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Gabriel
gabe8525@yahoo.com
631-944-5124
20 E. Half Hollow Rd.
Dix Hills, NY 11746
AML Analyst
19 years experience W2
0
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Average rating
44
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Summary

Detail-oriented and accomplished professional with extensive expertise in planning, coordinating, and leading regulatory compliance activities, eliminating risks, examining compliance reviews, and communicating highly detailed analytical reports to organizational management. Stellar record of success in risk programs management, compliance structural, investment banking, due diligence, control room, and research/marketing. Adept at investigative study, interviewing methodologies, and comprehensive inspections for ensuring adherence with regulatory guidelines to streamline organizational and industrial integrity. Articulate communicator; proficient in building and fostering relationships with colleagues, teams, and management.

Highlights:

  • Documented and reported case review’s / investigation findings; determined if any client issues required further remediation or if client activities required restrictions or other actions.
  • Conducted research over available systems, the Internet, and Databases such as File Ziller, Excel, Tinzip, Lexis Nexis, World-Check consistent with the resolution of investigations.
  • Worked in conjunction with consumer data and Domain stakeholders to support data quality rules, standards, and thresholds to ensure appropriate data quality-monitoring practices are in place.
  • Actively tracking regulatory changes and anticipating the impact these changes would have on the Business.
  • Over 20 years of Financial industry experience. Undergraduate degree in Finance.
  • Knowledge of AML/ATF legislation regulatory requirements and related projects.
  • Created Suspicious Activity Reports (SARs), recommended relationship retention or termination, and tracked account closures as required.
  • Built a customer-focused culture to deepen client relationships and leveraged a broader range of relationships using improve methods and systems.
  • Knowledge of requirements gathering, design methodology, and building test cases - detail-oriented, analytical, and capable of investigating complex issues.
  • Able to troubleshoot data-related issues and support in the authorization of maintenance and modifications.
  • Good communication/presentation skills (both oral and written).
  • Excellent team player in coordinating with co-workers and cross-departmental business & IT stakeholders.
  • Responsible for executing the day-to-day systems, activities, including correcting data quality issues and processes.
  • Responsible for establishing and maintaining strong data management records and systems.
  • Developed and maintained accurate data lineage and procedures for critical data files and systems.
  • Documented end-to-end processes including securing all Key Controls.
  • Established Service Level agreements with appropriate third parties.
  • Established Data quality measurements and reporting.
  • Established Issue management processes, policies, and procedures.
  • Quality Management skilled with in-depth research, interviewing techniques, and investigative study to ensure across-the-board conformity to enhance company and industry strength, ethics, and congruency.
  • Proven mentor, trainer, and leader of multi-functional teams to foster comprehensive compliance analysis.
  • Reduced Corporate Risk through an examination of functions and processes throughout the firm to ensure alignment with regulatory guidelines covering advertisements, contracts, and stakeholder expectations, and industry-wide best practices.
  • Cross Border Compliance experience while employed with Broker Dealers in Mexico and Germany.

Experience
AML Analyst/Compliance Consulting
Banking/Financial
Nov 2018 - present
  • Worked on various projects outlining guidelines for supervision and AML governance. Developed and updated procedures. Investigated Fraud, Filed SARS.
  • Devised and updated procedures on projects for defining guidelines for supervision and AML governance.
  • Inspected Fraud and Filed SARS; documented and reported case review’s / investigation findings; determined if any client issues required further remediation or if client actives required restrictions.
  • Liaised between government agencies, mock audits, and business units.
  • Analyzed arbitrations, private placement, and complaints due diligence for ensuring AML compliance.
  • Reviewed AML polices with updates, conducted AML Audits, and made recommendations to enhance compliance thereof. Investigated complaints, arbitrations, private placement due diligence, and AML compliance therewith, account forms, training, reporting, and mock audits.
AML Compliance Series 24 FINRA CAMS Asset Management ACAMS Microsoft Excel Auditing Project Management Regulatory Reporting
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AML Representative /CEO / Operation &Compliance Officer
Professional/Consulting Services
Feb 2016 - Oct 2018
  • Revamped manuals and policies as well as performed audits and investigations.
  • Authored WSP, AML, and BCP guidebooks.
  • Supervised staff of employees, brokers, and supervisors. Provided executive-level leadership and support in research, operations, training, marketing, account documentation, sales, and processing/financial analysis.
  • Monitored client’s transactions, performance, and securities for investment, KYC, CIP, EDD, CDD, SARS, OFAC, and 314a to eliminate risk.
  • Hands-on compliance and operations; reviewed content for firm risk and exposure. Determined if the client was a risk or if any restrictions were required, made recommendations based on issues found.
  • Revised compliance manuals, liaison to FINRA and the SEC regarding inquiries, audits, investigations, and tests of current policies and systems.
  • Supervised a staff of twelve including supervisors and brokers. Conducted risk management by overseeing client performance and selected securities for investment, etc.
Compliance BSA Analysis Risk Management Auditing AML FINRA Financial Analysis OFAC KYC EDD SAR Reports CDD
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AML Compliance Consultant
Banking/Financial
Mar 2015 - Sep 2015
  • Revamped manuals and policies as well as performed audits and investigations.
  • Authored WSP, AML, and BCP guidebooks, while supervising a staff of 12 employees including brokers and supervisors.
  • Provided executive-level leadership and support in research, operations, training, marketing, account documentation, sales, and processing/financial analysis.
  • Monitored client’s transactions, performance, and securities for investment, KYC, CIP, EDD, CDD, SARS, OFAC, and 314a to eliminate risk.
  • Scrutinized, revised, and made recommendations regarding compliance structure. Ensured regulatory guidelines were met in relation to heightened supervision, emails, new accounts, activity letters, trading, commission, surveillance, system test, and a variety of other components required to meet legal parameters.
  • Assisted the AML Representative with KYC day to day activities.
AML Auditing CDD CIP Compliance KYC OFAC SAR Reports Trading Financial Analysis EDD
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AML Representative/ Chief Compliance Consultant
Banking/Financial
Dec 2010 - Apr 2015
  • Spearheaded compliance pertaining to retail and institutional transactional broker-dealer, tested system and procedures. Implemented new CE to encompass AML as well as company-wide compliance. Investigated client issues and determined any client restriction or remediation.
  • Enhanced, replaced, or created procedures to comply with regulatory guidelines and strengthen longevity. Revised manuals and policies concerning AML, BCP, and WSP.
  • Reviewed marketing and advertising material for new products to confirm they do not expose the firm to litigation and are within boundaries of legal guidelines regarding truth in advertising laws.
  • Procedural Compliance: Reworked AML, BCP, and WSP manuals to align with respective policies, laws, according to regulatory guidelines and key stakeholder requirements. Established updated procedures for Prime Brokerage.
  • Launched new systems to monitor transactions for retail, institutional, and options, along with material changes for the US and foreign accounts including UK.
AML Compliance BCP WSP Transaction Monitoring
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Assistant Compliance Director
Banking/Financial
Oct 2009 - Sep 2010
  • Guided analysis regarding compliance of supervisory structure entailing reviewed of AML function, complaints, investment banking, research, and Chinese wall.
  • Examined sales within institutional and retail sectors in addition to media contacts, policies, procedures, OFAC, FINCEN, Section 311, PEP’s, and money flows, among others.
  • Conducted branch audits, assessed ethics, and reviewed employee accounts.
AML Auditing Banking Compliance OFAC Project Management
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AML Representative/ Chief Compliance Consultant
Banking/Financial
Jul 2007 - Oct 2009
  • Instituted replacement procedures for AML, BCP, WSP, RIA, and the supervisory structure. Observed daily compliance of institutional and retail accounts within the US and Mexico.
  • Performed daily AML reviews concerning KYC for onboarding clients.
  • Responsible for AML review, OFAC, Third-party wires, suspicious activity, Peps, bad actors, Prime Brokerage, etc.
  • AML Expertise: Point-person for all aspects of daily KYC and compliance activities, including enhancements to existing KYC procedures. Investigated client findings and determined any restrictions if necessary.
AML Compliance KYC OFAC BCP WSP
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Chief Compliance Consultant
Banking/Financial
Jul 2005 - Jul 2007
  • Formulated new CE to cover general as well as AML compliance and reviews of client issues before opening accounts on an ongoing basis. Identified accounts that required restrictions or termination.
  • Developed guidelines for investment banking comprising of compliance for IPO and private placements.
  • Inspected conformity of client accounts in the US and UK to confirm WSP adherence of all business units.
  • Trained personnel, conducted branch audits, ethics, and employee reviews.
  • Critical Procedures: Engineered comprehensive procedures for Patriot Act, WSP and BCP, supervisory steps to protect data and financial integrity.
AML Auditing Banking Compliance Patriot Act
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AML Representative/ Chief Compliance Director V.P.
Banking/Financial
Feb 2003 - Jul 2005
  • Ensured firm functioned in accordance with regulations governing investment banking, research, institutional sales, market development, proprietary trading, ex clearing trades, the Investment Advisors Act, KYC, trading surveillance, options, control room, and NYSE floor activity guidelines.
  • Reviewed firm training to detect noncompliance with front running and unauthorized trading.
  • Managed analysis of branch audits, ethics, 144 stock, registered Securities, Unregistered Securities, Prime Brokerage, and employee accounts.
AML Auditing Banking Compliance KYC Project Management Trading
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Edit Skills
Non-cloudteam Skill
Education
Bachelor's in Finance
Pace University - Lubin School of Business
Certifications
ACAMS
FINRA SERIES 4, 7, 24, 63, 87, 99
Skills
AML
2021
16
Compliance
2021
16
Auditing
2021
10
KYC
2018
7
BCP
2015
6
OFAC
2018
6
WSP
2015
6
Banking
2010
5
Project Management
2021
5
FINRA
2021
4
Transaction Monitoring
2015
4
CDD
2018
3
EDD
2018
3
Financial Analysis
2018
3
SAR Reports
2018
3
Analysis
2018
2
BSA
2018
2
Patriot Act
2007
2
Risk Management
2018
2
Trading
2015
2
ACAMS
2021
1
Asset Management
2021
1
CAMS
2021
1
Microsoft Excel
2021
1
Regulatory Reporting
2021
1
Series 24
2021
1
Capital Markets
0
1
CIP
2015
1
Customer Service
0
1
LexisNexis
0
1
Microsoft Office
0
1
Portfolio Management
0
1
Quality Management
0
1
Securities
0
1
Series 7
0
1