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Yyyyyy x. yyyyyy
0000
xxxxxx xxxx , xxxx , xxxxx 00000
xxx-xxx-xxxx
abc@xyz.com
Summary of Qualifications
Seasoned financial professional with a strong background ensuring compliance with industry regulations.
Outstanding knowledge of Customer Identification Program (CIP); Know Your Customer (KYC); Bank Secrecy Act (BSA); Foreign Account Tax Compliance Act (FACTA); Enhanced Due Diligence (EDD); Anti-Money Laundering (AML); and the Dodd-Frank Wall Street Reform and Consumer Protection Act.
Experience working closely with high net worth customers in a fast-paced environment.
Series 7 and 66 licensed, Financial Industry Regulation Authority (FINRA).
Proficient with Microsoft Word, Excel and Access; Lexis/Nexis; Worldcheck; Global CRM; Portfolio View; NetX360; and eFos.
Professional Experience
HSBC Private Bank New York, NY July 2007-Present
Registered Client Service Executive (Feb. 2015-Present)
Assist customers with opening a new account while also serving existing clients.
Respond to customer communications, including problems, in a timely and efficient manner.
Monitor the daily transaction activity of individual clients to ensure it matches traditional activity.
Prepare ad-hoc reports pertaining to account cash balances, overdrafts, significant balances and currency transactions, and ensure proper disclaimers are included.
Complete profiles on internal KYC databases such as client and account profiles and new account approval and visitation forms, among others.
KYC Analyst (Dec. 2013-Feb. 2015)
Analyzed corporations, foundations and private equity funds to ensure compliance with U.S. Patriot Act and AML regulations.
Investigated alleged fraud and completed investigations and quality control reviews using Lexis-Nexis, World Check and internal resources to determine the risk profile based on industry compliance standards.
Adhered to due diligence, BSA, KYC, CIP and AML policies and procedures
Financial Analyst (July 2007-Nov. 2013)
Reviewed revenues, expenses and revenue shared rates on behalf of relationship managers.
Prepared routine accrual entries and other financial transactions for month and year-end close.
Ensured manual accounts were properly reconciled to support CFO reconciliation certification.
Assisted with the forecasting, tracking and management reporting system to ensure the accuracy of data.
Yyyyyy x. yyyyyy
0000
xxxxxx xxxx , xxxx , xxxxx 00000
xxx-xxx-xxxx
abc@xyz.com
Professional Experience (continued)
Bank of Tokyo-Mitsubishi New York, NY Feb. 2007-June 2007
Accounting Consultant
Performed daily and monthly bank reconciliations and prepared daily net-capital computations.
Maintained fixed asset depreciation and currency rate schedules.
Reviewed and posted expense allocation and assisted with maintaining budgets.
Analyzed various requirements for month-end close and prepared month-end journal entries.
Morgan Stanley New York, NY Jan. 2006-Dec. 2006
Accounting Consultant
Generated subtenant rental incomes, prepaid accruals and also maintained the rental schedule.
Analyzed and compiled the annual budget, and reviewed and prepared fixed assets depreciation reports.
Assisted with website testing of fixed assets and prepared testing reports for senior managers.
Reconciled fixed assets system to the General Ledger on a monthly basis.
OEC Freight Rosedale, NY Nov. 2004-Dec. 2005
Staff Accountant
Reviewed accounts payable and receivable statements and analyzed settlements with an overseas agent.
Performed daily journal entries, including adjusting the General Ledger.
Analyzed adjustment entries and prepared quarterly financial statements.
Education and Training
Bachelor of Science (BS), Accounting, Hunter College of The City University of New York
Licenses
Series 7 and 66 licensed, Financial Industry Regulation Authority (FINRA)
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