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Work Background
ProtivitiRisk & Compliance Sr. Manager
Jan. 2024Charlotte Metro
ProtivitiRisk & Compliance Manager
Mar. 2022United States
CitiVice President
Nov. 2020 - Mar. 2022Tampa, Florida, United StatesTTS (Trade & Treasury Services) LATAM Operations Risk & Controls
CitiAVP Senior Global Sanctions Compliance Officer
Apr. 2016 - Nov. 2020Tampa, Florida• Provide compliance oversight and guidance to Business and internal Technology partners; to define and implement comprehensive Sanctions Screening solutions. • Monitoring adherence to Citi’s Global Sanctions Policy and relevant procedures; staying current on key Sanctions regulatory changes, key enforcement actions and related industry trends.
• Facilitate the Onboarding and Implementation of Sanction Screening Application; i.e. CitiScreening by mitigating Risks through the execution of Global Sanctions Policies and Procedures. • Practice established project management protocols, ensuring project documentation is received, consistent, and of high quality.
• Produce project reporting and tracking documentation, facilitating and leading meetings at various levels as required; i.e. business, operational and senior management status reporting.
• Review business requirement documents (BRD’s) toward obtaining Compliance approvals. • Consistently monitor and proactively manage reports on progress, risks assessments, issues, and dependencies, developing solutions.
• On a separate assignment performed transactional mapping for different message types (SWIFT, ACH, SEPA, ISO…etc.).
The Provident BankSenior Compliance BSA/AML Analyst
Nov. 2014 - Mar. 2016New Jersey• Conduct periodic review of accounts, customer profiles, transactional patterns to mitigate and/or identify potential suspicious activity through effective research, investigations, conduct search for 314(a) requests and filed SAR’s when applicable. • Conduct Client Onboarding, Reviews of new Customer Information Forms (CIF) and KYC documents for a proper risk rating. • Mitigate AML, BSA and OFAC risks through execution of the AML/BSA Compliance Policies and Procedures. • Provide subject matter expertise on Customer Identification Programs (CIP), Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) along with Sanctions matters. • Provided BSA Compliance Training for Branch Staffs, and mentor Junior Analysts
JPMorgan ChaseCompliance Officer / Team Lead
Mar. 2014 - Nov. 2014• Complete analysis of transactional data to identify risks, trends, and suspicious activity consistent with the Lookback project of the Office of the Comptroller of the Currency (OCC) Consent Orders.
• Acquired resources and managed a team of Investigators and Business Analysts to work closely with Business Operations, Project Management Office and Other Team Leads to ensure consistent quality and execution to a look back project deadline. • Prepare Suspicious Activity Reports (SAR) in compliance with established regulatory guidelines and time frames. • As a separate project executed Quality Assurance Testing on client Name Screening Investigations for high risk profiles; i.e. Senior Public Figures, High Risk Customers, and MSB; mitigating AML and OFAC risks through diligent execution of the AML Compliance Policies and Procedures.
CitiAML Compliance Analyst
Mar. 2010 - Feb. 2014• Supported the successful migration and implementation of Latin American Countries for the Tampa Hub. Additionally, conducting compliance due diligence investigations for countries; i.e. Guatemala, Haiti, Panama, Peru and Costa Rica. • Conduct searches on gathered data for anomalous, coordinating with other investigative entities and compliance officers both internally and externally. • Prepare Suspicious Activity Reports (SAR) per regulatory guidelines and time frames. Conduct enhanced due diligence investigations in support of policies and procedures to mitigate risks to the institution; accumulating facts from investigations toward proper dispositioning.
Prudential FinancialShort Term Disability Specialist
Jan. 2007 - Nov. 2009United States• Conduct investigations on Disability Claims and Inquiries to mitigate risk of fraud and issue payments. • Consistently enhance the customer experience through expert product knowledge and developing relationships, while achieving production goals. • Provide training and coaching for new hires on claims and customer service. • Assist Spanish speaking claimants with filing process and claims follow up.
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