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Vincent
vinandcarrie@comcast.net
904-707-6639
3189 Wandering Oaks drive, Orange park
Orange Park, FL 32065
Quality Control Associate
19 years experience W2
2
Recommendations
Average rating
64
Profile views
Summary

  • Motivational leader with 18 years’ experience in Global Investment Banking.
  • Has managed teams in Quality Control, Corporate Actions division supporting fixed income products. I have also managed Client Onboarding teams responsible for screening clients investing in Global Transaction Banking, fixed income and loans services.
  • Successfully audit and produce quality findings on over 2000 deals in both Equipment Finance and Small Business Solutions.
  • These roles have allowed developing into an effective leader and strategic thinker with a business philosophy centered around client service, operational efficiency and team building. Focus on problem solving and idea generation and have a proven track record of delivering results.

Experience
Quality Control Associate
Banking/Financial
Sep 2018 - present
Jacksonville, FL
  • Manage team of 6 Quality Control Specialists to produce risk and regulatory findings on originated loan and lease contract documents
  • Provide daily and monthly control packs to Operations senior management to provide summarized risk findings and control recommendations
  • Successfully audit and produce quality findings on over 2000 deals in both Equipment Finance and Small Business Solutions
Auditing Q&RM Quality Management Compliance
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Client On-Boarding AVP
Banking/Financial
May 2009 - Jul 2018
Jacksonville, FL
  • Managed Global Transaction Banking On-boarding team of 18 people responsible for conducting due diligence for prospective clients seeking Global Securities Services, Cash Management and Trade Finance services
  • Managed Fixed Income On-boarding team of 10 people responsible for gathering client data to set up accounts for fixed income trade settlements
  • Manage Loan Agent On-Boarding team of 14 responsible for due diligence of clients in the Loan space
  • Executed full transition of Global Transaction Banking team from Dublin to Jacksonville
  • Member of NextGen Employee Relationship Group leadership team responsible for partnering with JASMYN House and Junior Achievement on various charitable and community service related initiatives
  • Partner with front office sales to streamline client on-boarding process in line with business requirements to improve client onboarding experience and drive additional revenues
  • Reviewed public and non-public client documents to ensure BSA / AML regulatory requirements were satisfied.

AML Banking BSA KYC
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References
Average Rating

1 recommendation
Corporate Actions Senior Specialist, Six Sigma/Cash Management Senior Associate
Banking/Financial
Mar 2002 - May 2009
Jacksonville, FL

Corporate Actions Senior Specialist, Six Sigma

  • Six Sigma Green Belt, LEAN and PowerSolve certified.
  • Developed system enhancements to reduce full time employee costs associated with time spent collecting and processing treasury bonds.
  • Distributed principle and interest payments for US, Latin American and Canada cash and stock, as well as Treasury and Agency payouts in excess of a billion dollars weekly.
  • Ensured all payment data was collected from both internal sources and external custodians, reviewed for accuracy and applied to deliver funds to clients both timely and accurately.
  • Delivered proper break resolution and clearance while providing daily updates to supervisors and weekly updates on risk and exposure to senior management on any unresolved items.
  • Lead foreign transactions in various currencies with reconciliation of accounts.

Cash Management Senior Associate

  • Maintained and funded MLPF&S Futures, Government Securities and Professional Clearing Corporation bank accounts.
  • Assisted remote users of the Funds Processing System by verifying wiring instructions, identifying unidentified funds, looking out for incoming wires, identifying and correcting payment problems.
  • Processed all incoming and outgoing wires for Payment and Interest Coupons and Government Security Trades.
  • Managed the daily reconciliation of over 50 accounts.
Reconciliation
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Edit Skills
Non-cloudteam Skill
Education
Bachelor's in Criminology
Florida State University, 1994 - 1998
Certifications
Series 99 Certification
Six Sigma Green Belt, LEAN and PowerSolve certified
Skills
AML
2018
9
Banking
2018
9
BSA
2018
9
KYC
2018
9
Reconciliation
2009
7
Auditing
2021
1
Compliance
2021
1
Q&RM
2021
1
Quality Management
2021
1