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749 Middle Branch Way
Jacksonville, FL 32259
Senior Analyst/Specialist Investment Banking and AML
15 years experience W2
Average rating
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Extensive experience in the banking industry as a whole, with an emphasis on investment banking. Several years of experience in the AML/KYC space as well as some fraud.

Senior Analyst- KYC-Client Onboarding/ Financial Crimes and Fraud
Oct 2017 - present
  • Process New Customer, Periodic Review, and Information Update requests entered by the business
  • Communicate with the business in order to ensure all documents pertaining to the request are in hand
  • Escalate all cases with a risk level of high or highest to AML compliance and process all EDD findings
  • Close out adverse news alerts by using eliminating factors found by researching the internet for information or by contacting the business unit for more information if necessary
  • Evaluate applications against several factors for new Savings and CD accounts to determine if the account was applied for by the true customer
  • Communicate with customer via phone and/or email regarding the status of their application
Compliance Acimize
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Ops Sr Analyst MKTS-ML Pro Buys Ins/I'ntl Broker Dealer Buy Ins
Jun 2015 - Jun 2017
  • Send daily buy in notices for CNS, Deficit, Broker to Broker, and Stock Loan buy ins to all short ML Pro accounts on record via letter generator excel macro
  • Determine which securities need to be bought in to satisfy the firm deficit and input order to liquidity book to buy the shares. Then in turn notify the short client to let them know of the buy in and the purchase price.
  • Process executions provided to us for CNS, broker to broker, and stock loan buy ins
  • Work with outside broker dealers on the street to settle fails in a timely manner
  • Execute buy ins on all aged fails and communicate to outside broker dealer when price is received
  • Ensure SPO money is exchanged in a timely manner, T + 3
  • Reconcile buy in account
Microsoft Excel
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Senior Operations Analyst - TMPG/CPR Claims
Mar 2012 - Aug 2014
  • Oversee the team in Bangalore, India in the processing of MBS TMPG claims
  • Escalation point for all MBS TMPG claim discrepancies
  • Reconcile month end MBS TMPG claims and post adjustments to P&L trader accounts
  • Calculate CPR claims
  • Compile CPR claim information and issue claims to clients
  • Pay out and receive in all CPR claims
  • Prepare reports for senior management
No skills were added
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Canadian Equities Specialist - Corporate Actions
May 2006 - Mar 2009
  • Pull daily reports via web applications and distribute
  • Sort all accounts for each individual security into the proper tax category
  • Process topsheets
  • Ensure dividends are being paid for each security based on mandatory or voluntary corporate actions
  • Make payments for dividends on pay date
  • Reconcile all breaks after pay
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Edit Skills
Non-cloudteam Skill
Business Management
University of North Florida 2000
Microsoft Excel
Investment Banking