SIU/AML Senior Compliance Analyst
Analyzing financial statements and data within the framework of multiple platforms and products for complex investigations. Experienced with AML tools: Banker’s Toolbox (BAM), Actimize, InterAct, Thomson-Reuters CLEAR, ISResearch and LexisNexis World-Check. Monitoring of suspect accounts of money laundering pursuant to the Bank Secrecy Act and USA PATRIOT Act Filed Suspicious Activity Reports (SAR) with FinCEN. Responded to 314(a) and (b) requests. Adherence to strict Customer Due Diligence (CDD), Know Your Customer (KYC) and Enhanced Due Diligence (EDD) policies and procedures.
Seneca Gaming Authority
Background Investigator experienced in screening of applicants for a corporation of over 4000 employees. Conducted highly confidential investigations while working with audit team to report all fraudulent activity. Verification of employee and vendor applications addressing a highly diverse cliental base. Assembled documentation for submission to the New York State Gaming Commission for licensing processing. Special investigations under the supervision of tribal gaming commission Executive Director for reporting to the Seneca Gaming Authority Commissioners.
Lead Title 31 Compliance Officer
The Bank Secrecy Act (“BSA”) Compliance Officer overseeing all semiannual training, risk assessments and regulatory audits for the financial Institution employing over 3000 employees. Responsible for the filing of Title 31 reports to the United States Department of the Treasury’s FinCEN. Reported directly to the Director of Compliance all findings related to Suspicious Activity ((SAR) investigations. Responsible for assessing risk and the organization’s Standard Operating Procedures. Managed all batch Currency Transaction Report CTR) filings