• Execute remediation initiatives efficiently for various lines of business resulting in tighter controls ensuring the firm is properly following compliance guidelines. • Provide strong knowledge of Customer Due Diligence (CDD) requirements by current type, other procedures, and guidelines for beneficial ownership requirements.• Exercise and make reasonable judgements while working independently and escalating issues timely to management.• Recommend resolutions and execute positive outcomes for the Bank and the stakeholders resulting in reduced risks for audits.• Partner with peers and cross functional business partners and mid-level management to resolve escalation risk issues.• Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups increase cost savings for the bank. • Received excellent client service scores as a result of contacting customers regularly to resolve customer issues via telephone, and or written interaction such as requests for bank documentation needed to maintain accounts opened at the bank.

• Reviewed and ensured complete and accurate documentation of data within the Customer Risk Management System, identified all risk issues, trends and errors and notified submitters and managers of outstanding findings.• Reviewed the submitter’s net new onboarding requests for accuracy and verified that all CMPT findings were corrected prior to the final Inline Quality Control reviews.

• Obtained necessary Know Your Customer (KYC) information and documents from relationship managers and front office personnel.• Facilitated the completion and approval of CDD, for Middle Market Banking such as client due diligence, credit investigations, screenings and approvals of accounts for new customers, existing customers with new entities, and annual periodic review/refresh requirements based on customer’s ECRR/Enterprise Customer Risk Rating.

• Managed and assigned the daily workflow and tracking of requests for the Global Banking Centralized Services Team.• Facilitated the completion and approval of CDD, EDD, & KYC requests for Wholesale’s Global Banking high risk client due diligence, credit investigations, screening and approvals of accounts for new customers, existing customers with new entities, and annual review/refresh requirements based on customer’s ECRR/Enterprise Customer Risk Rating.• Obtained and reviewed all the required CDD documents/information from our customers such as Customer Information Form (CIF), Certificate of Beneficial Owner Form, Certificate of Incorporation, Certificate of Good Standing, Certificate of Good Standing, Certificate of Formation or Articles of Incorporation, Operating Agreement or Bylaws, Authorization Certificate and/or Corporate Resolution.

• Performed the daily and monthly reconciliations of numerous balance sheets, general ledgers accounts such as investments, treasury stock and accrued accounts payables.• Administrator for General Ledger – Account Certification module of Frontier which assists in identifying tracking and resolving exceptions.• Assisted in the reconciliation team with ad hoc projects such as the automation of the manual reconciliations into the Frontier System.

• Assisted in the identification and detection of potentially suspicious or unusual activities, transactions, or customer behavior by performing transaction analysis.• Reviewed Client Information Documents (CID), Know Your Customer (KYC) documents and performed Due Diligence via World Check, Dow Jones and Factiva inquiries for new and existing client’s accounts.• Reviewed and validated the New Accounts Source of funds Validation report.• Managed daily the HRIS monitoring of employees, and their immediate family members, personal trading activity in personal accounts, brokerage accounts, the pre-clearance and post clearance requests for security trades.

• Reconciled Cash Management and Private Client Accounts.• Assisted in gathering documentation for internal and external audits when documentation is required.

• Responsible for verifying documentation related to the Sarbanes-Oxley Act of 2002.• Updated the SOX Compliance web-based online portal status tracking system and performed audit review of any new operational risk control standards changes.• Created test scripts for user acceptance testing prior to new application roll out.