Samantha L. Eckstein, Vp, Mba, Cams Email & Phone Number

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

I am the Team Leader of the KYC Due Diligence & Monitoring Group. My group's main function is risk management, AML/fraud prevention & detection, and monitoring all KYC functions for Wealth Management.I supervise a team of Due Diligence Analysts and Quality Control Analysts, which includes training on job functions, cross training amongst the team, assigning work and/or projects, answering questions and mentoring, as well as monitoring day-to-day functions and processes. I serve as SME for multiple processes managed within the group.-Serve as OFAC Business Coordinator Designee for Wealth Management. -Responsible for resolving OFAC, DNDBW, Wire, and FinCEN 314a alerts. Create & update OFAC surveys. Add existing and prospective clients to the DNDBW list for Wealth Management. -Responsible for responding to internal Audit, OCC, Fed, and corporate compliance requests & inquires. Assist with creating and carrying out action plans.-Create and update policy & procedures for the group.-Responsible for UAT testing to ensure the group's monitoring processes are functioning correctly and reports are accurate, as well as ensuring KYC information is in tact. Report defects to technology.-Responsible for high level reporting to senior management. -Assigned projects by management.

My primary function was conducting KYC reviews for new & existing clients. As a Senior KYC Analyst in the team, my role extended to assigning work to the team, staff training, writing clarification memos to policy, high level reporting to senior management, and UAT testing for system upgrades & releases. Assigned special projects by management due to proven track record of speed, efficiency & accuracy. Commended for handling amongst the highest volume of new accounts without compromising quality. Contributed to risk mitigation & improved efficiency by writing clarification memos/procedures distributed to KYC/AML Control Group. Commended by Technology for detailed level of testing/finding defects, helping to make processes more efficient.Served as SME to relationship managers & product specialists on KYC/AML Policy and the client acceptance process for all client structures (domestic & international). Conducted complex data analysis to determine client risk profile, researched & escalated negative news to management, and corroborated source of wealth.

12/2005 - 12/2007: -Hired as part of core team to help bring legacy BNY clients into compliance in accordance with the USA Patriot Act of 2001 and BSA in order to fulfill and supersede Fed deadlines; assisted in the completion 4 months ahead of deadline (23,000+ clients) -Assisted in motivating, counseling and instructing a varying range of 40-80+ temporary File and Quality Assurance Analysts. -Appointed head of CRM/MIS reporting, UAT testing, troubleshooting/submitting requests for CRM Support & Central Account Processing. -Helped Learning & Development train new temps on workflow, legacy BNY’s KYC/AML policy, products, legal entities & ownership structures, analyzing documents, and using the Bank’s systems. 5/2005-12/2005: -Worked as a Project Analyst for Relationship Review Project for the Private Bank. -Created attestations for Trust, Custody & IM accts in each relationship for Product Specialists to certify the KYC files for these accts were complete and the acct activity had been as expected. -Trained summer Interns and temps on all aspects of the KYC Relationship Review Project and CRM system.

-Created & maintained MS Access databases to organize hospital data including Medicaid Service Coordinator Billing, Appointments, Facesheets, Early Intervention Tracking/Billing, Infection Tracking, Employee Tracking, & Grant Tracking; trained employees and wrote procedures for them.-Set up computers, installed software and tracked inventory.

Master Of Business Administration - Mba

Bs, Computer Science, Math