Ashley Lee
Willsboro
Summary
Detail-oriented Audit and Compliance Specialist with experience in Bank Secrecy Act (BSA), Anti-Money Laundering (AML) investigations, suspicious activity monitoring, regulatory compliance, risk assessment, and quality assurance within the banking industry. Proven ability to work independently with minimal supervision while managing multiple priorities and reviewing the work of peers to ensure regulatory compliance and adherence to internal policies. Strong analytical, investigative, and problem-solving skills with experience identifying unusual transaction activity, conducting account reviews, and preparing regulatory documentation. Previous healthcare experience as a Pharmacy Technician provides a strong foundation in accuracy, confidentiality, customer service, and regulatory compliance.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Audit & Compliance Specialist
Champlain National Bank
Willsboro
06.2014 - Current
- Reviewed documentation for accuracy and regulatory requirements.
- Review customer accounts, transactional activity, and supporting documentation to assess BSA/AML risk.
- Checked records for required signatures by closely reviewing documents.
- Provided support to department by assisting with special assignments and projects.
- Reviewed compliance requirements related to federal regulations such as Bank Secrecy Act and Anti-Money Laundering.
- Maintained up-to-date knowledge of industry regulations and practices.
- Analyze cash transaction activity, wire transfers, deposits, withdrawals, and account behavior for compliance with regulatory requirements.
- Reviewed customer profiles for compliance with Bank Secrecy Act regulations.
- Perform ongoing monitoring of high-risk customers and accounts.
- Ensured compliance with all applicable federal regulations including Bank Secrecy Act, Anti-Money Laundering regulations, OFAC requirements.
- Recognized suspicious activity involving customer accounts or transactions in accordance with Bank Secrecy Act guidelines.
- Prepare detailed investigative summaries and recommendations for Suspicious Activity Reports (SARs), Currency Transaction Reports (CTRs), and follow-up reviews.
- Support the development and enhancement of monitoring processes and departmental procedures.
- Maintain comprehensive case documentation and investigative records.
- Assist with internal audits, examinations, and requests from regulatory agencies.
- Conduct investigations of unusual customer activity to identify potential money laundering, structuring, fraud, and other suspicious transactions.
- Exercise independent judgment in identifying and escalating potential compliance concerns with minimal supervision.
- Review work completed by team members to ensure accuracy, consistency, and adherence to BSA/AML regulations and internal procedures.
- Reviewed subpoenas
Pharmacist Technician
Adirondack Apothecary LLC
Willsboro
01.2011 - 06.2014
- Compounded medications under pharmacist supervision following safety protocols.
- Managed inventory levels, ensuring timely restocking of pharmaceuticals and supplies.
- Assisted customers with prescription inquiries and provided medication information.
- Processed prescriptions accurately using pharmacy management software systems.
- Maintained cleanliness and organization of the pharmacy workspace for efficiency.
- Maintained pharmacy inventory by ordering, receiving and restocking supplies as needed.
- Monitored storage areas temperature logs daily while ensuring proper storage conditions are maintained at all times.
- Processed third party claims for reimbursement for prescription drugs under the direction of a pharmacist.
- Reviewed patient profiles for allergies, drug interactions, contraindications and therapeutic duplications prior to filling prescriptions.
- Verified that prescriptions were filled correctly in accordance with physician orders.
- Performed administrative tasks such as filing paperwork, entering data into computer systems and updating patient records.
- Assisted pharmacists in preparing bulk medications according to written prescriptions from physicians or other authorized prescribers.
- Organized delivery of medications to nursing units within hospitals or other healthcare facilities.
- Closely inspected medications to determine accuracy of identities, strengths and purities.
- Labeled containers accurately using information obtained from patient profile and prescriptions.
- Controlled drug inventories by monitoring drug levels; removing outdated drugs; restocking shelves; verifying orders against invoices.
- Created new customer profiles and updated demographics, allergies, and new medications in pharmacy computer systems.
- Teamed with peers, technicians and pharmacists to prioritize and complete orders.
- Refilled medications, offered insight into over-the-counter products and verified insurance benefits.
- Interpreted and processed medication orders under supervision of pharmacist.
- Transmitted claims to insurance companies for payment and reconciled EOBs.
- Flagged potential side effects and allergies to prescribed medications for patients.
- Provided exceptional customer service, addressing patient questions and concerns with empathy.
- Monitored prescription refill requests and communicated with patients regarding their status.
- Processed insurance claims and handled billing inquiries to ensure customer satisfaction.
- Maintained a clean and organized pharmacy workspace, adhering to safety and hygiene standards.
- Entered patient and prescription information into pharmacy software systems with high attention to detail.
- Ensured compliance with state and federal pharmacy laws and regulations.
- Entered prescription information into computer databases.
- Ordered, labeled and counted stock of medications and entered inventory data into computer.
Education
High School Diploma -
Willsboro Central School District
Willsboro, NY06-2009
Skills
- Banking regulations
- Attention to detail
- Customer service
- Effective communication
- Document review
- Policy writing
- Problem solving
- Inventory management
- Time management
- Team collaboration
- Auditing processes
- Information gathering
- Anti-money laundering
- Investigation techniques
- Documentation review
- Research proficiency
- Documentation skills
- Due diligence
- Reporting skills
- Multitasking capacity
- Audit documentation
- Reliability
- Privacy and confidentiality
- Microsoft Office Suite
- Independent Decision Making
- Fraud Detection
Certification
- BSA/AML Training Certifications
Key Accomplishments
- Trusted to work independently with limited supervision while managing sensitive BSA/AML investigations.
- Selected to review and provide quality control on coworkers' investigative work.
- Developed expertise in identifying unusual transaction patterns and potential structuring activity.
- Consistently maintained accurate and thorough case documentation for regulatory review.
- Successfully balanced investigative responsibilities while meeting deadlines and regulatory requirements.
Additional Strengths
- Strong written communication and report-writing abilities
- Highly organized and self-motivated
- Excellent analytical and investigative skills
- Ability to identify trends, patterns, and emerging risks
- Proven ability to prioritize workload and meet deadlines
- Strong understanding of confidentiality and regulatory requirements
Timeline
Audit & Compliance Specialist
Champlain National Bank
06.2014 - Current
Pharmacist Technician
Adirondack Apothecary LLC
01.2011 - 06.2014
High School Diploma -
Willsboro Central School District