Projects

Independent Review of BSA/AML/OFAC Program,
performed in accordance with FFIEC examination
procedures.

Review and analysis of Transaction Monitoring Rules. Resulted in modifications and further testing to ensure adequate coverage, as well as production of meaningful alerts and cases.

Setup and configuration of Customer On-Boarding
System post implementation by
vendor. Reviewed CIP/CDD/EDD
procedures and ensured full
automation of forms and
processes.

Review and validation of
transaction monitoring and
sanctions screening systems
and associated rules to ensure
compliance with regulations.
Review processes and
procedures and recommend
updates to improve monitoring
and screening.
Assist with implementation of
recommendations.

Create Periodic Review
Process, implement in CDD
On-Boarding System, and
train staff on processes and
procedures.

Update and modify Risk Assessment for BSA/AML and OFAC. Create new and updated policies and procedures.

Setup of Customer On-Boarding System post implementation by vendor. Troubleshooting of issues

and working with vendor to ensure
successful completion and Go-
Live.

Subject Matter Expert for
implementation of
transaction monitoring
system.