Harrison Marshall
Nashville,TN
Summary
Dynamic financial crime prevention professional with extensive experience, specializing in transaction monitoring, and Know Your Customer compliance. Proven track record in enhancing operational integrity through effective employee training and risk assessment. Adept at collaborating across departments to ensure adherence to AML regulations, and participating in audits to uphold compliance standards.
Overview
5
5
years of professional experience
Work History
Financial Crime Prevention Assurance Officer
Union Bank of Switzerland, UBS
Nashville, TN
11.2023 - Current
- Ensured adherence to regulatory standards and company policies to enhance operational integrity.
- Conducted training sessions for new employees regarding company policies and procedures.
- Evaluated errors in first line of defense's reviews related to Transaction Monitoring, Customer Due Diligence, and Enhanced Due Diligence.
- Participated in ongoing vocational training, fulfilling all internal and external requirements.
Anti-Money Laundering Associate
PricewaterhouseCoopers
Memphis, TN
02.2022 - 10.2023
- Evaluated customer account information against known watch lists or sanctions lists provided by government agencies.
- Participated in periodic audits of the organization's AML compliance program.
- Analyzed suspicious transaction patterns to detect any fraudulent activities.
- Conducted comprehensive due diligence checks on customers' accounts to ensure compliance with AML regulations.
- Identified training needs among staff members; conducted training sessions where necessary.
- Sampled and reviewed completed transaction monitoring reviews, and provided feedback or corrections as needed.
Anti-Money Laundering Analyst
B. Riley Financial
Memphis, TN
09.2020 - 02.2022
- Developed process improvements for identifying high-risk customers, or transactions that may require additional monitoring or investigation.
- Reviewed customer onboarding documents for accuracy and completeness.
- Monitored changes in global AML regulations, and assessed the impact on existing policies and procedures.
- Collaborated with internal departments, such as legal, finance, operations, and IT, to ensure compliance with AML laws and regulations.
- Participated in periodic audits of the organization's AML compliance program.
Education
Bachelor of Arts - Consumer Behavior
Christian Brothers University
Memphis, TN05-2020
Skills
- Transaction monitoring and regulatory compliance
- Customer Due Diligence and Enhanced Due Diligence
- Employee training
- Team collaboration
- Risk assessment
- Audit participation
- Bank Secrecy Act Compliance
- Suspicious Activity Reporting
References
References available upon request.
Timeline
Financial Crime Prevention Assurance Officer
Union Bank of Switzerland, UBS
11.2023 - Current
Anti-Money Laundering Associate
PricewaterhouseCoopers
02.2022 - 10.2023
Anti-Money Laundering Analyst
B. Riley Financial
09.2020 - 02.2022
Bachelor of Arts - Consumer Behavior
Christian Brothers University
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