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Jose
Jose.a.serrano33@gmail.com
213-616-8832
550 N Figueroa St #7038
Los Angeles, CA 90012
Senior BSA/AML Analyst
14 years experience
0
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Average rating
88
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Summary

Bilingual - (fluent Spanish & English) AML professional with experience in retail and corporate banking. Extensive understanding of AML compliance. Strong investigative and excellent problem-solving skills, along with a high degree of proficiency in assessing & remediating issues. Experienced with Bank Secrecy Act and identifying suspicious activity. Excellent verbal and written communication skills with management and peers. Proficient analytical skills, including a strong understanding of online research and desk-based investigative techniques.

Experience
Senior BSA/AML Analyst
Banking/Financial
Jan 2018 - Aug 2018
Los Angeles, CA
Team Adhoc Monitored & analyzed transactions generated by the transaction monitoring system and completed account investigations on individual and corporate customer by utilizing external resources and internal bank tools. Cleared a substantial backlog of alerts and escalated cases for further review/SAR filing when warranted.
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Senior EDD/SAR Analyst
Oct 2016 - Feb 2017
Los Angeles, CA
Investigated, monitored and cleared potential OFAC hits and transaction monitoring alerts involving customers and related entities. Completed preliminary CDD/EDD customer reviews, which included gathering necessary documentation, reviewing transaction activity and risk scoring customers. Cleared a substantial backlog of alerts and escalated cases for further review/SAR filing when warranted. * Participated in targeted MSB review, which involved detailed analysis of corporate documentation, transaction review and escalation of potentially suspicious MSB activity.
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AML/BSA Consultant
May 2015 - May 2016
Los Angeles, CA
* Investigated, monitored and cleared potential OFAC hits and transaction monitoring alerts involving customers and related entities.
• Reviewed and corrected CDD/EDD files for new clients within 30 days from on-boarding, while analyzing and suggesting risk change based on expected activity or negative news search results. Served as CDD lead for the team of consultants.
• Cleared a backlog of over 3,000 alerts and escalated cases for further review/SAR filing when warranted.
• Trained new and current employees to improve investigative techniques and ensure adherence to policies and procedures. *
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AML/BSA Analyst
Banking/Financial
Aug 2013 - May 2015
Century City, CA
Provided in-depth AML/KYC/EDD/SARs subject matter expertise.
• Performed EDD on high-risk and PEP clients. Monitored account activity and filed SARs when out of customers' financial capacity.
• Performed quality assurance on completed investigations from analyst team.
• Evaluated analyst work against a specific compliance standard and provided constructive feedback as part of managing KYC remediation efforts to meet regulatory requirements in a timely and consistent manner.
• Performed various duties that included, but are not limited to, transaction lookbacks, KYC file remediation projects, AML gap assessments, AML compliance monitoring, customer identification programs and AML training as well as the review and preparation of AARs.
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Personal Banker
Banking/Financial
Sep 2007 - Jan 2011
Los Angeles, CA
Provided assistance to clients and prospective clients with all account-related questions. Maintained upgraded knowledge of the available bank services and product offers. Adhered to regulations set by the bank and by the FDIC.
• Provided full range of financial services to clients based on evaluation of their financial need and implemented strategies to enhance loan selling.
• Fulfilled daily, weekly and monthly sale targets and referral goals.
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Edit Skills
Non-cloudteam Skill
Education
Skills
Microsoft Office
2018
7
Transaction Monitoring
2018
5
Languages
Spanish, Fluent/Bilingual