• Conducted complex investigations for suspicious activity on flagged alerts generated from PRIME BSA Reporter.• Determined if alerts can be closed or warrant further investigation and escalation.• Accurately document rationale for case closure or escalation as appropriate.• Provided recommendations for SAR filings by presenting documentation to support findings.• Managed assigned investigations ensuring timely and prompt recommendations and reports are made to management.• Assisted in the creation, development and review of Compliance procedures.• Initiated 314(b) requests to other participating financial institutions as deemed necessary to further advance investigations.• Managed Patriot Act Certifications (PAC) and re-certification process for the Firm foreign banks client.• Designed and conducted in-Person and video conferencing AML training to lines of Business within the Bank such as KYC, Client Service Unit and Global Transaction Business.• Coached and trained newly hired Analysts.

• Conducted initial analysis and assessment of alerts generated from Prime BSA Reporter using internal/external research tools.• Conducted investigations of referrals by other Lines of Business of fraudulent checks and suspicious emails.• Reviewed and performed searches of the banks customer base in response to FinCEN Subpoenas/314 (a) information requests.• Conducted annual Risk Assessment for Trade Finance and Asset-based Infrastructure Lines of Business (LOB) within the bank.• Reviewed and analyzed AML current trends and news in order to identify high risk areas, counterparties or keywords to incorporate into monitoring filters and rules.• Perform Transaction Monitoring rules testing and validation to ensure functionality of set rules.

• Provided support to AML Operations within the Bank.• Conducted Due Diligence reviews on all customers to protect the bank against Money Laundering risk.• Analyzed and reviewed client’s accounts to ensure compliance with established Firm’s policies and procedures. • Performed searches and gathered data from Internet and commercial databases; World Check, OFAC, Lexis Nexus, RDC• Made recommendations to management for improving effectiveness of AML policies and procedures.

• Assisted with large-scale, multi-jurisdictional engagements within the financial services industry.• Evaluated internal control structures and identified risks and made recommendations on how to mitigate those risks.• Monitored and analyzed wire transfer transactions for Correspondent Banking using KPMG Case Management System to determine whether Suspicious Activity Report (SAR) should be filed. • Conducted Due Diligence and Enhanced Due Diligence reviews using internal and external sources.• Performed independent review and testing of BSA/AML Program for global financial institution to assess the overall integrity and effectiveness of their Program.• Conducted gap analysis of AML/ATF Program for a global financial institution resulting in enhancements and overall development of AML policies and procedures.

• Conducted screening on potential and new clients in accordance with firm policies and Federal regulations.• Reviewed documents for completeness and accuracy according to AML/KYC policies of the firm.• Obtained an executed Foreign Bank Certification for all foreign banks dealing with firm.

• Provided support to Product Data Services Group.• Opened, updated and maintained Equity and option securities.• Researched and collected market data on securities from electronic feeds such as Bloomberg.• Resolved clients and internal counterparties issues, concerns and data inconsistences.

• Provided support to Tax Compliance Department.• Responsible for documentation control and reviewing IRS W-9 and W-8s.• Reviewed clients account to ensure correct income allocation and tax withholding.• Provided tax research and related to U.S tax documentation issues