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Da'mon
damon.d.breaux@gmail.com
469-720-2868
Dallas, TX 75354
KYC Analyst & FIU / AML Investigator
14 years experience W2
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Summary

A results-driven professional, experienced in executing KYC and anti-money laundering procedures, as well as applying subject matter and industry knowledge to optimize case decisions. Contribute to the timely flagging of suspicious transactions, in addition to completing complex cases of activity on routine and/or high impact investigations and documenting decisions/findings. Highly skilled in supporting a broad range of risk management tasks and also demonstrate in-depth knowledge of financial crime/data protection guidelines. Talented in research of complex cases, delivering accurate and timely insight, and manipulating data to customize information presentation according to different readers’ requirements. Provide regular training to the KYC and Payments team and maintain up-to-date records in line with all applicable regulatory compliance.

Highlights of Expertise

  • Workflow Planning & prioritization
  • Finance & Banking Practices
  • Customer Relationship Management
  • Stakeholder Engagement & Collaboration
  • Communication & Interpersonal Skills
  • Logical Reasoning & Problem Resolution
  • Know Your Customer Guidelines
  • Suspicious Activity Reports (SAR)
  • Auditing & Risk Assessment
  • User Acceptance Testing
  • Patriot Act & FinCEN 314(b) Requests
  • Remediation Projects
  • Team Leadership & Development
  • Training, Coaching & Mentorship
  • Transaction Monitoring
  • Alert Dispositions
  • EDD & Due Diligence
  • Fraud, BSA & AML Compliance
  • AML Risks & Typologies
  • Fraud & Credit Analysis
  • Root Cause Analysis
  • Drafting CTRs
  • Quality Assurance / Cost Control
  • Credit Risk Mitigation

Technical Proficiency: Microsoft Office (Word, Excel, Outlook, PowerPoint, Access, SQL Server, Visio); Actimize; Lexis Nexis; Chordiant; CDI; IRIS; EPRISM; E-Navigator; Image Soft; Verafin; Acquirer; Sassi; Host; LPS (Black Knight); MSP; Aacer; FileNet; Package Builder; Docgen; Vendorscape; Venture; DRI/Citilink; ECF/Pacer; Ican.

Experience
KYC Quality Assurance Analyst
Banking/Financial
Jan 2021 - present
Dallas, TX

Responsible for research and investigations of compliance operations in line with internal policies and regulatory requirements with a focus on preventing non-conformance penalties and fines.

Key Achievements:

  • Oversee the timely completion of KYC remediation on various legal entities, covering Hedge, Mutual and, Private Funds, regulated and unregulated corporate companies (LLP, LLC, and corporations), Trusts, foreign organizations, banks, financial institutions, sovereign entities.
  • Conduct Customer/Enhanced Due Diligence (CDD/EDD) according to instituted standard procedures and monitor negative news, PEP, and sanctions on customers and related parties and persons.
  • Support line management to minimize exposure and losses by advising on significant issues and control weaknesses.
  • Pin-point doubtful dealings through EDD, review, and analysis of information gathered from numerous databases and third-party sources (via Lexis-Nexis, Google, World-Check, and Dun & Bradstreet).
  • Execute case quality checks on Remediation Analyst, review client legal hierarchy and financial documentation, analyze received information, and oversee end-to-end KYC procedures.
  • Maintained above 90% accuracy rate as a QC reviewer of all investigators' disposition alerts of suspicious identified accounts for high-risk or financial crimes.
Compliance Financial Crimes KYC Quality Assessor LexisNexis EDD AML Correspondent Banking
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AML Senior Investigator
Banking/Financial
Nov 2020 - Mar 2021
Dallas, TX

Promoted from an Analyst to AML Senior Investigator with accountability for assessing daily reports/alerts and escalating suspicious transaction patterns to the Investigations AML Manager.

Key Achievements:

  • Maintained accurate justification documents, filed SARs where necessary, and supported program-wide investigations through gathering data and/or documentation.
  • Triaged all received referrals from internal partners and conducted thorough investigations to identify unusual patterns for escalation and filing.
  • Reviewed Securities and cryptocurrency trading transactions for potential market manipulation, money laundering, and fraud, in addition to investigating escalated cases from Junior Analysts.
Triage Management Trading Project Management Securities SAR Reports Crypto Currency AML Financial Crimes
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AML Senior Investigator II, FIU
Banking/Financial
May 2018 - Nov 2020
Dallas, TX

Identified money laundering red flags issues from transactions and customer relationships and ensured accurate and timely completion of all transaction monitoring alerts.

Key Achievements:

  • Assisted Analyst in safeguarding compliance for all assigned cases, minimized regulatory and reputational risk via diligence approval/rejection of submitted cases and escalated critical issues for advanced analysis.
  • Delivered consistent top performance and was promoted to a QA role with responsibility for verifying alerts generated from the Transaction Monitoring System (TMO), as well as monitoring suspicious transactions to prevent money laundering, terrorist financing, human trafficking, structuring, and fraud.
  • Completed end-to-end investigations of external financial crime activities, produced SARs, filed Currency Transaction Reports (CTR’s), and also addressed sanction alerts and AML processes within timeline and regulatory provisions.
  • Demonstrated in-depth knowledge of banking, fraud, and AML typologies, as well as industry provisions under the Bank Secrecy Act (BSA), U.S. Patriot Act, and the Office of Foreign Assets Control (OFAC).
  • Supported Team Supervisors in diverse ad hoc responsibilities, promoted positive relationships with AML Investigational units to streamline information flow, and gained comprehensive experience of the automotive finance line of business’ SOPs and policies.
Terroris Financing SAR Reports Quality Assessor Patriot Act Financial Crimes Compliance BSA Banking AML Correspondent Banking
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Project Consultant - QA, Risk Compliance, AML, KYC
Information Technology
Sep 2015 - Oct 2017
Dallas, TX

Conducted operations research to enhance regulatory compliance, completed KYC Remediation on various legal entities, including Funds, Regulated and Unregulated, Corporate Companies, Trusts, Foreign Organizations, Banks/Financial Institutions, and Sovereign Entities.

Key Achievements:

  • Oversaw the efficient execution of CDD/EDD, monitored negative news, PEP, and sanctions, and recommended to line management on approaches for reducing exposure/loss by evaluating issues and control weaknesses.
  • Identified doubtful dealings through EDD, review and analysis of information gathered from numerous databases and third-party sources (via Lexis-Nexis, Google, World-Check, and Dun & Bradstreet).
  • Trained and upskilled new AML hires on company's procedures and regulatory mandates, executed case quality checks on Remediation Analyst, and also reviewed client legal hierarchy and financial documentation.
  • Analyzed received information, accomplished further steps required to complete KYC as per procedures, and conducted quality control review of all investigator disposition alerts on suspicious identified accounts for high-risk or financial crimes.
AML CDD Compliance Financial Crimes KYC Quality Assessor LexisNexis EDD
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KYC / AML Analyst & Compliance Analyst
Banking/Financial
Jan 2008 - May 2014
  • KYC / AML Analysis.
  • Compliance Analysis.
KYC Compliance AML
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Edit Skills
Non-cloudteam Skill
Education
Certifications
CAMS - in progress
ACAMS
Skills
AML
2021
11
Compliance
2021
11
KYC
2021
8
Financial Crimes
2021
5
Quality Assessor
2021
5
Correspondent Banking
2021
3
Banking
2020
2
BSA
2020
2
CDD
2017
2
EDD
2021
2
LexisNexis
2021
2
Patriot Act
2020
2
SAR Reports
2021
2
Terroris Financing
2020
2
Actimize
2021
1
CIP
2021
1
Customer Service
2021
1
Fraud Investigation
2021
1
Loan Processing
2021
1
Loans
2021
1
Microsoft Office
2021
1
Mitigation
2021
1
Regulatory Reporting
2021
1
Risk Management
2021
1
Auditing
0
1
CFA
2021
1
CPA
0
1
Crypto Currency
2021
1
Microsoft Excel
0
1
Mortgage Adjuster
0
1
OFAC
0
1
Project Management
2021
1
Regulatory Compliance
0
1
Risk Assessment
0
1
Securities
2021
1
SQL
0
1
Trading
2021
1
Triage Management
2021
1