Experience

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  Profile intelligence

  Jun 2017 - Dec 2019

  Risk and compliance analyst

  • Performed searches utilizing internet sources and/or third-party vendors (i.e., google, Dow jones) to determine negative news and obtain due diligence information • Investigating potential OFAC violations using the OFAC database.• Cleared OFAC and sanction alerts in line with the Bank policies and procedures.• Performed Negative news screening on US and Non-US clients, along with OFAC search • Reviewed and investigated cases and alerts on the Banks Transaction Monitoring & case Management System • Drafted narrative on triggered activity identified in transaction monitoring systems• Documented investigations and ensure that facts substantiate the disposition; closing cases or escalate findings• Identified and documented transactional activity for evidence of Money Laundering red flags, suspicious transactions, and unusual banking activities.• Effectively investigated alerts and wrote suspicious activity reports (SARS) in compliance with established regulator guidelines and timeframes.• Made SAR/no SAR decisions after investigating possible suspicious financial activity• Performed Due Diligence using Lexis-Nexis, Google, World Check, etc.• Collected and documented data, including alert, investigation, or Suspicious Activity Report (SAR) history; Know Your Customer (KYC) information; relevant account and transaction data• Collected and examined financial statements and documents to assist in identifying unusual transaction patterns. Conducted research over available Bank systems, the Internet, and Databases consistent with the resolution of investigations• Conducted high-level investigations and analysis of potential money laundering or terrorist financing activity• Documented all research and analysis conducted in the Case Management System.• Managed a caseload of investigations, perform analysis and follow-up and work cases from beginning to completion. Show less

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  Ugo ugeh pc

  Aug 2019 - Dec 2019

  Legal and compliance analyst

  • Performed Quality assurance on Customer’s Risk Rating (CRR) as it affects the Periodic KYC reviews.• Performed quality assurance checks and validations of OFAC filtering systems to ensure systems are compliant per periodic release of OFAC SDN updates.• Reviewed escalations from the Client On- boarding team pertaining to new and existing Counterparty relationships with respect to potential OFAC hits, negative news, and PEP hits.• Provided guidance and advisory on OFAC matters to other associates/analysts within the group and other business units.• Developed and delivered Sanctions related training as needed.• Updated OFAC logs and other items as needed.• Responsible for reviewing FinCEN 314(a) requests and determining if the Bank maintained any accounts with each individual/entity named in the request, and report findings to FinCEN if necessary. • Responded to FinCEN requests by submitting all electronic supporting documentation in a timely manner. • Prepared official agenda for the weekly and monthly meetings with senior management and prepared issues to be presented/discussed. • Prepared and escalated Individuals/entities for addition to IWL/Payment Filter or off boarding to the Sanctions and AML Oversight Committee. • Review and QC forms with escalations to the OFAC Team and/or KYC Team for escalations and confirmations. • Assisted in training the new hires and legacy employees as needed. Show less

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  Affluent group llc

  Dec 2019 - now

  Compliance analyst

  • Conducts KYC periodic reviews, vetting and verifications and due diligence for internal and external clients following KYC procedures• Identity excessive risk, fraud, and reviews of misrepresentation in a transaction• Maintain compliance with relevant AML transaction monitoring policies, procedures and ensure applicable local regulations are followed for client’s Investment • Ensure decisions to file or not to file a SAR are well supported and recorded• Review system alerts, assess the impact to AML processes, conduct research as required, and document results. • Provide feedback on alert rule effectiveness (e.g. false positives) and support the design of new rules• Review and escalate required transactional alerts from transactional activity (including wire transfers, checks, security transactions), OFAC Database hits, Sanctioned hit or sensitive Nexus.• Request additional information by contacting various compliance or business personnel in the organization to determine if the unusual transactions warrants closure of the investigation or if further reporting is warranted.• Provides Anti-money laundering and periodic trainings to other employees Show less

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  Edward jones

  Feb 2023 - now

  Snr compliance officer

  I work with the Compliance division to play a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations.