Claude D. Pearson

Lead a global KYC organization responsible for customer onboarding, enhanced due diligence, periodic reviews, and customer risk assessments across institutional, commercial, government, financial institution, foreign mission, fund, and non‑bank financial institution portfolios.

• Selected to lead KYC due diligence for a strategically significant IPO client.
• Identified a systemic gap in KYC prioritization and implemented a risk‑based framework.
• Improved KYC quality from 89% to 98%.
• Increased productivity from 100% to 107% while maintaining 100% SLA adherence.
• Reduced standard KYC review turnaround from 30 days to 15 days; expedited priority reviews to 2–3 days.
• Designed enhanced KYC controls closing a policy gap for mid‑market corporate clients.
• Led two consecutive internal audits with no significant findings.
• Mentored four analysts into Senior KYC/EDD roles.
• Led cross-functional teams to implement strategic initiatives enhancing operational efficiency.
• Developed and executed risk management frameworks ensuring compliance with regulatory standards.

• Directed execution of a two‑year remediation initiative involving ~800 high‑risk KYC cases.
• Managed an 11‑person remediation team.
• Restored SLAs from 60 days to the 30‑day target.
• Presented weekly and monthly updates to senior leadership.
• Coordinated cross‑functionally to balance regulatory and commercial priorities.
• Strengthened consistency in policy interpretation and documentation quality.
• Developed and implemented risk management strategies to enhance operational efficiency.
• Led cross-functional teams to streamline processes and improve service delivery standards.

• Conducted complex KYC and due diligence reviews for foreign correspondent banking and Payment intermediary customers.
• Assessed customer risk using ownership structures, sanctions exposure, jurisdictional risk, and transactional activity.
• Recommended onboarding, monitoring, and EDD decisions.
• Analyzed financial data to identify trends and support strategic decision-making.
• Developed comprehensive reports to facilitate management reviews and improve operational efficiency.
• Managed a rolling queue of 30-60 cases monthly.
• 125% of productivity goal
• 99% quality control passing rate.

• Performed comprehensive KYC and customer risk reviews across corporate, FI, government, and international portfolios.
• Conducted beneficial ownership analysis, sanctions screening, and EDD.
• Supported regulatory remediation initiatives and onboarding improvements.
• Evaluated policy exceptions and recommended risk‑based decisions.
• Analyzed financial data to identify trends and support decision-making processes.
• Developed reports to communicate insights on market performance and investment opportunities.
• Managed a rolling queue of ~60 records per month.
• Maintained a 99% quality control passing rate, with on average 8% observation rate
• Exceeded productivity goals by 17%, meeting 117% of production expectations.

• Conducted thorough analysis of transactions to identify potential money laundering activities.
• Assisted in the development and implementation of AML compliance policies and procedures.
• Collaborated with cross-functional teams to ensure adherence to regulatory requirements and internal controls.
• Monitored customer accounts for suspicious activity, escalating issues as necessary for further investigation.
• Conducted domestic and international financial crime investigations.
• Prepared investigative summaries and risk assessments.
• Supported FIU/GIU subpoena project.
• Drafted SARs and recommended risk mitigation actions.
• 100% quality control passing rate, with ~6% observations
• 70% of cases referred were approved for investigation potentially leading to SAR filing.

• Led daily operations to ensure optimal customer service and satisfaction.
• Developed and implemented training programs for staff to enhance performance and compliance.
• Managed branch financial performance, driving growth through strategic initiatives and relationship building.
• Analyzed customer feedback to identify areas for service improvement and operational efficiency.
• Managed branch operations ensuring compliance with AML, KYC, OFAC, SAR, CTR, and due diligence requirements.
• Led teams responsible for onboarding, compliance, operational risk, and customer experience.
• Maintained strong audit performance through proactive oversight.
• Led daily operations to ensure exceptional customer service and compliance with banking regulations. Increased internal audit score from needs improvement to satisfactory.
• Developed training programs for staff to enhance product knowledge and improve customer interactions. Increased customer satisfaction scores from 89% to 95%.
• Increased funding score from 80% to 103%.

• Assisted in daily operations to ensure compliance with banking regulations and policies.
• Supported branch manager in developing strategies to enhance customer service and satisfaction.
• Trained and mentored new staff on banking procedures and customer interaction techniques.
• Analyzed branch performance metrics to identify areas for process improvement and efficiency gains. Increased teller referral rate by 30% which lead to a 5% increase in funding.
• Managed operational risk, regulatory compliance, customer due diligence, reporting, audit readiness, and controls. Increased internal audit score from satisfactory to Excellent, 99% operational excellence.
• Supervised frontline staff and reinforced CIP, monitoring, and escalation requirements.

• Supervised daily cash transactions, ensuring accuracy and compliance with bank policies. Maintained a teller balance rate of 98%.
• Trained and mentored new tellers on operational procedures and customer service excellence.
• Analyzed teller performance metrics to identify areas for training and process enhancement.
• Collaborated with management to implement new systems for tracking customer inquiries effectively.
• Managed consumer banking relationships and ensured compliance with KYC/CIP requirements.
• Identified and escalated suspicious activity. Filed SAR led to a conviction for tax evasion and money laundering.