Summary
Overview
Work History
Education
Skills
Timeline
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Anthony Soto

Summary

Results-driven professional with extensive experience in financial examination and risk analysis. Expertise in auditing financial institutions, analyzing trends and risk factors, and providing sound recommendations to mitigate risk. Highly adept in regulatory compliance, financial analysis, and investigative research. Proven track record of identifying financial irregularities and implementing effective control mechanisms.

Overview

6
6
years of professional experience

Work History

Due Diligence Supervisor

Hard Rock Digital
Atlantic City, NJ
03.2024 - Current
  • Extensive knowledge in leading cross-functional initiatives for detecting and preventing fraud at the onboarding/re-verification level in the fields of Due Diligence and Document Verification.
  • Supervised and trained team to perform Due Diligence tasks, such as researching, documenting, and implementing best practices.
  • Supported team members in their recruitment, training, and development process to create an environment conducive to excellence.
  • Demonstrated a strong analytical acumen by effectively identifying gaps in current systems, policies, and procedures and subsequently driving recommended changes based on data-driven insights.
  • Developed concise due diligence reports, effectively communicating research findings and proposing actionable measures.
  • Assisted in developing and implementing due diligence policies, procedures, and standards.
  • Maintain knowledge of current regulations and industry standards in the online sports betting space.
  • Successfully adapted to changing priorities and thrived in a fast-paced work environment.
  • Possesses strong computer literacy and numeracy skills with keen attention to detail and multitasking abilities.

AML Analyst

Hard Rock Digital
11.2023 - Current
  • Conducted AML investigations by analyzing customer data and transaction patterns to identify suspicious activities
  • Used case management, monitoring software and third-party websites and repositories to perform tasks
  • Assisted in developing strategies for improving existing AML processes and procedures based on industry trends or changes in regulations
  • Maintained up-to-date knowledge of laws, regulations, guidance documents related to Anti Money Laundering requirements globally
  • Analyzed customer due diligence documentation to assess customer risk profiles and determine appropriate action plans
  • Prepared AML investigations case files and drafted SAR narratives to comply with department procedures
  • Collaborated with other departments such as Compliance, Legal, Operations and Information Technology to ensure proper implementation of AML processes and controls across the organization
  • Conducted follow-up reviews on previously filed SARs to recommend discontinuation or refiling.
  • Provided comprehensive analysis on player transactional activity through the review and analysis of system generated alerts as well as customer profiles, past investigations, account documentation and online research.
  • Successfully handled alerted transactional activity by either clearing the activity, investigating further, or escalating for suspicious activity reporting.
  • Executing exhaustive inquiries and developing comprehensive investigative summaries.
  • Assessed applicable affordability documentation while conducting comprehensive enhanced due diligence.

Due Diligence Associate

Hard Rock Digital
US
08.2023 - 11.2023
  • Reviewing and approving Customer Identification Documentation following company policy
  • Performing OFAC review and documenting the support for clearing possible OFAC and watchlist matches on screening systems.
  • Conduct PEP/REP screenings, categorizing players as high-risk or not based on evaluation
  • Conducted comprehensive reviews on affordability documents, including evaluation of source of income and wealth documentation when necessary
  • Evaluating potential business partners through due diligence investigations to assess their financial stability, legal compliance, and reputation in the industry.

Wealth Operations Specialist Due Diligence/AML

TD Bank
US
01.2022 - 11.2022
  • Performed basic administrative tasks with a focus on maintaining exceptional quality in client reporting and response, both internally and externally.
  • Competent in core Wealth Systems including Tracker, Netx360, LexisNexis, RDC, Salesforce, Charles Jones, Joshua, and Supernova.
  • Conducting meticulous due diligence and AML checks on clients and transactions to guarantee adherence to regulatory mandates and internal protocols
  • Proactively staying updated on regulatory requirements concerning due diligence and AML processes, and consistently adhering to these regulations in daily operations.

Consumer Loan Processor III

TD Bank
US
05.2021 - 01.2022
  • Maintained excellent standards in handling administrative duties, ensuring thorough and timely responses to both internal and external clients.

Financial Services Representative

TD Bank
US
09.2018 - 05.2021

Education

High School Diploma -

Barnegat High School

Certificate, Pharmacy Technician Program -

Ocean County College/Kean University

Skills

  • Transaction Monitoring
  • Customer Risk
  • Regulatory Research
  • Process Research
  • Regulatory Requirements
  • Risk Management Framework
  • Anti Money Laundering (AML)
  • Complex Transactions
  • Fraud Patterns
  • Financial Crimes Investigations
  • Financial Documentation

Timeline

Due Diligence Supervisor

Hard Rock Digital
03.2024 - Current

AML Analyst

Hard Rock Digital
11.2023 - Current

Due Diligence Associate

Hard Rock Digital
08.2023 - 11.2023

Wealth Operations Specialist Due Diligence/AML

TD Bank
01.2022 - 11.2022

Consumer Loan Processor III

TD Bank
05.2021 - 01.2022

Financial Services Representative

TD Bank
09.2018 - 05.2021

High School Diploma -

Barnegat High School

Certificate, Pharmacy Technician Program -

Ocean County College/Kean University

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Anthony Soto