Robin John

Experience

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  First Niagara Bank

  Jul 2011 - May 2014

  ·Serve as a subject matter expert in analysis and provide training / mentoring to analyst on investigative techniques, internal First Niagara Financial Group (FNFG) account systems, suspicious activity reports (SAR) writing, and Bank Secrecy Act money laundering laws. ·Conduct searches on gathered data for anomalous activity by utilizing the Internet, commercial databases, inquiries, bank inquiries, and contact with other investigative entities (e.g, fraud) and Branch Officers within the institution.·Responsible for collecting and evaluating the information and preparing well-written comprehensive reports. Prepare SARs on suspect transaction. ·Create/Maintain FIU Investigation Cases. Investigations involve researching the Internet, in-house and commercial databases, and communications between Branches, Law Enforcement, government regulatory agencies and other relevant sources. ·Responsible for timely, accurate and effective investigation of anomalous behavior associated with FNFG products or services monitored by the FIU. The daily work effort is focused on mitigating money laundering risks to FNFG and its customers from illicit activities. ·Evaluate and recommend the submission of suspicious activity reports (SAR).·Assist with the development and maintenance of CTR and SAR filing and other related MIS.·Assist with the development of metrics or other tools as needed.·Perform peer review of investigations (alert and/or cases) to ensure appropriate dispositions have been recommended by analyst; and when recommendations to escalate to the Business or to file a Suspicious Activity Report that the decision by analyst is appropriate.·Gather information responsive to internal and/or external requests for SAR Supporting documentation, subpoenas or other requests as needed. Show less ·Serve as a subject matter expert in analysis and provide training / mentoring to analyst on investigative techniques, internal First Niagara Financial Group (FNFG) account systems, suspicious activity reports (SAR) writing, and Bank Secrecy Act money laundering laws. ·Conduct searches on gathered data for anomalous activity by utilizing the Internet, commercial databases, inquiries, bank inquiries, and contact with other investigative entities (e.g, fraud) and Branch Officers within the institution. ·Responsible for collecting and evaluating the information and preparing well-written comprehensive reports. Prepare SARs on suspect transaction. ·Create/Maintain FIU Investigation Cases. Investigations involve researching the Internet, in-house and commercial databases, and communications between Branches, Law Enforcement, government regulatory agencies and other relevant sources. ·Responsible for timely, accurate and effective investigation of anomalous behavior associated with FNFG products or services monitored by the FIU. The daily work effort is focused on mitigating money laundering risks to FNFG and its customers from illicit activities.·Evaluate and recommend the submission of suspicious activity reports (SAR).·Assist with the development and maintenance of CTR and SAR filing and other related MIS.·Assist with the development of metrics or other tools as needed.·Perform peer review of investigations (alert and/or cases) to ensure appropriate dispositions have been recommended by analyst; and when recommendations to escalate to the Business or to file a Suspicious Activity Report that the decision by analyst is appropriate.·Gather information responsive to internal and/or external requests for SAR Supporting documentation, subpoenas or other requests as needed.·Responsible for the development of written process and procedures documents accurately reflecting policy and the FIU level operations. Show less ·Conducts investigations that may be indicative of financial crimes including money laundering and terrorist financing in accordance with FNFG’s policies and procedures. ·Accumulate facts from the investigations to be utilized in presentation to Senior Compliance Analyst.·Conduct searches on gathered data for anomalous activity by utilizing the Internet, commercial databases, inquiries, bank inquiries, and contact with other investigative entities (e.g, fraud) and Branch Officers within the institution.·Evaluate and recommend the submission of alerts for further investigation. ·Responsible for collecting and evaluating the information and preparing well-written comprehensive reports.·Responsible for timely, accurate and effective alert disposition associated with FNFG accounts, products or services monitored by the FIU. The daily work effort is focused on mitigating money laundering risks to FNFG and its customers from illicit activities.·Assist Senior Compliance Analyst with case investigations as needed.·Identify process improvements, procedural enhancements and streamlining for greater efficiency. Show less

  • FIU AML Quality Control Analyst, AVP

    Jun 2013 - May 2014

  • FIU AML Senior Compliance Analyst

    Jun 2012 - Jun 2013

  • FIU AML Compliance Analyst

    Jul 2011 - Jun 2012
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  HSBC

  May 2014 - Aug 2017

  Senior Auditor, AVP-US Financial Crimes Compliance

  ·Participate in financial, operational and compliance audit examinations of various businesses to independently and objectively identify and assess risks, evaluate controls and compliance with established policies, procedures and regulations, making recommendations for improvement to minimize risk of loss and enhance efficiency. ·Design or review computer-assisted audit techniques (CAATs) and exception reports to assist the audit team in analyzing and evaluating data. ·Prepare initial draft of audit report for review and approval by audit manager. ·Perform continuous monitoring on delegated audit issues reported to management. Verify that all issues noted have been corrected through the establishment of mitigating controls as noted in the recommendations of the audit report. ·Identification of business process improvements for segments audited as appropriate, to enhance operational effectiveness, customer service quality and efficient use of company resources. ·Maintain current knowledge of business, organizational, audit and technological changes as well as pertinent internal and regulatory policy and procedural requirements to ensure audit integrity, process innovation and service quality. Gain sufficient experience and knowledge in specific business units and areas to be considered a subject matter expert. ·Review and assess company policies and effectiveness of compliance with internal control processes using audit programs that contain all levels of complexity. ·Assist in developing audit planning document and execute assigned work. ·Review issues and provide recommendations to further enhancements if necessary that may affect other areas. Independently develop draft reportable issues and recommendations based on conclusions with audit team and effectively present issues to management. ·Optimize relations with regulators by addressing any issues. Show less

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  KeyBank

  Aug 2017 - now

  • Senior Compliance Manager

    Jan 2024 - now

  • Audit Manager

    Dec 2021 - Jan 2024

  • Senior Audit Strategist

    Mar 2021 - Dec 2021

  • AML/BSA Senior Lead Auditor

    Aug 2017 - Mar 2021