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Work Background
International™ FinancialSenior Compliance Manager
Mar. 2024• Stayed current in regulatory changes or requirements to ensure company compliance. • Maintained company policy management system. • Developed and implemented compliance policies, procedures, and related documentation. • Reviewed and evaluated company procedures and able to identify risks or common issues. • Developed and delivered training in line with business goals and the Ethics and Compliance strategy. • Raised awareness of the compliance program to promote a culture of integrity and ethics. • Developed regular, risk-based monitoring and audits for compliance with regulatory requirements, including identification of audit universe, conducting related risk assessment and re-assess financial materiality threshold. • Assisted with semi-annual Enterprise Risk Management, including interviewing key executives, prioritizing highest risk, and assessing management’s mitigation plans. • Ensured effective internal controls are in place to monitor and report on regulated activities and processes. • Developed and managed budget goals, met deadlines, and communicated difficulties timely. • Stayed abreast of leading practices both internally and externally and provided conduit for introducing those practices to the department. • Provided continuous on-the-job training, coaching/mentoring, and career growth opportunities for staff.
Plante MoranRegulatory Compliance Manager
May. 2022 - Mar. 2024Chicago, Illinois, United States
Plante MoranRegulatory Compliance Senior Consultant
Jan. 2020 - May. 2022Chicago, Illinois
Old Second National BankAVP Fraud Risk Manager
May. 2019 - Sep. 2019Aurora, IllinoisManaged the fraud department while mitigating risks throughout the Bank through risk assessments. Assisted in implementing controls and preventing fraud.
Old Second National BankAVP Risk Officer
Dec. 2018 - Apr. 2019Aurora, Illinois
MB Financial BankInternal Auditor
Aug. 2017 - Oct. 2018RosemontPerformed integrated financial, operational and compliance audits as well as prepared comprehensive and accurate work papers that support all audit observations and conclusions. Obtained information from and communicated audit observations to auditees, senior auditors, and project/audit supervisors. Accumulated, monitored, and reported time expended and adhered to approved time budgets as well as contributed to the preparation of documentation of system of internal controls, including preparation of flowcharts and narratives. Monitored status of the implementation of agreed upon audit recommendations.
Assisted in Sarbanes Oxley Section 404 key internal controls testing.
Executed duties in a well organized manner.
Performed special projects and investigations as required.
Complied with all applicable federal and state laws and regulations.
MB Financial BankAdvisory Analyst
Oct. 2015 - Aug. 2017United StatesIn this role, I managed and mitigated risk as well as reduced fraud by providing in-depth analysis of financial transactions for suspicious activity and red flags. I enforced compliance with AML regulations, reporting all non-compliance issues to initiate investigations. Additionally, I generated improvements to compliance by identifying compliance risks and defining action plans to eliminate or minimize risk. My role involved assessing customer documents and profiles including onboarding records, relative KYC/EDD, statements, deposits, withdrawals, checks, wires, source of funds, source of wealth, vendor transactions and geographical locations. Some of my key contributions include: ► Consulting with various clients across money service businesses, ATM owners, and high-risk customers to enhance due diligence reviews; created review schedules, risk identification, delivered and accurate risk assessments specific to clients. ► Demonstrating knowledge of check kiting, structuring and money-laundering patterns to accurately identify suspicious activity through transactional analysis of various accounts. ► Delivering expertise to branches and business on Foreign Corrupt Practice Act (FCPA) corporate compliance program.
► Training individuals on bank processes including investigation techniques, identifying reputational risk, transaction analysis, KYC interpretation, CIP requirements, CDD/EDD results and high-risk client assessments.
Robert HalfAML Risk Analyst
May. 2015 - Jul. 2015Chicago, IL & Denver, COServing the Millennium Trust Company and Promontory Risk Review, I contributed to compliance efforts by testing against policy, procedure, agreements, and applicable laws. I performed daily OFAC reviews, CIP clearance, KYC and red flag reviews as well as reviewed client documents for IRA compliance. Some of my key contributions include: ► Identifying potential money laundering typologies and suspicious behavior by analyzing account transaction history. ► Leveraging client systems and information resources to perform thorough due diligence. ► Defining project goals, executing tactical strategies and monitoring progress to ensure timely and top-quality outcomes. ► Optimizing statistical efficiency and data quality by crafting and implementing strategies.
JPMorgan Chase & Co.Fraud Analyst
Jan. 2010 - Mar. 2015Denver, CO & Elgin, ILHere, I defined operational targets and consistently met deadlines. I influenced decisions and steered planning, policy development, and performed detailed analysis to expose fraud and suspicious activity. I screened customer names against watch lists to identify potential sanctions or Politically Exposed Persons (PEPs) as well as analyzed ACH transaction alerts, performed Enhanced Due Diligence (EDD) on alerts and studied risk to determine impacts on customer accounts. Some of my key contributions include: ► Using financial intelligence tools to research and monitor customer accounts; documented findings and recommended actions for flagging cases requiring suspicious action report, case closure or SAR.
► Maintaining compliance with Bank Secrecy Act, OFAC and US Patriot Act including Customer Identification Program (CIP), customer due diligence, identification of high risk accounts and reporting suspicious activities to Supervisor or BSA/AML officer.
TCF BankTeller
Apr. 2008 - Oct. 2008►Performed a variety of customer tasks ►Cashiering and clerical services ►Receiving payments
► Made customer needs a primary focus resulting in a significant increase in enduring client
relationships and loyalty ►Actively responded to customer concerns, expectations, and needs ►Processed deposits, withdrawals, and other account inquiries ►Open and closed Certificate of Deposit, Checking, and Savings account.
Charter One BankTeller
Jan. 2008 - Jan. 2009Executed customer transactions, including deposits, withdrawals, money orders and checks.
Rapidly and efficiently prepared customer and ATM cash and change orders.
►Organized, stocked and maintained the teller window area.
►Continued education on current banking products and services through online branch training.
►Organized, stocked and maintained the teller window area.
►Handled various accounting transactions.
►Collected member loan payments.
►Sold cashier's checks, traveler's checks and money orders.
►Maintained friendly and professional customer interactions.
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