Kevin Walker Email & Phone Number

Frankfurt Am Main, Hessen, De

• Oversee the business group's Know Your Client (KYC) and Anti-Money Laundering (AML) processes.• Ensure strict compliance with the US PATRIOT Act of 2001 Section 326 CIP, as well as legal and regulatory requirements, to combat money laundering/terrorist financing risks and other crimes.• Demonstrate knowledge of KYC initiatives aimed at reducing the risk of money-laundering offences.• Complete new client adoptions and periodic reviews by confirming KYC data requirements, collecting relevant information, undertaking research via internal and external sources, and analyzing KYC documentation in accordance with regulatory and DB AML policy requirements.• Determine and document client classifications from a risk and regulatory perspective.• Perform KYC due diligence reviews in a timely manner in accordance with company policies.• Evaluate AML risks associated with clients; escalate potential risks and operational issues.• Engage with key stakeholders using strong influencing skills to ensure the mutually satisfactory resolution of key issues.• Implements any required change in static data and resolution of any matters arising from the review• Recommend solutions to further improve and streamline KYC processes.• Determine legitimacy of activities through various AML regulations including the USA PATRIOT ACT, the Bank Secrecy Act, and OFAC.

Frankfurt Am Main, Hessen, De

• Ensured the timely, complete, and accurate processing of transactions; performed all relevant controls within my area of responsibility, including Prime Brokerage Wires Department Jacksonville.• Leveraged business strategies and objectives across product and business lines within all internal and external policies/guidelines and requirements of the regulators and to agreed SLAs, KRIs, and KPIs.• Established and maintained relationships with front office clients to provide a point of contact within the functional team for time critical, complex, or regulated tasks.• Contributed to function development to ensure a superior offering in the face of changing client needs and shifting market trends.• Escalated operational, regulatory, and other risks to line manager and functional leads as appropriate.• Supported the development and implementation of mitigation or control solutions.• Participated in strategy design and implementation to ensure continuous process improvement; collaborate with the COO and change functions to scope and define projects for process/performance improvement.• Conducted and evaluated periodic reviews of process efficiency to identify opportunities to eliminate waste and improve efficiency/performance.• Provided direction, support, and guidance to direct reports and functional teams to foster an environment of continuous improvement.• Supervised the entry and approval of high-value cash wires, securities transfers, and journal request transactions for global-based prime brokerage clients, while mitigating risk for the firm.• Collaborated with global Margin, Risk, and Cash Management teams to ensure timely delivery of wires.

Mount Laurel, Nj, Us

• Received award for the Most Valuable Professional in the Product and Pricing Department.• Served as Subject Matter Expert for the implementation of amended laws for Regulation Z, the Dodd-Frank Act, and CFPB.• Analyzed data from business sources including Goldman Sachs, Merrill Lynch, Morgan Stanley, TIAA-CREF, UBS, and UMB.• Provided strategic thought leadership during the development and implementation of innovative pricing solutions.• Addressed and resolved inquiries; quoted and negotiated rates; restructured deals as required.

Mount Laurel, Nj, Us

• Recognized as one of the top sales associates for consistently exceeding sales quota.• Assisted financial advisors and consultants in creating value for clients by explaining product benefits. • Evaluated conventional mortgage guidelines to determine customer eligibility.• Conducted income analysis and review credit reports to determine eligibility.

Bachelor Of Business Administration, Marketing

Associates Of Arts, Business Administration