Sameer Jaffer, CAMS

Experience

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  Citi

  Jan 2013 - Dec 2015

  Global Citi-Phone officer

  • Manage large amounts of inbound and outbound calls promptly• Follow communication “scripts” when handling different topics• Identify customers’ needs, clarify information, research every issue, and provide solutions and/or alternatives.• Seize opportunities to upsell products when they arise• Build sustainable relationships and engage customers by taking the extra mile• Keep records of all conversations in our call center database in a comprehensible way• Frequently attend educational seminars to improve knowledge and performance level• Meet personal/team qualitative and quantitative targets Show less

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  Mashreq

  Sept 2017 - Oct 2022

  AML Investigator | Team lead

  My primary responsibility is to contribute to the overall success of the FIU by conducting investigations intended to effectively mitigate risk and address all relevant regulatory requirements. • Performing investigations and documenting clearly reasoned findings and actions associated with FIUinvestigations, along with the delivery of timely disposition of such investigations.• Acted as a key resource / specialist owner or representative by providing technical subject matterexpertise / analysis or operational process support on AML/ATF, Sanctions/ABAC matters.• Ensured currency transaction reports, suspicious activity reports and suspicious transaction reports arefiled in accordance with regulatory requirements.• Conducted ongoing monitoring and assessment of AML risks and recommend appropriate actions tomitigate such risks.• Investigated and analyzed suspicious activities and transactions flagged by AML monitoring systems.• Collaborated with internal departments to enhance AML controls and procedures.• Prepared and submited regulatory reports as required.• Provided training and support to staff on AML compliance matters. Show less

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  Home Trust Company

  Nov 2022 - May 2023

  Senior AML Consultant

  My primary responsibilities in this job were planning, structuring, and carrying out Due Diligence control functions, including creating SOP and process notes that would define the scope and parameters of the EDD Team. Please consider the following highlights of my experience: • Conducting Anti-Money Laundering assessment based on referrals from Business Areas, and make adetermination based on the unusual activity.• Assessing higher risk daily transaction monitoring alerts understanding the indicators, facts and context of the transaction activity to make a determination on the appropriate course of action.• Investigate and assess the risk of alerts identified by Manulife’s customer risk assessment tools.• Prepare AML/ATF case reports and external reports for review outlining the depth of investigationactivity, risk assessment and recommended remediation actions.• Ensure accurate case management and record keeping protocols are maintained with regards toregulatory filing requirements.• Lead several UA assessments concurrently giving priority to each case.• Performing AML due diligence as part of ongoing monitoring of high-risk customers. Show less

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  TD

  May 2023 - now

  AML Investigator | Global AML FIU | High Risk Customer Investigation

  My primary responsibility is to contribute to the overall success of the FIU by conducting investigations intended to effectively mitigate risk and address all relevant regulatory requirements. Please consider the following highlights of my experience: • Investigating time-sensitive cases referred to the FIU by the AOC, team members, and BNS partners for reasonable grounds to suspect (“RGS”) potential money laundering (“ML”) and/or terrorist financing (“TF”).• Performing investigations and documenting clearly reasoned findings and actions associated with FIU investigations, along with the delivery of timely disposition of such investigations.• Analyzing documents in FIU ML/TF investigations, along with maintaining supporting information, in accordance with the GAMLU and FIU policies and procedures.• Research client records, customer activities, and account information using applications like but not limited to World Check, Actimize, and RDC to determine whether the usual activity may indicate reasonable grounds to suspect (“RGS”) ML activities or TF.• Utilize various TD source systems (including, but not limited to, S3, eDocs, ISM, Webir, Certapay, PRM and intellitracs) to gather transactional details• Identifying and properly reporting RGS within the regulatory reporting requirements and timelines.Recommends risk mitigation actions and next steps after FIU investigations.• Conduct ongoing monitoring of high-risk relationships, including PEPs and others as identified through the TD's risk assessment systems and other processes.• Investigate and assess the risk of incidents identified by TD's money laundering detection programs, including automated transaction and ongoing monitoring systems, unusual activity reports, media articles, and production orders. Make appropriate file/no file decisions and prepare and submit suspicious transaction reports to FINTRAC as necessary. Show less