Robert Lopez Email & Phone Number

Los Angeles Metropolitan Area

Irvine, Ca

Greater Los Angeles Area

Upland, California

Greater Los Angeles Area

Irvine, Ca

• Perform Enhanced Due Diligence (EDD) annual and semiannual reviews in Individuals, Trusts, Sole Proprietors, Corporations, Limited Liability Companies, Non-Resident Alien (NRA), MSB’s. • Utilizing various supporting applications, and proprietary database services such as (BAM, BAM+, Ewire, FIS-Metavante, BST-DAT, Image Centre, Vision Content, and Lexis Nexis).• Use excel and pivot tables to compare year over year transaction analysis for the EDD-RBRR reviews. • SAR investigations, and SAR renewals (90, 120, and 180-day).• Analyze customer account transactions to detect suspicious or unusual activity and make decisions on appropriate action to take.• Identify transaction activity trends, patterns, and issues associated with anti-money laundering, USA Patriot Act, OFAC and other financial crimes.• Operate the Bank’s automated AML system (Banker’s Tool Box). Keep the system operating efficiently, validate data, run and review required reports. Prepare investigation reports for management review.• Ensure that complete, accurate, and timely reports are filed with appropriate regulatory agencies.

Irvine, Ca

• Utilizing various supporting applications, and proprietary database services such as (BAM, BAM+, Ewire, FIS-Metavante, BST-DAT, Image Centre, Vision Content, and Lexis Nexis).• Perform Enhanced Due Diligence (EDD-RBRR) annual and semiannual reviews on MSB’s, NGO’s, Individual’s, Corporations, Sole Proprietorships, LLC’s and Trusts. • Use excel and pivot tables to compare year over year transaction analysis for the EDD-RBRR reviews. • Analyze customer account transactions to detect suspicious or unusual activity and make decisions on appropriate action to take.• Participate in Plaza bank’s SAR committee to go over clients and cases that need to be reviewed for possible SAR investigations and also make the recommendation whether the investigative case should be concurred with a SAR or No SAR decision. • Conduct SAR investigations and SAR renewals – 90-day, 120-day, and 180-day follow up reviews. • Identify transaction activity trends, patterns, and issues associated with anti-money laundering, USA Patriot Act, OFAC and other financial crimes.• Complying with all policies, procedures, regulatory banking requirements, and BSA compliance. • Work with branch managers, assistant managers, bankers, client service professionals, and relationship managers to help with completing all EDD-RBRR requirements to close cases.

Brea, Ca

• Perform Enhanced Due Diligence (EDD) annual and semiannual reviews on MSB’s, Political Exposed Persons (PEP), Japanese Political Exposed Persons (Ministry of Foreign Affairs, JICA, and Ministry of Finance Accounting), NGO’s, Individual’s, Corporations, Sole Proprietorships, Trusts and NRA’s. • Utilizing various supporting applications, and proprietary database services such as (Account Activity Database, MPower, Focal Point (APEX), Smart, FileNet, SAS-ACM (Enterprise Case Management), Oasis, Net Query, Web-Ammo, Rhumba, BTMU-FileNet, RDC, ESB, and Lexis Nexis.• Use excel and pivot tables to compare year over year transaction analysis for the EDD reviews. • Submit eQar’s for further review of fraudulent activity and submit closure recommendation’s to adverse findings group. • Identify transaction activity trends, patterns, and issues associated with anti-money laundering, USA Patriot Act, OFAC and other financial crimes.• Complying with all policies, procedures and regulatory banking requirements.• Work with branch managers, assistant managers and bankers to help with completing all EDD requirements to close cases.

Santa Ana, Ca

• Performed high risk periodic reviews Political Exposed Persons (PEP), NGO’s, Individual’s, Corporations, Sole Proprietorships, Trusts and NRA’s. • Utilizing various supporting applications, proprietary database services such as (Lexis Nexis, Verafin, Navigator, Web Director, and Wire Exchange).• Review Fraud/AML alerts on a daily basis via Verafin.• Conduct Google/Google negative news searches• Assisted in the identification, prevention and detection of potential suspicious and/or unusual activities, transactions and/or customer behavior by performing transaction analysis, investigations, and monitoring account relationships.• Complying with all policies, procedures and regulatory banking requirements.• EB5 I-26 (Foreign Investors) • OFAC searches and knowledge of sanction regulations• EDD summary reviews.• Implemented the high risk periodic review process, format and documentation.• Assisted with the Enhanced Due Diligence format implementation.• Conducted interviews of new hires and provided feedback to upper management.

Century City, Ca

• Conducted due diligence reviews of correspondent banking transactions of high risk customers.• Performed AML Investigations utilizing various peripheral supporting applications, i.e., search engines, proprietary database services (Lexis Nexis, Metavante, Liberty, Patriot Officer, Citi screening).• Performed quality assurance of transaction monitoring to identify suspicious activities.• Complete enhanced due diligence reviews on high-risk customers and clients.• Filled out KYC-EDD, RFI, Due Diligence and SPF Kit Forms.• Complying with all policies, procedures and regulatory banking requirements. • Assisted in the identification, prevention and detection of potential suspicious and/or unusual activities, transactions and/or customer behavior by performing transaction analysis, investigations, and monitoring account relationships.

Greater Los Angeles Area

• High-profile management position accountable for soliciting high balance business accounts and developing strategic alliances with clientele.• Develop tactics to increase assets and profitability within a territory consisting of two branch locations throughout the cities of East Los Angeles, Montebello and Commerce.• Counsel high net-worth individuals and corporate clients with regard to cash flows, credit opportunities and risk analysis.• Cross-sell banking services and products to clientele.• Conduct KYC and Enhanced Due Diligence when boarding new clients. • Complying with all policies, procedures and regulatory banking requirements. • Credit and Financial Risk Analysis for lending.

Alhambra, California

Master Of Science - Ms, Criminal Justice And Security

Bachelor Of Science - Bs, Business Administration With A Concentration In Human Resources

Bachelor Of Science - Bs, Finance

Associate Of Arts - Aa, Liberal Arts And Sciences, General Studies And Humanities