Mathieu Evans Email & Phone Number

San Antonio, Texas, Us

Jacksonville, Fl, Us

Pasadena, California, Us

Investigate suspected, alleged or known fraud and anti-money laundering cases using both internal and external resources. • Compile the necessary investigative documentation, contacting internal and external parties, and conduct interviews as necessary to complete investigations.• Ensure that complete, accurate, and timely SARs are submitted to the department manager allowing sufficient time for review and subsequent submission to Financial Crimes Enforcement Network (FinCEN) and other regulatory agencies as necessary.• Documenting the results of the investigation to support the decision to file or not file a SAR.• Storing supporting documents in respective investigative files and systems according to documented guidelines.

Jacksonville, Florida, Us

Jacksonville, Fl, Us

• Ensure strategic objectives of the risk management program are met including the execution of risk assessment activities, coordination of risk response, and program testing and validation.• Present weekly updates on current risk climate to business liaisons and executive administration.• Design, implement, and manage solutions to corporate security initiatives.• Develop and maintain business processes, procedures and sustainable reporting.

Washington, District Of Columbia, Us

• Conduct routine reviews and investigations into possible violations of federal securities laws enforced by FINRA. • Routinely analyze trading activity and account documents, provided by broker-dealers, for potential fraudulent activity. • Resolve situations that may impact the integrity of NASDAQ, New York Stock Exchange (NYSE) and other markets regarding securities fraud. • Utilize computer resources and software applications for data analysis pursuant to an investigation.• Submit investigation referral reports to management, which are reviewed and submitted to the Securities and Exchange Commission (SEC).

Buffalo, New York, Us

•Makes recommendations to improve policies and procedures to maximize departmental resources.•Detects monitors, analyzes and reports suspicious activity with respect to money laundering and terrorist financing.•Responsible for performing tasks in a manner that are compliant with applicable laws and regulations to minimize penalties and reputational losses.•Ensuring adherence to State and Federal regulatory compliance with the Bank Secrecy Act, USA Patriot Act and OFAC.•Responsible for training new associates.•Interacts with business units to ensure compliance laws and regulations are adhered to.•Exercises independent judgment, discretion, and decision-making•Assesses and mitigates the risks associated with high risk customers through enhanced due diligence review and suspicious activity identification.•Implements internal policies and control procedures with a thorough knowledge and understanding of guidance, laws and regulations. •Detects monitors, analyzes and reports suspicious activity with respect to money laundering and terrorist financing. •Monitors complex customer activity in order to ensure the bank is not doing business with persons involved in money laundering or terrorist financing or with prohibited persons or entities designed by OFAC and other law enforcement agencies.

Frankfurt Am Main, Hessen, De

Deutsche Bank Jacksonville, FL Sr. Operation Analyst 05/11 – Present Risk Operations AML Surveillance• Responsible for conducting internal reviews of possible violations of the Bank Secrecy Act and securities regulations related to potential money laundering, terrorist financing, fraud and inappropriate trading activity.• Conducts transaction and trading review of client accounts, AML, and securities investigations using Norkom application tool.• Manage, review, document and monitor politically exposed person (PEP) and foreign business relationships on-boarding process according to KYC policy.• Utilize analytical skills to compile data in order to streamline processes and reduce unnecessary work flow.• Write appropriate Field Inquire Response disposition and make the appropriate decision in the Field Inquiry Tool.• Assist and provide information to support Suspicious Activity Reports (SAR) or equivalent for regulatory filing.• Support senior management in performing various global AML and securities compliance responsibilities, special projects and MIS report metrics.• Updated standard operation procedures for Risk Assessed, and anti-money laundering policies and procedures every quarter.

Frankfurt Am Main, Hessen, De

Prepare and analyze daily pricing spreadsheets sent to the New York Stock Exchange, Reuters and Bloomberg.• Support business operations through analysis of key performance indicators and trends, providing modeling and reporting to facilitate executive-level decision making• Strong business judgment, multi-tasking abilities, strategic thinking, interpersonal and presentation skills.• Provide recommendations for the correction, enhancement and development of projects through research, data and business analysis• Responsible for financial modeling with Microsoft Excel to include V-look ups, pivot tables, and formulas.• Collaborated with sales and trading on projects implementing system upgrades to increase sales revenue.• Manage and instruct groups in the settlement of 3a2, 144a and shelf notes.

Frankfurt Am Main, Hessen, De

Identify and market derivative products to existing/prospective clients working with senior marketing team/Relationship Manager.• Monitor and manage customer derivative transactions including structuring, pricing and execution.• Full understanding of derivative products including credit default swaps, interest rate swaps, caps, floors, libor and eurobor.• Lead derivatives research and analysis teams and train new members on using different computer applications and software as required. • Study market behavior regularly and keep the team updated about the changing trends and customs in derivative markets.• Handle the operational process of determining and confirming derivative trade terms and regulations with other professional clientele.• Review the documentation related to derivatives contract and confirm accuracy and legality in mentioned terms and conditions.• Mitigated economic risk through comprehensive monitoring and accurately affirming trade transactions.

New York, Ny, Us

Responsible for settlements of foreign equity transactions• Web based banking instructions to deliver/receive shares to local market countries• Responsible to transfer foreign securities and funds in and out of customer accounts• Member of corporate actions team responsible for selling foreign currency and handling physical certificates• Assisted with house money accounts and data reconciliation balancing for breaks and unmatched share positions• Reconcile investment portfolio with all related general ledger accounts on a daily basis.

New York, Ny, Us

• Responsible for processing about 2.5 billion dollars in reinvestment trades for clients each year• Manage a specific group of mutual funds which pay dividends to clients accurately and timely• Produce necessary wire movements for dividend payouts• Communicate with external clients and the Depository Trust Company regarding stock dividends, stock splits , and optional cash dividends• Communicate and resolve any dividend issues with the Relationship Management team• Resolve issues related to cash out of balances with the reconciliation team• Work with the Product Support team on dividend exemption processing

New York, Ny, Us

• Responsible for transactions between 100 and 500 million dollars per day• Process fed wires (domestic and international), check requests and journal entries• Assist financial advisors and branch office personnel with issues on clients’ accounts

• Investigated, analyzed and reviewed patient accounts while collecting revenue from the insurance providers on the medical claims in a timely manner. • Identified and relayed system problems to the appropriate interface area for correction to prevent further problems.

Provided leadership and sports coverage to the university’s newspaper