investigator, Global Financial Crimes Compliance (Temporary Assignment)Bank Of America 2017 - 2018• Performed routine to complex investigations of elder abuse; acted as the liaison to law enforcement as required
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Fiu Fraud Monitoring Analyst (Temporary Assignment)The Bancorp 2017 - 2017• Identified, evaluated and reported suspicious activity pertaining to web banking, pre-paid, ACH, retail and other account activity; took appropriate action to prevent, minimize and/or curtail losses against the company
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Aml Alerts AnalystJpmorgan Chase 2014 - 2016New York, Ny, Us• Investigated alerts generated by the firm’s AML transaction monitoring software• Conducted internal account/customer reviews to identify suspicious activity• Collected, reviewed and documented data, including alert, investigation, or Suspicious Activity Report (SAR) history, Know Your Customer (KYC) information, relevant account and transaction data -
Aml Compliance Analyst, Contract/Temporary AssignmentsJpmorgan Chase And Capital One 2013 - 2014• Investigated alerts generated by the firms’ AML transaction monitoring software
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Aml Investigations Team LeaderHsbc 2012 - 2013London, Gb• Led a team of investigators who conducted complex and sensitive money laundering and terrorist financing investigations for a large international bank• Reviewed and edited investigative reports and escalated matters to the Suspicious Activity Report (SAR) Writing Team for consideration of possible SAR filing if warranted -
Compliance ConsultantNationwide Financial 2008 - 2012Columbus, Ohio, Us• Executed ongoing surveillance activities for approximately 1,600 Registered Representatives of the wholesale broker/dealer to identify trends and mitigate risks to the firm; implemented new and enhanced processes to monitor gift and entertainment expenses• Performed special investigations of expense report concerns, designed customized exception reports to target particular areas of focus, and escalated findings to senior leaders for disciplinary action if warranted• Regularly provided detailed analysis of newly adopted laws and regulations; assessed impact to firm and informed key personnel of necessary procedure changes -
Aml And Surveillance Manager, Corporate ComplianceNationwide Financial 2007 - 2008Columbus, Ohio, Us• Oversaw implementation of and updates to the Anti-Money Laundering (AML) program for a retail broker-dealer; directed a successful internal audit of the program in which no deficiencies were identified• Managed the investigation of reported suspicious activities to determine whether Suspicious Activity Reports (SARs) needed to be filed with FinCEN• Supervised the approval process for Registered Representatives’ outside business activities, outside trading accounts, and private securities transactions• Collaborated with Information Technology department to develop and implement exception reporting on sales practice trends such as replacement activity, switches, sales to customers over age 65, sales to low-income households, and more• Directed the review of changes of address, changes of investment objective, and transfers to third parties as required by FINRA rule 3012 and the creation of annual report to senior management
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Compliance SpecialistNationwide Financial 2004 - 2007Columbus, Ohio, Us• Screened customer records against OFAC’s list of Specially Designated Nationals and Blocked Persons and FinCEN 314(a) Information Requests under the USA PATRIOT Act• Co-designed the firm’s proprietary OFAC screening tool and trained compliance staff members on effective use of the tool• Monitored for problematic trends of life insurance/annuity replacement activity• When state replacement regulations changed, facilitated the development and rollout of the necessary new forms and the communication of the changes to our field force
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Sr. Compliance Analyst/Special Investigations AuditorNationwide Financial 2000 - 2004Columbus, Ohio, Us• Completed audits of home office and field operating segments for trend analysis and industry benchmarking purposes
Karen Wise Skills
Karen Wise Education Details
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Ursinus CollegeMajor: Mathematics; Minors: Economics And Accounting
Frequently Asked Questions about Karen Wise
What is Karen Wise's role at the current company?
Karen Wise's current role is Seeking Career Change and a Remote Part-Time Opportunity.
What is Karen Wise's email address?
Karen Wise's email address is ka****@****ast.net
What schools did Karen Wise attend?
Karen Wise attended Ursinus College.
What skills is Karen Wise known for?
Karen Wise has skills like Aml, Securities, Insurance, Financial Risk, Financial Services, Ofac, Surveillance, Banking, Investments, Internal Audit, Analysis, Leadership.
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