COMPLIANCE MANAGER - Banking Mortgage Resume Search
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Desired Industry: Banking/Mortgage SpiderID: 82073
Desired Job Location: Rancho Cucamonga, California Date Posted: 6/21/2019
Type of Position: Full-Time Permanent Availability Date: Immediate
Desired Wage: $110,000.00
U.S. Work Authorization: Yes
Job Level: Management (Manager, Director) Willing to Travel: Yes, 25-50%
Highest Degree Attained: Bachelors Willing to Relocate: Yes

Analytical, results-oriented, and performance-focused professional with extensive management experience in operations compliance, auditing, and risk assessment. Known for keen attention to detail, as well as outstanding problem-solving and critical thinking aptitudes to thoroughly assess situations, formulate strategies, and resolve complex situations. Equipped with well-defined analytical, written and oral communications, organizational, technical, multitasking, research, and investigative skills. Highly effective at establishing strong working relationships and working collaboratively with key stakeholders, regulators, senior and executive management, clients, and other professionals to address compliance issues.

Citibank * Irving, TX
Assistant Vice President Nov 2017–Jan 2019
Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and Financial Intelligence Unit (FIU)
* Provide expert leadership to staff in delivering best-in-class AML and Office of Foreign Asset Control (OFAC) enterprise services to business partners, as well as in meeting the company’s regulatory requirements of preventing, detecting, and reporting suspected money laundering and terrorist financing activities
* Oversee operations and provide compliance solutions for customer protection laws (CPLs), consumer compliance regulatory risk, and regulatory consulting for the company and its affiliates
* Closely collaborate with business leaders and functional leaders in assessing and quantifying risks and solutions and creating remediation plans in support to multiple business projects to resolve specific risk issues
* Exhibit in-depth knowledge of bank- and credit-related regulatory requirements regarding consumer compliance regulations such as Federal Reserve regulations, fair lending, privacy, and CPLs, as well as industry best practices for compliance programs in larger banking or consumer lending organizations
* Spearhead daily operations involving quality and performance management, while directing employees on regulatory risks, structuring, risk assessments, gaps in customer transactional activity, CPLs, due diligence support, policy interpretation and support to agents within the region
* Assist with the execution, oversight, and enhancement of the Manager’s Control Assessment (MCA) Program including report development and assessment
* Facilitate training, risk management, consultative support, and education to foster a culture of consumer compliance regulatory risk awareness and accountability
* Preside over weekly meetings to discuss operational risk identification, methods, risk mitigation, and trends; and determine and address any outstanding AML, BSA, and OFAC compliance issues
* Recommend innovative solutions, verify feasibility of approaches, and ensure proper identification, measurement, reporting, and monitoring of all material risks
* Render consultation on policy, risks, and remediation of consumer compliance-related matters, while guaranteeing all corrections and objectives are met

Career Highlights:
* Served as the driving force in improving the following:
* Internal auditing scores by 35% through the launch of compliance policies program;
* Employee retention rates by 55% within two years by delivering a tiered-interview system and coordinating two global programs; and
* Suspicious activity report (SAR) filings production by 25% and quality by 45% within three months through program development
* Received promotion in the first year due to outstanding performance in supervising more than 70 fraud and AML compliance analysts

MoneyGram * Frisco, TX
Compliance Analyst II Nov 2012–Nov 2017
* Fulfilled various tasks to aid enterprise with compliance of BSA, OFAC, USA Patriot Act, and other AML program requirements, entailing transaction data and AML risk assessments to track, report, and avoid suspected money laundering and terrorist financing activities
* Actively interacted with local regulators and key agents, while training them on risk and fraud identification and prevention
* Remained up-to-date with new rules, regulations, and reputational risks in support to the establishment, implementation, and modification of current policies and procedures
* Secured accurate and proper reconciliation of international case referrals in adherence to all recordkeeping requirements
* Conducted thorough analysis of fraudulent and unusual activities for international regulatory reporting and escalation
* Functioned effectively as subject matter expert in charge of offering guidance and assistance by participating in new product and service or channel projects for KYC on-boarding policies and procedures
* Relayed out-of-pattern transactional activities to AML investigations to execute further investigation and potential regulatory reporting
* Contributed in verifying and testing alert scenarios, systemic alerts, and manual referrals, as well as reviewed possible OFAC hits to ensure conformance of transactions with sanctions
* Resolved any gaps on agent’s compliance program and obligations involving training, monitoring, and regulatory reporting

Microsoft * Irving, TX
Fraud Investigations Analyst, Contract Nov 2011–Nov 2012
Surveillance and FIU
* Delivered risk management support for a line of business and staff agency on key risk identification, measurement, and aggregation through appropriate practices and processes
* Determined key and emerging risks; assessed alignment with risk strategy and appetite; monitored risk and control environment to eliminate enterprise and business exposures
* Acted as main contributor on projects in conjunction with key stakeholders in tracking, evaluating, aggregating, and documenting risks and controls on new modified products, services, distribution channels, regulations, and third-party operations affecting enterprise and the organization
* Submitted results to various levels of leadership such as government committees and business process owners
* Facilitated hands-on training and supervision for new consultants on quality assurance and control procedures and reviews
* Initiated the execution of new risk policies, practices, appetites, and solutions to ensure understanding and oversight of risks in compliance with industry best practices
* Steered efforts in improving and assisting with strategies, tools, and methodologies for risk measurement, monitoring, and reporting, as well as in creating and implementing analytical materials for discussions with cross-function teams to understand business objective and influence solution strategies
* Developed stress test plans for a line of business and enterprise including assessment of results, and framing of contingency plans in collaboration with key business stakeholder

HD Investments * Irving, TX
Compliance Relationship Manager Apr 2008–Nov 2011
Audit and Vendor Management
* Built and strengthened long-term relationships with top practices amounting more than $20M in AUA by rendering risk management practices assistance in multiple areas such as investment management, consumer consulting, internal and external fraud risk review, business management while supporting senior relationship manager and their relationships
* Established compliance risk management programs involving risk assessment, monitoring, reporting, and prioritization, as well as definition of an organization's risk appetite and risk tolerance in adherence to the organization's strategy
* Coordinated with external clients and internal staff to determine and address client needs, while providing them constructive coaching and real-time feedback
* Conducted extensive traveling and created relationships with business partners and specialists through proactive collaboration
* Took charge of administering work to guarantee alignment with goals and standards; creating marketing materials and sales campaigns with Marketing and National Sales teams; and handling systematic phone calls and emails and visiting different vendors as business coach
* Generated and facilitated phone and in-person presentations for advisors, aiding them to grow their business through sales idea promotion, client case analysis, cross-selling opportunities identification, and recommendation and investment strategy development
* Demonstrated working knowledge of products and services of all educational partners in close coordination with advisors for their business
* Performed follow-up with internal team members to ensure quick resolution of all advisor requests as well as proper tracking and internal sharing of interaction details

Bachelor of Business Administration in Management Information Systems, Minor in Finance and Compliance Operations
Southern Arkansas University * Magnolia, AR | GPA: 3.8/4.0

Direct Endorsement (DE) Certification: Oct 2012 – Federal Housing Authority University
Project Management Certification: May 2005 – Southern Arkansas University

Anti-Money Laundering and Fraud Prevention | Banking Operations Oversight | Program Development
Financial Analysis | Fair Lending | Customer Protection Laws Compliance | Regulatory Consulting and Advisory
Staff Training and Development | Audit and Quality Assurance | Project Management | KYC On-Boarding | UDAAP | Reg B and Z


E-Sign | World-Check | Lexis-Nexis | CRM | Actimize | Yellow-Hammer | SAP Business Objects | FircoSoft
Lotus Notes | Microsoft Office Suite Applications (Outlook, Excel, Word, PowerPoint, and SharePoint)
Microsoft Windows | Citrix | Merlin | Jack Henry | Silverlake | Portfolio Analyzer | Flowcharting

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