Michael Prinz Email & Phone Number

Greenwich, Ct, Us

Greenwich, Ct, Us

Greenwich, Connecticut

-Manage a team of six investigators responsible for identifying suspicious activity taking place in deposit and investment accounts maintained by clients in the Investment Bank and Private Bank-Review all investigations and Suspicious Activity Reports completed by investigators, ensuring correct typologies have been identified and investigations are documented in accordance with department procedures-Responsible for reviewing all Suspicious Activity Reports filed by the Firm, in which JPMorgan Securities LLC and JP Morgan Clearing Corp are listed as joint filing institutions; acting in an advisory capacity with investigators and management across various lines of business-Conduct extensive searches and initiate correspondence with client to ensure the Firm has performed it’s due diligence and has obtained all necessary Know Your Customer information -Proficient in identifying suspicious activity taking place in brokerage accounts, such as pump and dump schemes, penny stock manipulation, potential insider trading, and other schemes involving potential securities fraud-Mentor employees, helping them understand new concepts, conduct employee performance reviews, be an advocate escalating opinions and concerns to senior management-Interpret data driven alerts generated by the Firm’s automated surveillance systems and make a decision whether or not further action is warranted-Engage senior management when new and unusual activity is identified; making sure appropriate steps are taken to protect the Firm

New York, Ny

- Manage clientele who have a minimum of $500,000 in liquid or investible assets- Partner with J.P. Morgan Private Client Advisor to capture a greater share of client deposit and investment wallet -Implement advice and solutions of J.P. Morgan Global Market Strategy Team- Determine suitability of deposit and investment products based on clients needs and sources of income- Coordinate and lead client meetings, present benefits of products and services on a per client basis- Proactively monitor client accounts, search for opportunity and shield against loss- Deliver high-touch and superior service experience

- Able to articulate details of J.P. Morgan suite of investment and banking products and services- Assist clients with financial planning based upon their individual investment objectives- Profile clients and interpret financial information in order to discover opportunity and needs- Open and actively manage brokerage accounts consisting of Mutual Funds, Annuities and Life Insurance products up to $3 million- Leverage partners to create proposals and acquire new business- Customize timelines on a per client basis to set goals and deadlines for both consumer and business banking clients- Help business clients establish the business, budget plan, project growth, increase profitability, and become more efficient- Developed excellent presentation skills through training and daily client interactions- Surpassed national average of asset acquisition amongst new bankers- Recognized nationally by JPMorgan Chase for providing excellent customer service

- Audited financial documents of businesses under investigation- Compiled Rosario material to be submitted for review by the court- Observed investigations in progress- Assisted in a forensic audit on a major mortgage fraud case- Transcribed suspects financial history into excel spreadsheets to be used as evidence in court