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0-5 years of experience
- Reviewed monthly KYC (Know Your Customer) report for accounts with suspicious or unusual activity
- Reviewed monthly high risk jurisdiction wire report for accounts with unusual or suspicious activity
- Performed in depth investigations, thoroughly documented and retained case documentation
- Wrote suspicious activity reports (SARs) in accordance with FinCEN (Financial Crimes Enforcement Network) regulations and time limitations
- Conducted a 90 day review of accounts previously reported to FinCEN
0-5 years of experience
- Assisted in the development of an automated EDD process.
- Completed EDD reviews on the bank’s high risk population.
- Reviewed matches returned from OFAC screening.
- Conducted AML investigations and Suspicious Activity Reports.
- Established processes and workflow for CTR integration including transaction aggregation, Fin CEN filing, and trend analysis.
- Conducted fraud investigations.
- Executed projects assigned by the Chief Compliance Officer including employee training initiatives and strategic risk management controls.
0-5 years of experience
- Performed Enhanced Due Diligence (EDD) on business, personal, domestic and international relationships.
- Determine unusual and/or suspicious activity which would lead to filing of a SAR.
- Conducted a holistic EDD to identify unusual patterns/trends on personal and business accounts including High Risk Jurisdictions.
- Performed holistic EDD on complex relationships that maintained a greater number of accounts with different purposes to detect any patterns or unusual activity which includes uncovering the true originator of funds moved through the accounts and the ultimate beneficiary of funds.
- Conducted EDD on Wealth Management/Investment relationships.
0-5 years of experience
- Worked as part of an analytical and research team investigating unusual account and transaction behavior within the Global Transaction Services
- Reviewed and investigated cases and alerts on the Banks Transaction Monitoring & Case Management System.
- Handled more complex investigations and investigate potentially suspicious activity using bank systems, subscription and public databases, and other tools to research.
- Performed periodic Enhanced Due Diligence (EDD) reviews of the Banks high risk customers, entity, counterparties and related entities to the transactions.
- Reviewed and analyzed various documents such as SAR history, 90-days reviews, 314(a) requests and Subpoenas, account statements, transaction histories, wire transfers details, check and cash transaction details to prepare a detailed narrative report for management on potential risks relates to AML regulation.
- Reviewed and analyzed compliance monitoring reports and other related source documents for suspicious and unusual patterns of activity.
- Performed detailed research on suspicious activity and drafted Suspicious Activity Reports when deemed necessary.
- Performed Quality Control function for a team, maintained Quality Control Checklist for each case and tracked completed cases as a team.
0-5 years of experience
- Prepared and reviewed Currency Transaction Reports.
- Prepared Suspicious Activity Reports, as well as 90 day follow-up reviews.
- Reviewed and cleared potential OFAC matches.
- Conducted investigations on customer activity generated by Alma Bank’s AML program, as well as bank personnel referrals (Alerts, Cases & Unusual Activity Reports).
- Responsible for complying with all relevant bank policies and procedures including the Bank Secrecy Act, Anti-Money Laundering and government compliance.
0-5 years of experience
- Assisted in the development of the BSA program by creating certain procedures for the on-boarding process of new clientele.
- Led monitoring for the [company name]’s cash intensive transactions by conducting systematic reviews resulting in reports to ensure accurate aggregation
- Reviewed and correlated all currency transaction reports (CTR’s) as well as processing and filing CTR exemptions
- Conducted comprehensive and full spectrum transactional analysis of the Bank’s high risk customers including the large number of high risk incoming/outgoing international wire activity
- Developed and initiated ongoing comprehensive enhanced due diligence (EDD) monitoring programs for customer relationships to identify and document suspicious activity, which included but was not limited to: cash intensive, international import/export, Nonresident Aliens (NRA) and power of attorney (POA) accounts
- Performed negative news screening on US and Non-US clients, along with OFAC search.
- Performed and directed suspicious activity reviews (SAR), reconciliation, and reporting for assigned cases or referrals received from branch staff
- Maintained situational awareness and current knowledge of regulatory changes, industry standards, and best practices
- Managed and processed all AML-related matters, including negative news, potential matches on sanctions screening, and unusual behavior raised by frontline staff.
- Ensured that all transactions were fully compliant with OFAC directives; cross-check customers with OFAC trade sanctions and Specially Designated Nationals.
0-5 years of experience
- Assigned to the Financial Intelligence Unit team responsible for performing Enhanced Due Diligence (EDD) reviews on high risk customers.
- Monitor account activities and compose reviews periodically to ensure compliance with the Bank Secrecy Act and the USA Patriot Act.
- File SARs or No SARs in accordance with federal regulatory requirements.
0-5 years of experience
- Develop “as is†and “to be†business processes; identify risk within the business processes and recommend risk activities to eliminates risks; develop audit readiness checklists and models and conduct sample testing; develop corrective action plans to correct deficiencies discovered during sample testing.
- Conducted Enhanced Due Diligence (EDD) measures on clients posing elevated levels of risk.
- Investigate complex money laundering schemes, generated by the BAM monitoring system, to detect any unusual, suspicious activity and structuring.
- Researched cases of potential money laundering and terrorist financing in order to determine the most appropriate course of action.
- Reviewed Customer Due Diligence (CDD), Customer Identification Program (CIP), Credit Risk Assessments and documents for new accounts.
- Verified high risk clients and high risk countries against OFAC website and World Compliance for wire transfers transactions.
- Thoroughly documented findings by preparing reports in a manner that is clear and comprehensible to BSA supervisors/managers, internal auditors, and regulatory examiners.
- Performed searches utilizing internet sources and/or third party vendors (i.e. Google, Lexis Nexis and/or World Compliance) to determine negative news and obtain due diligence information for prospects and new/existing customers.
0-5 years of experience
- Established operating procedures and monitored all BSA related activities. Performed assigned quality control reviews and monitoring of the Bank Secrecy Act, USA Patriot Act, Anti-Money laundering, OFAC, and Customer Identification program compliance using industry standard and regulatory guidelines, documents daily review and analysis of suspect transactions and prepares reports recapping effort.
- Understanding of current knowledge of all rules, regulations and laws as they apply to BSA, OFAC, USA Patriot Act, CIP and AML.
- Participates in job-specific training and other bank training program requirements.
- Complies with all federal and state laws and regulations, as well as all established bank policies and procedures. Performs detailed analysis on accounts that appear to have unusual and/or suspicious activity and provides detailed documentary evidence to support the findings.
- Able to work in fast paced environment and handle frequent interruptions, and performs other duties as may be assigned.
0-5 years of experience
- Responsible for detailed investigations, documentation and government reporting related to OFAC violations, suspicious activity reporting and fraud
- Monitor CIP procedures according to policy and regulation
- Investigate referred unusual activity to prepare SAR’s for submission to authorities
- Daily monitoring of OFAC, FinCen 314a reporting and SDN lists
- Perform high-risk customer Enhanced Due Diligence reviews
- Maintain a competent level of expertise and knowledge of banking regulations to ensure compliance across the holding company
- Provides ongoing Prime support to Bank affiliates
0-5 years of experience
- Completed Suspicious Activity Reports (SAR) as required by the Bank Secrecy Act.
- Reviewed and analyzed various internal reports and accounts for possible money laundering and suspicious activity.
- Used transactional and customer records, external data, publicly- available information, and other information to identify suspicious or unusual activity.
- Identified multiple significant cases, red flags and patterns associated with the laundering of illicit funds.
- Reorganized customer information collection for CTR’s.
- Conducted validations for CTR’s filed and verified information was in accordance with bank records.
- In charge of OFAC clearing and monthly certification.
- OFAC clearing and 314a review and response, if needed.
- Review risk assessments to ensure appropriate analysis was conducted and to escalate Customer Due Diligence when needed.
- Responsible for complying with all relevant bank policies and procedures including the Bank Secrecy Act, Anti-Money Laundering, and government compliance.
0-5 years of experience
- Manage the investigation of complex cases to identify possible fraud, money laundering or financial terrorism concerns
- Regularly liaise with federal, state and local law enforcement agencies
- Participate in the completion of various projects to assist in overall process improvement of the group
- Create well-written, thoroughly investigated reports for presentation to management and the federal government when appropriate
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BSA Analyst
Last edited by: Gabriela Barcenas, CONTENT STRATEGIST -
Gabriela Barcenas
CONTENT STRATEGISTGabriela is a Certified Professional Resume Writer (CPRW) and career adviser. With 10 years of digital media experience and five years of resume writing expertise, her publication history includes fashion, education, travel, social justice, equitable design and career advice.
