Lucy Guan Email & Phone Number

• Reviewed and processed KYC submissions from the business, ensuring compliance with regulatory requirements across various client types, including individuals, corporations, foreign financial institutions, trusts, LLCs.
• Conducted thorough research on clients to verify the accuracy and completeness of KYC information, using multiple data sources to cross-check details and resolve discrepancies
• Served as the primary liaison between the business and the branches, facilitating the smooth processing of KYC cases and advising on regulatory requirements for complex client types

New York, New York, United States

• Conducted comprehensive reviews of over 450 alerts per week to identify potential false positives or confirmed matches for negative news, politically exposed persons (PEPs), sanctions, and internal watchlists.
• Performed in-depth research on flagged entities and clients using multiple data sources such as LexisNexis and RDC, enhancing the quality of alert dispositions and reducing escalations by 35% through thorough analysis
• Escalated confirmed matches to AML management, streamlining the process by clearly documenting findings and providing actionable insights, which led to a 28% improvement in escalation handling time
• Developed a standardized research framework for alert dispositions, incorporating best practices that significantly improved the consistency of the review process and cut processing time by 35%

• Responsible for all aspects of valuation control of the business, including validation of market data inputs, reporting and analysis; identify pricing issues, valuation parameters or instrument types that may require.
• Analyze price testing results and fair value adjustments for covered products and businesses to ensure the accuracy of the bank’s books and financial records by identifying and escalating any anomalies in a timely manner
• Collaborate with trading and quantitative groups to fully understand the impact of valuation uncertainty on the desk’s pricing and any accompanying fair value adjustments; ensure that risk portfolios are fairly valued.
• Enhance Valuation Control Group regulatory oversight, in line with heightened expectations from global regulators and internal and external auditors; handle regular and ad-hoc requests from global teams, regulatory.
• Evaluate fair value adjustments and price testing findings for the products and businesses; compile monthly regional and global valuation control reports; participate in monthly Independent Price Verification meetings.

Buffalo, New York, United States

• Exceeded sales quota by 5 percent by tracking sales performance metrics to identify trends in the marketplace and suggesting ideas to improve profitability
• Responsible for cash register responsibilities including balancing a cash till and safe, maintaining a consistent drawer count, and handling customer purchases
• Established a determined commitment to customer service with the ability to resolve complex issues and win customer loyalty by successfully building strong connections with repeat customers and by up-selling.

Manhattan, New York

• Managed day-to-day operations including evaluating financial records and controlling the cash management process to reduce costs and enhance efficiency across the board
• Assisted an average of 60 customers per shift in providing recommendations which generated a revenue of over $2000
• Hired and trained new associates in all cash register responsibilities including balancing, handling customer purchases and organizing cash register

New York, New York, United States

• Lead project management office (PMO) across the project lifecycle including strategy development, scope definition, vendor assessment, and functional design
• Participated in the development of business case to attract over a thousand attendees to spread awareness and gain support for local businesses