- 274 Las Brisas Cir.Ÿ Weston, XXXXXX xxxxxx ( (xxx-xxx-xxxx * abc@xyz.com

Compliance Officer (FINRA-Regulated Bank/Broker Dealer)

Qualifications Profile

    Highly self-motivated and results-driven management professional with more than 9 years providing high-performance client service, compliance and QA management, IT systems and business analysis, and database administration in the banking/financial services, private lawyering, aerospace, and technology solutions businesses.

    Detail-oriented, analytical and methodical with critical thinking to resolve work issues even under stress.

    Xxxxxxexible and adaptable with quick learning abilities to achieve high productivity in fast-paces work environments.

    Well-organized and resourceful with multitasking skills that optimize limited resources to achieve outstanding results.

    Strong people management and interpersonal communication skills that inspire confidence while forging teamwork synergies with colleagues across diverse ethnicities and demographics.

Key Expertise

    Planning & Execution

    Policies & Regulatory Compliance (i.e. KYC, AML, FATCA, BSA, Bank Secrecy Act, etc.)

    Relationship Management (Clients,, Stakeholders, Public, & Government)

    Immigration Laws / Family Laws

    Financial Services Management

    Fiscal & Budget Management

    Due Diligence Administration

    Court Litigations

    Extra-Judicial Arbitration, Mediation & Settlement

    Case Management

    Financial Risk Management

    Business Needs Analysis

    Total Quality Management

    Customer Service Management

    Retail Sales Management Support

    Negotiations & Diplomacy

    Records & Document Management

    Multilingual in English, French, Spanish,& Portuguese

Technical

    Database Administration (multiple platforms)

    Basic JavaScript

    SAP/R3 ERP

    MS Office (Word, Excel, PowerPoint, Outlook & Access), Visio, Lotus Notes, & Photoshop

    Email/Webmail, Web Research, Social Networking, & Online Collaborative Computing

Professional Experience

Ita Private Bank Ÿ Miami, XXXXXX

HSBC International Private Banking (Brazil Region) Ÿ Brickell, XXXXXX

    Verify KYCs of existing accounts and client on-boarding for Global Standard (KYC/AML/FATCA).

    Assist account officers and relationship managers in analyzing KYC, EDD and Enhanced Annual Review (EAR).

    Analyze hierarchies of business accounts, private investment vehicles, and trusts to ensure data accuracy.

    Provide Enhanced Due Diligence on companies, suppliers, 3^rd parties, and partners involved in mergers and acquisitions using various online tools and databases.

    Coordinate efforts of numerous business units involved in the certification accounts profiles and KYCs.

    Review account activity for AML/BSA purposes and Suspicious Activity reporting.

    Request, update and upload identification/corporate papers in consolidating and appraising Assets under Management.

    Assist account officers in preparing memos in executing account dispensations below the Product Under Management threshold, among others.

Mercantil Commercebank N.A Ÿ Coral Gables, XXXXXX

    Assisted account officers in analyzing KYC, EDD and Enhanced Annual Review (EAR), including the preparation of weekly and monthly status progress reports for the QA manager, as well as weekly reports of new account applications including its EDD s and KYC s. Interacted with customers to obtain KYC, EDD and EAR information.

    Assessed commercial account activities and provide appropriate recommendation to the Risk committee.

    Conducted compliance reviews to ensure quality assurance and AML Audits.

    Compiled and organized data from multiple agents for reporting purposes

    Harnessed knowledge of the procedures and risks involved in conducting KYC/AML procedures, processes, technology and tools for various financial products and services, along with familiarity with FATCA, CRS and other relevant laws and regulations (e.g. Dodd Frank, US Patriot Act, Bank Secrecy Act, etc.)

    Leveraged skills in several functions such as Know Your Customer, Enhanced Due Diligence, Negative News, Client Reference Data and Client Documentation to support financial institutions operating in several jurisdictions.

- 274 Las Brisas Cir.Ÿ Weston, XXXXXX xxxxxx ( (xxx-xxx-xxxx * abc@xyz.com

Professional Experience (continued)

Legal Assistant to Susan Ramirez LLB Ÿ Miami, XXXXXX

    Reviewed, translated and organized filing and archiving of foreign documents including passports, education records, police records, and other legal documents in providing administrative support to legal cases.

    Conducted research on case law and applicable regulations in preparing for and handling court litigations.

    Prepared, drafted and finalized court pleadings, legal notices, petitions, protective orders, subpoenas, legal documents for immigration related issues, applications, and affidavits in providing paralegal support in several legal cases.

    Prepared clients and witnesses for interviews and trial court hearings, ensuring that all exhibits and trial notes were accurate, thorough, and properly coordinated for a successful court case closure.

    Organized mediations, arbitrations, and documentation for extra-judicial case resolutions and settlements.

    Prepared non-official translations from Portuguese and Spanish into English or French.

Google / Telus Ÿ Montreal, Quebec, Canada

    Delivered and managed customer service and technical assistance for Google s operations in Brazil.

    Managed technical support to small and medium-sized Brazilian enterprises over email and telephone in Portuguese.

    Analyzed documents and supported requests, inquiries, and trouble reports in addressing client business requirements.

    Resolved first level client issues and promptly escalated unresolved issues, including incomplete problem descriptions, and documentation of all actions performed to senior management for adjudication.

    Prepared reports and memos on account activities and translated important information into Portuguese.

Apple, Inc. Ÿ Montreal, Quebec, Canada

    Provided outstanding customer service in on-site repairs of mobile devices through Apple s renowned Genius Bar in French, Spanish, English and Portuguese, and performed data entry in incident records systems as necessary.

    Served multiple roles that included assisting team members, maintaining visual merchandise, and setting up new products, cellphone activations, and merchandise inventory management.

Bombardier Aeronautics Ÿ Montreal, Quebec, Canada

Education & Credentials

    UNIVERSITY OF MONTREAL (2013)

Bachelor of Laws,

    UNIVERSIT DE MONTR AL Ÿ Montreal, Quebec, Canada (2008)

Bachelors 120 Credit program (Special mention in Science- Completed

    VENEZUELAN NAVAL ACADEMY Ÿ Vargas State, Venezuela (2002-2003)

Bachelors in military sciences (Degree not completed)

    COLE TH OLOGIQUE VANGELIQUE DE MONTREAL Ÿ Montreal, Quebec, Canada. (2007)

Certificate in Religious Sciences

Professional Training/Certification

    Marine Corps- Junior Reserve Officer Training Corps. (2000-2002)

    Paralegal Advanced Competency Exam (PACE)

    Google Apps for Business Certified Administrator

    Apple iOS Certified Technician

Professional Affiliations

    Member: Associations of Certified Anti-Money Laundering Specialists (ACAMS) (until Oct 2016)

    Member: Association des Jeunes Avocats du Qu bec (Young lawyer association of Quebec)

    Black Belt Member: Judo Canada | Judo USA

    Participant: Institute de mediation et de l arbitrage du Qu bec, 4th Annual Symposium On Meditation, Quebec