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Yyyyyy x. yyyyyy


27205 Rue de la Sharmie, Hemet, California 92544 (xxx-xxx-xxxx



Able to leverage expertise in regulatory compliance, quality control, project management, and risk mitigation to support a progressive organization in optimizing bottom-line performance

Data Analysis Reporting Policy & Procedure Development

Quality Assurance Team Leadership Combatting Terrorist Financing



  • Advanced knowledge and understanding of BSA/AML (Bank Secrecy Act/Anti-Money Laundering), KYC (Know Your Customer), Patriot Act, Generally-Accepted Accounting Principles (GAAP), and SAR (Suspicious Activity Reports).
  • Proficiency in risk assessments, mitigation and management, internal controls, audits, bank account reviews, investigations, and report preparation.
  • Excel in researching, uncovering and analyzing complex data, choosing appropriate course of action, and reporting findings to top-level leadership and government authorities.
  • Adept at building unified relationships with external parties to prevent and detects financial crimes.
  • Able to efficiently coordinate projects while fostering an environment of accountability, compliance, continuous quality improvement, data security, and process automation.

         Consummate strengths in collaboration, transaction monitoring, C-level relations, and analyzing problems, trends, and risks associated with compliance-related rules and regulations.



Self-employed, 2000 to Present


Summary of Engagements:

Uber, 2016 to Present

         Pick up passengers, transport clients to and from desired locations, and keep vehicle in optimal condition.


Robert Half - Promontory Risk Review, Denver, Colorado, 2015 & 2016

         Successfully completed initial KYC project and was requested for subsequent risk assessment to support AML procedures and practices.


HSBC, Jersey City, New Jersey, 2012

         Shepherded AML project by reviewing customer wire transactions, generating detailed reports to illustrate origin and use of funds, and effectively restoring bank s reputation.

         Recommended additional surveillance, immediate filing of SAR, or termination of account when warranted.


J P Morgan / Chase, New York, New York, 2010 to 2012

         Conducted QC KYC analysis of high-net-worth individuals and small- to mid-sized businesses to examine cash transactions and business practices, and verify compliance with Patriot Act and other regulations.


Washington Mutual, Seattle, Washington, 2009

         Led quality control of SARs filed to ensure accuracy and completeness across branches nationwide.

         Scrutinized AML material to detect flaws in existing procedures and influence more accurate reporting.


WestAmerica Securities, Las Vegas, Nevada, 2005 to 2009

         Provided comprehensive guidance and expertise in compliance and regulatory reporting to optimize firm s reputation among regulators and investors.


Continued ►



Page 2 of 2


Union Bank of California, Los Angeles, California, 2006

         Joined forces with Wealth Management Compliance and Review department to verify compliance with Patriot Act regulations imposed after 9/11 for AML/BSA.

         Methodically reviewed transactional history and financial statements for HNW individuals as well as small to mid-sized corporations to ensure rigorous compliance with KYC standards.

         Subsequently chosen to aid San Francisco office by scrutinizing customer accounts and filing SARs on clients suspected of drug trafficking or terrorist activity.


First Union Securities, Richmond, Virginia, 2005

         Played an integral role in OATS (Order Audit Train System) reporting and resolution of reporting issues.


Wachovia Securities, Richmond, Virginia, 2004 to 2005

         Helmed transfer and shipment of mutual funds to individuals closing or transferring accounts.


Prudential Securities, New York, New York, 2004

         Analyzed and effectively streamlined transfer and review of mutual fund accounts to ensure clients received appropriate break points and dividends as required by new NASD and SEC Rulings.

         Partnered with IT professionals to develop solution for processing information electronically.


First Union Securities, Richmond, Virginia, 2003 to 2004

         Aided Regulatory Reporting department by preparing FOCUS Report and Customer Reserve Computation.


E*Trade Securities, Sacramento, California, 2002 to 2003

         Oversaw full-scope regulatory reporting functions to achieve seamless conversion of back office and accounting software from Beta to ADP.

         Closely inspected individual accounts and key chart of account line items to ensure entries aligned with existing books and records.


Scudder & Deutsche Bank, New York, New York, 2002 to 2003

         Thoroughly reviewed trust documents prior to merger in preparation for conversion and entry into James River compliance software.


Bank of New York, New York, New York, 2002

         Supported Government Securities department in addressing difficulties following 9/11 disaster.


Preferred Trade, San Francisco, California, 2000 to 2001

         Governed regulatory reporting for firm in preparation of back office and reporting system conversion.

         Accurately performed month-end, quarter-end, and year-end closing and postings to the books.

         Played a pivotal role in two NYSE examinations and three financial audits.

         Applied substantial leadership talents toward directing and supervising up to 30 project consultants.


Additional experience includes NASD, Security Pacific Bank, GFC Securities, MCG Securities, William Lawrence Securities, First Securities Investor Services, and GlobaLink Securities.

         Championed multiple start-up firms including filing necessary paperwork, streamlining daily operations, and devising policies and procedures to resolve data deficiencies and reinforce internal controls.




Bachelor of Arts, Finance, California State University-Fullerton

Bachelor of Arts, Accounting, California State University-Fullerton




NASD Series 3, 4, 7, 10, 12, 24, 27, 53, and 63



Yyyyyy x. yyyyyy


27205 Rue de la Sharmie, Hemet, California 92544 (xxx-xxx-xxxx



















Dear __________________:


I am currently exploring career opportunities in the regulatory compliance arena and am submitting my resume for your review. In advance, thank you for your time and consideration.

In addition to solid academic qualifications including two degrees in Finance and Accounting, I offer significant experience in anti-money laundering investigations, and excellent skills in risk management, business ethics, Know Your Customer projects, and regulatory reporting. I am extremely well-versed in reviewing and filing SARs, and my ability to work effectively with global counterparts will enable me to effortlessly transition into your environment. To complement these qualifications, I offer polished communication, collaborative, investigative, and analytical skills which are paramount in enforcing regulatory compliance within the financial services industry.

As a proactive contributor to your organization, you will find me to be a stellar leader committed to supporting you in achieving your objectives through substantial industry experience and achievements. I am confident that I could be an asset to (INSERT NAME OF COMPANY), and look forward to interviewing with you soon.






Yyyyyy x. yyyyyy


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