Michael A. Pepe, Cams-Audit Email and Phone Number

•Oversee the Quality Control function of the Investigations and SAR team; ensuring cases and SARs are completed accurately with all supporting documentation.•Maintain, update, and enhance the Investigations (Quality Control) Database to provide metrics to management for performance of case investigations completed by the analyst.•Aid in the enhancement of Quality Control across other teams within the Bank to help ensure suspicious activity is being identified and investigations adhere to the policies and procedures.•Conduct personal evaluations and coaching to employees to aid in their career growth and success.

•Conduct Quality Control reviews of case investigations and ensuring red flags are properly identified and identify procedural errors and inconsistencies.•Provide recommendations to enhance the policies and procedures to strengthen controls and guidance for the Investigations and SARs team. •Assist in the implementation of an Investigation (Quality Control) database to monitor trends and risk factors within case investigations.

•Complete assigned BSA/AML quality assurance reviews on BSA teams (CTR, EDD, Investigations and SARs, and Transaction Monitoring) keeping detailed documentation supporting review conclusions and presenting the testing results to respective team managers.•Identify areas of risk and make recommendations on operational improvements, processes for compliance, quality assurance and any additional training essential to mitigate risk. •Assist the Quality Assurance Manager in strengthening controls, remaining compliant and improving efficiency.

• Conduct investigations while managing a portfolio of multiple cases, gathering evidence, interviewing witnesses and suspects, and documenting findings in FCOI's (Fraud Compliance Operations & Investigations) case management system.• Comply with regulatory requirements pertaining to the Bank Secrecy Act (BSA), Anti-Money Laundering (AML), US Patriot Act and FCOI policies.• Gather thorough and accurate evidence on multiple case assignments including: financial profiles, tracing financial transactions, and background information on suspects using various systems and tools.• Complete Suspicious Activity Reports (SARs).

• Interpret AML risk standards and policies and procedures applicable to cases and make risk based decisions on whether to clear or proceed to draft SAR. •Serve as a point of escalation and Subject Matter Expert for analysts to evaluate and resolve issues around quality and content of alerts based on AML/TF knowledge. •Participate in the development of production and quality goals as well as ensure the team executes/meets/exceeds them within their channel or department, •Function as a key contributor to the Team Lead and Operations Manager and demonstrate knowledge of AML issues as well as broader functional knowledge across the look-back team.

•Research, document, and analyze background information on JP Morgan’s clients (including correspondent banking relationships) through public record databases.•Collect and document data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data. •Document all alerts, including supporting data, analysis and rationale for disposition, within the case management system. •Compile research data into a standardized report and forward to review for accuracy of findings.•Analyze alerted transactions related to correspondent bank client activity to determine whether activity was suspicious.

•Ensure satisfactory audit ratings to minimize risks and losses while maintaining high standards for security. •Successfully trained/mentored newly promoted Lead Teller Operation Specialists and Branch Manager Trainee in Chase’s Branch Operations. •Perform branch audits on teller cash boxes and vaults to adhere with Chase’s requirements. •Review documentation and accounts to prevent fraud, money laundering, and identify theft losses in accordance with Anti-Money Laundering, Bank Secrecy Act, and Know Your Customer guidelines. •Research and investigate SAR prospects with Branch Manager and identify suspicious behavior.

•Ordered, restocked, and accurately balanced branch cash on a daily basis. •Complied with all operational, security, and control policies and procedures. •Ensured customer satisfaction while maintaining accounts in a professional matter. •Completed SARs, CTRs, and MIPLs to prevent fraud and comply with Bank Secrecy Act. •Worked with Branch Manager to certify branch employees follow policies & procedures and remain compliant.

· Ensure customer satisfaction by making sure they are satisfied with their food order and to correct any problems if needed. · Maintain cleanliness of the 50 tables in the restaurant by frequently changing linens and resetting tables with silverware. · Present customers with daily food and alcohol specials and provide personal recommendations if needed.· Kept organization of inventory such as condiments, silverware, and glassware to successfully accommodate 200 customers per night.

•Provided mentorship and training to new agents based on my leadership and through company product knowledge. •Identified potential clients through company provided leads and referrals. •Recognized clients’ needs through thorough knowledge of company’s products such as: Life Insurance, Long Term Care, Annuities, and Medicare Supplements.