Summary
Overview
Work History
Education
Skills
Software
Certification
Interests
Timeline
OperationsManager

Alfredo Arroyo

Anti-Money Laundering (AML) And Compliance Professional
Whittier,CA

Summary

Dedicated AML professional and cryptocurrency enthusiast with experience in reviewing financial documents and digital records. Effective at directing, monitoring and inspiring team members to complete accurate and timely investigations and reports. Talented in training employees, solving complex problems and making sound decisions. Organized and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to meet team goals.

Overview

8
8
years of professional experience
5
5
years of post-secondary education
3
3
Certifications
1
1
Language

Work History

AML Analyst/Investigator

Robinhood Markets
Lake Mary, FL
08.2021 - 04.2022
  • Recommended new software tools and enhancements to improve detection, prevention and reporting efforts of financial transactions including cryptocurrency.
  • Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
  • Produced effective procedures for performing 314a and 314b investigations and deployed monitoring processes to keep teams consistent in all areas.
  • Developed and delivered AML Investigations training to new team members.
  • Prepared reports of investigation in accordance with guidelines and instructions and communicated with compliance manager to thwart potential money laundering or terrorist financing.
  • Research and analyzed current and future AML, cryptocurrency, and security risk management-related articles and white papers and took part in webinars to keep abreast of changes in the Financial and FinTech landscape.
  • Maintained detailed case documentation and database files of financial investigative research to trace proceeds of criminal activities and investigative interests.

AML Compliance Officer

Actinver Securities
Houston, TX
07.2017 - 08.2018
  • Recommended new software tools and enhancements to improve detection, prevention and reporting efforts to comply with regulatory requirements.
  • Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
  • Produced effective procedures for performing case investigations and deployed monitoring processes to keep teams consistent in all areas.
  • Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
  • Scheduled and conducted evaluations of company policies, procedures and internal control structures.
  • Implemented improvement initiatives and developed compliance testing program to monitor and identify gaps in new and existing practices.

Agent Compliance Reviewer

Ria Financial Services
Houston, TX
08.2015 - 03.2016
  • Identified needed business improvements and determined appropriate systems required to implement solutions.
  • Organized system operating procedures to strengthen controls.
  • Documented research findings to support risk-based decision-making and resolution to escalated potential AML incidents.
  • Identified threats, vulnerabilities and suspicious behavior patterns to recommend mitigation measures.
  • Monitored data export from internal and external systems, identifying and reporting potential risks.
  • Wrote and presented reports outlining findings and recommendations from compliance audits.

Education

Bachelor of Science - Accounting

Christian Brothers University
Memphis, TN
08.2006 - 05.2011

Skills

Written and Verbal Communication

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Software

Actimize

LexisNexis

Salesforce

Microsoft Office

G-Suite

Certification

Series 7 (SIE) License

Interests

Cryptocurrency

Non-Fungible Tokens (NFTs)

DeFi

Timeline

AML Analyst/Investigator

Robinhood Markets
08.2021 - 04.2022

Series 7 (SIE) License

03-2018

AML Compliance Officer

Actinver Securities
07.2017 - 08.2018

Agent Compliance Reviewer

Ria Financial Services
08.2015 - 03.2016

Bachelor of Science - Accounting

Christian Brothers University
08.2006 - 05.2011

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Alfredo ArroyoAnti-Money Laundering (AML) And Compliance Professional