Nana Boadu

Experience

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  Ghana National Service Secretariat

  Sept 1992 - Sept 1993

  Volunteer

  English Teacher for grades 1 though 3

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  Wachovia Bank

  Sept 2001 - Mar 2004

  Service Specialist

  Formulated weekly marketing report covering 21 branches for service leader’s reviewGenerated weekly financial and service reports with volume and trend analysis of branch performance and customer satisfactionConducted daily huddles on team and individual sales and service performanceProcessed federal funds wire transfers, CD’s, IRA’s, brokerage deposit productsOpened deposit accounts, consistently exceeded sales goals by average of 50%Assisted in raising customer satisfaction index of the Johns Creek branchWachovia Bank Presidents Club award for top sales and service performers – 2004 Show less

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  Georgian Bank

  Mar 2004 - Jun 2005

  Personal Banker

  Evaluated and analyzed risk potential of target market in order to establish relationshipsEducated clients on suitable deposit, credit and investment optionsOpened and maintained deposit accounts, IRA’s, CD’sAdvised on cash management services for business accountsMarketing initiatives to expand customer baseCreated, retained industry and community relationships to enhance bank production and recognition

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  H&R Block

  Dec 2004 - Apr 2005

  Tax Associate

  Conducted client interviews to ascertain most beneficial tax solutions available to themPrepared client taxes, provided clients with year round tax planning tipsEducated clients about aspects of tax process that could be turned to their advantage

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  Wachovia Bank

  Oct 2005 - Jun 2007

  Service Banker

  Opened and maintained deposit accounts, IRA’s, CD’sConsistently exceeded sales goals by an average of 100%Researched client database and book of business for cold-call prospectsBacked up branch manager and financial specialists, supervised 9 employeesWachovia Bank Presidents Club award for top sales and service performers – 2006

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  Wachovia Securities

  Jun 2007 - Jun 2008

  Registered Sales Assistant

  Sole assistant to 5 Financial Advisors with client base of over 2000 and asset pool that exceeded $140MOpened and maintained Wachovia Securities brokerage accounts, processed wire transfersExecuted trades upon client and/or Financial Advisor instructionsLiaison for clients and Financial Advisor between brokerage, retail banking, estate and retirement service channels

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  Wells Fargo Advisors

  May 2008 - Nov 2016

  Member of 4 person leadership team for two regions comprising 72 FAs and 22 support staff, with over $5 Billion assets under managementSuccessfully managed compliance by ensuring employee practices/procedures/communications adhered to firm and industry compliance requirements in order to preempt reputational and regulatory risk eventsProvided oversight and improved client retention through resolving client complaints/disputes, with the objective of diffusing client hostility, enhancing client retention and managing reputational risk.Reviewed compliance reporting systems, investigated triggers and trade surveillance to identify lapses and deficiencies, resolve/escalate issues and exceptions in a timely manner to mitigate lossesReviewed periodic reports to discern trading trends, volumes, patterns, to maintain current awareness of client portfolio suitability, as well as the sales practices and business models of FAsConducted monthly calls with regional sales management to discuss trends in risk management, and where necessary instituted measures to manage/forestall risk, loss, liabilityRecognized potential AML risks and lapses in EDD and applied appropriate procedures including: further discussions with the FA, and escalation with concise and chronological documentation of events Show less Effectively ensured compliance in a market of 8 branches comprising over 250 FAs, 80 support staff and $9 Billion assets under management, with zero audit findingsReviewed, approved FA and associates marketing material and correspondenceProvided guidance to market, and ensured practices/procedures adhered to firm/industry compliance requirements to preempt reputational riskInvestigated daily trigger alerts and trade surveillance, to monitor asset suitability and account performance vis-à-vis firm/program benchmarks in order to anticipate/mitigate lossesPerformed initial enhanced due diligence (EDD) for customers and prospects characterized by high risk indicators, taking into account geography, customer type, account activity and transaction patternsReviewed account applications, daily orders, margin, options trading for credit/suitability risks associated with extension of trading limits/levels/strategies to clients in order to anticipate/mitigate loss/liabilityConducted quarterly and ad-hoc calls with branch managers to discuss trading trends/volume/patterns and to inform them and assist with issues in their branches that might require enhanced supervision Show less Reviewed alerts and exceptions, identified and managed human error risk loss, inadequate or failed internal processes and systems, or external events on asset movement and/or account transfersReviewed and approved funds deposit and asset movement transactions with a risk-based approach to assess AML risk, in context of evolving regulatory requirements and industry practicesReviewed and approved trade corrections, order errors, asset movement transactionsConducted branch visits, bi-monthly market-wide conference calls to provide help and guidance to support staffConsistently maintained a risk management perspective by constantly anticipating and identifying potential risks and liabilities to the firm, as well as enhancing controls to prevent or reduce risk impact Show less Analyzed, synthesized technical regulatory research and complex processes/problems to extract and present simplified, actionable information/solutions to executive decision makers and clients in a concise, orderly mannerInvestigated and researched customer complaints (pro se or represented by counsel) concerning operational and service issues/deficienciesInterviewed involved parties to establish facts of each case, completed requisite regulatory coding and research to provide fair written resolutions to clients and negotiated settlement offers when warrantedIdentified problems that could potentially become systemic issues and affect clients beyond the current complaintEmployed exhaustive analytical, investigative and innovative problem solving skills in handling multiple time sensitive assignments, large caseloads and volatile situations with easeLiaised between clients, Financial Advisors and regulatory management to assess and respond to reputational/business risk, diffuse client hostility and promote relationship retention Show less

  • Assistant Vice President, Regional Supervisor - Wealth Investment Management

    Jun 2015 - Nov 2016

  • Assistant Vice President, Market Compliance Specialist - Private Client Group

    Apr 2014 - Jun 2015

  • Assistant Vice President, Market Operations Liaison - Private Client Group

    Aug 2009 - Mar 2014

  • Dispute Analysis Consulting Management

    May 2008 - Aug 2009
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  SunTrust

  Nov 2016 - Nov 2017

  Vice President, Compliance Manager - Enterprise Volcker Rule Compliance & Regulatory Change Mngmt

  Reviewed, approved Volcker Rule Assessments, providing guidance, expertise for execution across lines of business, segments and functions Maintained, updated the enterprise Volcker Rule Compliance Program (policies, procedures, training) Designed, modified, implemented, enterprise Volcker Rule controls for line of business, segment and function level adoptionLiaised with Legal and Compliance Officers, external industry groups, regulatory bodies, monitored Volcker Rule amendments and regulatory guidance, notified lines of business and stakeholders about changes and implementationsPrepared periodic reporting for Regulators, Corporate Risk Committee, and the annual update to the Board Risk CommitteeAggregated management reporting of the division’s compliance risk by clearly presenting inherent risk, control effectiveness and residual risk.Coordinated preparation of the Volcker Rule Effectiveness Report, and the annual CEO Volcker Rule attestation process and submitted results to the Securities and Exchange Commission, Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission Show less

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  JPMorgan Chase & Co.

  Dec 2017 - Mar 2022

  AML/KYC Relationship Officer

  Perform control and monitoring reviews pertaining to the Bank Secrecy Act, Anti-Money Laundering, Counter Terrorist Financing, USA Patriot Act, OFAC and Customer Identification Program for a portfolio of JPMC’s fortune 100 clients with operations in North America, Asia, Middle East and AfricaReview, rationalize client ownership structures, business profiles, onboarding documentation, to establish KYC profile risk ratings, provide oversight of process globallyLiaise with clients and cross functional representatives to reconcile client KYC profiles with regulatory and legislative requirements and address Economic Sanctions related (OFAC) alerts.Review algorithm-based transaction monitoring reports, Global Sanctions and Watchlists Screening, to identify trend/volume analysis, investigate, reconcile alerts, escalate where necessaryProvide guidance, review, edit the work of KYC Officers in India, Poland, SingaporeMember of line of business AML/KYC Policy and Procedure team, that provides interpretive guidance on policy/procedure, and reviews updates to AML/KYC policy/procedure prior to implementation Show less

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  Citi

  Mar 2022 - now

  Senior Manager Vice President

  Transformation, modernization, automation of Credit Operations’ controls and monitorsIntegrates subject matter and industry expertise in Credit Operations riskPerform quality assurance over issues being reported on multiple executive level reports to include Monthly Operations Decks and Weekly Control DecksLeverage communication and influencing skills to guide issue and corrective action plan owners and issue managers during times of distress during the issue management processKeeps abreast of the organization’s operational processes and best practices for business strategyBuild partnerships with supported Line of Businesses Operations leaders, process owners, client experience leaders, control leaders, and Training, so that efforts are aligned with strategy and department efforts, regular two-way communication exists, downstream impacts are considered and business solutions are optimizedActs as a subject matter expert to senior stakeholders and/or other team membersAppropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency, as well as effectively supervise the activity of others and create accountability with those who fail to maintain these standards Show less