Alex Batista
Orlando,FL
Summary
Senior Compliance and Financial Services professional with extensive experience in AML/BSA compliance and financial crimes investigations. Expertise in managing high-risk investigations, preparing Suspicious Activity Reports (SARs), and enhancing regulatory compliance through cross-functional collaboration and detailed analytical assessments.
Overview
38
38
years of professional experience
Work History
Business Control Manager - Vice President
Valley Bank
New York, USA
06.2015 - Current
- Conducted in-depth investigations into high-risk AML cases, identifying potential violations while ensuring regulatory compliance and maintaining investigative quality.
- Conduct complex AML investigations involving high-risk clients, suspicious financial activity, transaction patterns, account records, and financial documentation.
- Lead AML compliance and financial crimes investigations supporting adherence to federal banking regulations, internal policies, enterprise risk standards, and governance requirements through Client documentation.
- Evaluate client risk and recommend relationship retention, restriction, or termination based on investigative findings.
- Escalated high-risk compliance matters to senior leadership, facilitating informed risk-based decision-making.
- Prepare investigative case files and draft, review, and submit Suspicious Activity Reports (SARs).
- Research investigative matters using internal systems, LexisNexis, Factiva, public databases, media reviews, and banking records.
- Evaluate AML monitoring scenarios and recommend enhancements to improve detection effectiveness.
- Partner with Credit, Legal, Operations, Audit, Compliance, and Business teams to resolve complex compliance issues.
- Improved case documentation standards and strengthened investigative consistency.
- Enhanced collaboration between Compliance and Business partners, strengthening enterprise risk mitigation efforts.
Private Bank Relationship Officer
HSBC Bank USA
New York, USA
06.2013 - 05.2015
- Contributed to increased Assets Under Management (AUM) and new money inflows through strong client relationship management and service execution.
- Coordinated KYC onboarding and annual client reviews, conducting operational risk assessments for high-net-worth private banking clients.
- Managed onboarding and client due diligence processes, ensuring regulatory compliance for high-net-worth private banking clients.
- Ensured compliance with AML, OFAC, FATCA, and regulatory requirements, addressing audit findings and examination expectations.
- Reviewed account-opening documentation for completeness, accuracy, and regulatory alignment.
- Supported HSBC’s OFAC Compliance Program, maintained client records, and collaborated with Operations, Compliance, Relationship Management, and Front Office teams.
Private Banking Representative
JPMorgan Chase & Co.
New York, USA
02.1988 - 01.2011
- Managed portfolios valued between $5 million and $100 million for high-net-worth Latin American private banking clients.
- Supported high-net-worth Latin American private banking clients across complex banking, investment, lending, custody, fiduciary, brokerage, and foreign exchange services.
- Executed AML and KYC reviews ensuring compliance across deposit, brokerage, custody, fiduciary, investment management, foreign exchange, and lending products.
- Coordinated efforts across Compliance, Operations, Treasury Services, Investment Management, Brokerage, Lending, and Corporate Tax teams to enhance service delivery.
- Processed complex banking and investment transactions, monitored collateral and loan requirements, and verified ownership records and securities activity.
- Cultivated trusted relationships with Latin American private banking clients and internal partners, ensuring adherence to regulatory compliance.
- Delivered exceptional client service over a 23-year career supporting high-net-worth international relationships.
Education
Bachelor of Business Administration -
Adelphi University
Garden City, New York01-2019
Skills
- AML/BSA Compliance
- Financial Crimes Investigations
- Transaction Monitoring
- Due diligence
- Enhanced due diligence
- OFAC & Sanctions
- FATCA Compliance
- Regulatory Reporting
- Compliance
- Audit Support
- Operational Risk
- Client onboarding
- Relationship Management
- Investigation management
- Control frameworks
- LexisNexis
- Factiva
- SAR Preparation
- High-Net-Worth Advisory
Languages
- English
- Spanish
Technology
- Microsoft Office Suite
- LexisNexis
- Factiva
- NetX360
- AML Case Management Systems
- Financial Research Tools
- Banking Platforms
- Regulatory Reporting Systems
Timeline
Business Control Manager - Vice President
Valley Bank
06.2015 - Current
Private Bank Relationship Officer
HSBC Bank USA
06.2013 - 05.2015
Private Banking Representative
JPMorgan Chase & Co.
02.1988 - 01.2011
Bachelor of Business Administration -
Adelphi University