Moises Lopez Email & Phone Number

Miami, Fl, Us

• Oversee the firm’s BSA/AML program by establishing, implementing, and maintaining procedures designed to ensure compliance with transaction monitoring, and client onboarding, including CIP, KYC, and EDD across various customer types.• Negotiate with vendors the licensing fees for the Transaction Monitoring System (TMS) and Client Monitoring tools, Unit21 and Lexis Nexis, which resulted in a 30% operational cost savings to the firm.• Establish and test the TMS and Lexis Nexis rules for accuracy and deployment. • Review and prioritize alerts, conduct investigations, and submit SARs when required.• Develop and maintain an effective risk rating program to include initial and ongoing periodic reviews.• Responsible for managing end-to-end onboarding activities to ensure compliance with all applicable laws, and regulations.• Develop and deliver compliance training programs to promote awareness and understanding of applicable laws, regulations, and internal policies.• Serve as a point of contact for regulatory agencies and external auditors regarding compliance matters.• Develop and maintain onboarding workflow procedures to increase efficiency and reduce onboarding time.• Create, review, and submit SARs and document SARs considered but not filed.• Undertake continuous learning and self-study to stay abreast of regulatory changes and emerging issues and ensure the firm’s compliance program remains current and effective.

Frankfurt Am Main, Hessen, De

• Managed a team of KYC Specialists engaged in a highly complex Remediation Project and Periodic Reviews for domestic and international business books.• Forecast employee headcount based on work volume, expected attrition, and periodic review schedule.• Sourced, hired, trained, and mentored new specialists by identifying training needs and recommending appropriate development programs.• Engaged with vendors to build and test a customer relationship management (CRM) software application and a risk rating calculator tool, both applications combined improved efficiency by 25% of each case reviewed.• Created a process to improve new client onboarding reviews, which reduced onboarding time from three days to one day for simple accounts, and one week to two days for complex accounts.• Participated in the bank’s global Compliance meetings and provided feedback on policy updates and their impact on the business.• Met regularly with senior management for project updates and other AML/KYC initiatives such as risk rating tools and onboarding technology.• Performed gap assessment analysis and carried out the development of new KYC processes to improve quality.• Cooperated with technology teams to develop systems upgrades to improve quality and efficiency.• Organized, led and facilitated compliance training programs for new and existing employees.• Reinforced the implementation of new forms, policies, and procedures as required by internal audits.• Executed ad-hoc regulatory requirement reports based on audit and self-assessment reviews.

New York, Ny, Us

• Hired, trained, and led a team of 150 employees across multiple sites to ensure proper KYC onboarding processes.• Standardized new account opening process and reduced new client onboarding errors from 45% to 1% in a three-month timeline across the market.• Responsible for the remediation of over 600 business accounts across the market in a 5-month timeline to meet the bank’s commitment to regulators.• Augmented operational integrity awareness around the need to leverage policies and procedures in every interaction which improved the Market’s audit rating by 32%, from 60% to 92% between 2012 to 2014• Maintained a current understating of AML policies, procedures, regulations, best practices, and developing trends.• Conducted operational audits by engaging in staff interviews, and reviewing documentation, and observations.• Strengthen employees’ compliance knowledge through structured training in topics including the Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Know Your Customer (KYC), and the Office of Foreign Assets Control (OFAC), among others.• Identified problems or deficiencies and developed solutions to mitigate operational risk.• Developed managers’ leadership skills through workshops, show coaching, and observations while providing positive feedback.

San Francisco, California, Us

• Proactively reviewed and analyzed performance metrics and eliminated non-value-added procedures.• Managed the operational functions including loss control, compliance, and audit standards.• Coached and developed staff regarding policies, procedures, products, systems, and banking regulations.• Earned numerous awards and consistent recognition for stellar results in sales and operations targets.• Increase sales and customer retention while promoting the Wells Fargo brand.• Cultivated long-term relationships with businesses and consumers.• Hired, trained, and supervised 11 direct reports.• Developed action plans for each employee and provided recognition and coaching to optimize performance.

Master Of Business Administration (Mba), International Business For The Emerging Markets

Bachelor Of Arts (B.A.), History