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Mathieu
mdevans26@hotmail.com
904-708-7671
5596 Blue Pacific Dr
Jacksonville, FL 32257
Associate Fraud and Anti-Money Laundering Investigator
15 years experience W2
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Summary

A competitive achiever and highly motivated self-starter, using research and analytical skills in project and data management to further enhance knowledge within the investigative field.

  • Confident decision making while exercising reliable, competent judgment.
  • Prepare technical reports by collecting, analyzing, and summarizing information and trends.
  • Consistently chosen to assist with special projects and activities requiring attentiveness to detail and meticulous follow through.
  • Computer literate-MS Word, Excel, Access, PowerPoint, Bloomberg, Adobe, CAPS/Essbase, Mantas, LexisNexis, Norkom, ATLAS, MICS, Clearpar, DTCC, GOLD, Espear, World Check, PARC, TPX, Compass and CTA.

Experience
Associate Fraud and Anti-Money Laundering Investigator
Banking/Financial
Nov 2017 - present
Jacksonville, FL
  • Corporate Compliance Associate Fraud and Anti-Money Laundering Investigator Investigate suspected, alleged or known fraud and anti-money laundering cases using both internal and external resources.
  • Compile the necessary investigative documentation, contacting internal and external parties, and conduct interviews as necessary to complete investigations.
  • Ensure that complete, accurate, and timely SARs are submitted to the department manager allowing sufficient time for review and subsequent submission to Financial Crimes Enforcement Network (FinCEN) and other regulatory agencies as necessary.
  • Documenting the results of the investigation to support the decision to file or not file a SAR.
  • Storing supporting documents in respective investigative files and systems according to documented guidelines.
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Fraud and Anti-Money Laundering Specialist II
Information Technology
May 2016 - Nov 2017
Jacksonville, FL
  • Responsible for performing the Currency Transaction Report (CTR) reporting and quality control processes, with strict adherence to accuracy, completeness and timeliness of submission.
  • Regular monitoring of the CTR dashboard in the FRAML software to ensure all submissions are accepted by FinCEN, and ensures adequate documentation exists and is retained in the FRAML software to support CTR filings.
  • Triage New Account, Stolen Checks, Inactive Account and Check Kiting alerts from the daily alert queues in a timely manner. Ensure fraud and forgery claims are processed per Reg. E guidelines.
  • Responsible for the review of the OFAC screening results of members, new accounts and authorized cardholders in the FRAML software.
  • Proactively keeps the VP Fraud Risk Management and the Chief Risk Officer informed of notable fraud and money laundering activities/situations.
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Risk Analyst II
Dec 2014 - Aug 2015
Jacksonville, FL
  • Ensure strategic objectives of the risk management program are met including the execution of risk assessment activities, coordination of risk response, and program testing and validation.
  • Present weekly updates on current risk climate to business liaisons and executive administration.
  • Design, implement, and manage solutions to corporate security initiatives.
  • Develop and maintain business processes, procedures and sustainable reporting.
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Regulatory Analyst
Information Technology
Aug 2014 - Dec 2014
Rockville, MD
  • Conduct routine reviews and investigations into possible violations of federal securities laws enforced by FINRA.
  • Routinely analyze trading activity and account documents, provided by broker-dealers, for potential fraudulent activity.
  • Resolve situations that may impact the integrity of NASDAQ, New York Stock Exchange (NYSE) and other markets regarding securities fraud.
  • Utilize computer resources and software applications for data analysis pursuant to an investigation.
  • Submit investigation referral reports to management, which are reviewed and submitted to the Securities and Exchange Commission (SEC).
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Jun 2014 - Aug 2014
Baltimore, MD
Enhanced Due Diligence
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Investigator
Banking/Financial
Feb 2014 - Jun 2014
  • Investigate customer's new and existing accounts and report suspicious activity with respect to money laundering and terrorist financing.
  • Review and send customer accounts for SAR review.
  • Responsible for collecting and verifying CIP and KYC customer information to ensure compliance with BSA regulations and anti-money laundering procedures.
  • Implemented and reviewed anti-money laundering policies and procedures, which have been implemented across the bank.
  • Assisted with building a KYC and AML program for M&T Bank.
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Sr. Operation Analyst
Banking/Financial
May 2011 - Jan 2014
Jacksonville, FL
Risk Operations AML Surveillance
  • Responsible for conducting internal reviews of possible violations of the Bank Secrecy Act and securities regulations related to potential money laundering, terrorist financing, fraud and inappropriate trading activity.
  • Conducts transaction and trading review of client accounts, AML, and securities investigations using Norkom application tool.
  • Manage, review, document and monitor politically exposed person (PEP) and foreign business relationships on-boarding process according to KYC policy.
  • Utilize analytical skills to compile data in order to streamline processes and reduce unnecessary work flow.
  • Write appropriate Field Inquire Response disposition and make the appropriate decision in the Field Inquiry Tool.
  • Assist and provide information to support Suspicious Activity Reports (SAR) or equivalent for regulatory filing.
  • Support senior management in performing various global AML and securities compliance responsibilities, special projects and MIS report metrics.
  • Updated standard operation procedures for Risk Assessed Customer Scores (RACS) report, and anti-money laundering policies and procedures every quarter.
Compliance
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Sr. Operations Analyst
Information Technology
Jul 2008 - Apr 2010
Jacksonville, FL
  • Identify and market derivative products to existing/prospective clients working with senior marketing team/Relationship Manager.
  • Monitor and manage customer derivative transactions including structuring, pricing and execution.
  • Full understanding of derivative products including credit default swaps, interest rate swaps, caps, floors, libor and eurobor.
  • Lead derivatives research and analysis teams and train new members on using different computer applications and software as required.
  • Study market behavior regularly and keep the team updated about the changing trends and customs in derivative markets.
  • Handle the operational process of determining and confirming derivative trade terms and regulations with other professional clientele.
  • Review the documentation related to derivatives contract and confirm accuracy and legality in mentioned terms and conditions.
  • Mitigated economic risk through comprehensive monitoring and accurately affirming trade transactions.
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International Settlement Specialist
Banking/Financial
Oct 2006 - Jul 2008
Jacksonville, FL
Stock settlement and stock loan
  • Responsible for settlements of foreign equity transactions
  • Web based banking instructions to deliver/receive shares to local market countries
  • Responsible to transfer foreign securities and funds in and out of customer accounts
  • Member of corporate actions team responsible for selling foreign currency and handling physical certificates
  • Assisted with house money accounts and data reconciliation balancing for breaks and unmatched share positions
  • Reconcile investment portfolio with all related general ledger accounts on a daily basis.
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Edit Skills
Non-cloudteam Skill
Education
English/Journalism
Valdosta State University
Sports Editor
Valdosta State University Newspaper
sports coverage to the university's newspaper
Skills
Compliance
2014
3
Analysis
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Asset Management
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Banking
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Business Analysis
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Customer Service
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Hedge Funds
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KYC
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M&A
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Risk Management
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Securities
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Trading
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Training
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