Eliteprofitpath
Candidate #1008 Compliance Senior Analyst & Wealth Management Services
Eliteprofitpath, Miami, Florida, us, 33222
Accomplished Senior Leader in Banking and Insurance, boasting over 15 years of experience in anti-money laundering (AML), compliance, fraud investigations, and exceptional client service.
Location: Miami, FL
Willing to Relocate:
No Wants:
Looking to join a growing investment management firm as a Compliance Manager, where they can work alongside the Chief Compliance Officer to update, implement, and uphold a comprehensive compliance program. Language proficiency:
Fluent in both English and Spanish. Education: Bachelor of Arts, Business Management
Canadian Securities Course Canadian Risk Management Certified Anti-Money Laundering Specialist (Pending)
Technical Skills:
Microsoft Office | QuickBooks | SAP | ISM/IBM | Compass | AS400 | Dataphile | Banner | Lotus Notes | T80 Caseware | Fastapps | ERP | Oracle | Pega | Intralink/CIS | FCRM | Certapay | Fortent | Toolkit | World-Check | PPlus | Passport | AWD | LexisNexis | Bridger | Intralink | Salesforce | Agent Desktop | Dow Jones | Fiserv Experience:
Utilizes a strong foundation in both qualitative and quantitative analysis to meet and exceed challenging business goals. Duties/Achievements: Employ sophisticated analytical tools to conduct comprehensive reviews of client accounts, monitor daily transactions for any signs of suspicious activity, and perform detailed examinations of 20+ significant transactions to identify any potential irregularities. Work closely with legal, finance, and compliance departments to strictly implement AML program regulations, maintain detailed case documentation, and uphold strong record-keeping standards. Implemented transaction tracking systems that notify the Financial Intelligence Unit of suspicious fund movements, identifying patterns, trends, and anomalies to guarantee comprehensive investigations. Upheld Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), ensuring compliance with the bank’s KYC and Customer Identification Program (CIP) standards, and was instrumental in maintaining adherence to Anti-Money Laundering (AML), Foreign Account Tax Compliance Act (FATCA), and KYC/New Customer Acceptance Form (NCAF) regulations.
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No Wants:
Looking to join a growing investment management firm as a Compliance Manager, where they can work alongside the Chief Compliance Officer to update, implement, and uphold a comprehensive compliance program. Language proficiency:
Fluent in both English and Spanish. Education: Bachelor of Arts, Business Management
Canadian Securities Course Canadian Risk Management Certified Anti-Money Laundering Specialist (Pending)
Technical Skills:
Microsoft Office | QuickBooks | SAP | ISM/IBM | Compass | AS400 | Dataphile | Banner | Lotus Notes | T80 Caseware | Fastapps | ERP | Oracle | Pega | Intralink/CIS | FCRM | Certapay | Fortent | Toolkit | World-Check | PPlus | Passport | AWD | LexisNexis | Bridger | Intralink | Salesforce | Agent Desktop | Dow Jones | Fiserv Experience:
Utilizes a strong foundation in both qualitative and quantitative analysis to meet and exceed challenging business goals. Duties/Achievements: Employ sophisticated analytical tools to conduct comprehensive reviews of client accounts, monitor daily transactions for any signs of suspicious activity, and perform detailed examinations of 20+ significant transactions to identify any potential irregularities. Work closely with legal, finance, and compliance departments to strictly implement AML program regulations, maintain detailed case documentation, and uphold strong record-keeping standards. Implemented transaction tracking systems that notify the Financial Intelligence Unit of suspicious fund movements, identifying patterns, trends, and anomalies to guarantee comprehensive investigations. Upheld Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD), ensuring compliance with the bank’s KYC and Customer Identification Program (CIP) standards, and was instrumental in maintaining adherence to Anti-Money Laundering (AML), Foreign Account Tax Compliance Act (FATCA), and KYC/New Customer Acceptance Form (NCAF) regulations.
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