JAMES BARBER
Charlotte,US
Summary
A Professional with 20 Years of Investment Experience. Currently an RCA / AML Officer with a robust foundation in risk assessment and regulatory compliance, expertly navigating AML and KYC protocols to uphold legal standards and drive organizational success. With a proven track record in financial analysis and due diligence, this professional excels in strategic implementation and client support, continually seeking innovative approaches to enhance compliance strategies. Committed to leveraging expertise to foster a culture of integrity and proactive risk management.
Overview
7
7
years of professional experience
Work History
RCA / AML Officer
US Bank
05.2022 - Current
- Identified and triaged critical situations quickly based on experience and training.
- Completed actions in full compliance with applicable legal standards and guidelines.
- Cemented authority with in-depth knowledge of protocols, rules and policies combined with commanding presence.
Partner
Kravis Barber Group LP
01.2020 - 05.2022
- Directed AML/KYC client base growth, enhancing compliance and firm metrics.
- Authored strategic AML/KYC reports, aiding clients in regulatory understanding.
- Implemented profit strategies, yielding notable firm performance improvements.
- Led AML/KYC projects, advancing due diligence and client relations.
- Boosted firm profitability through strategic compliance initiatives.
Enhanced Due Diligence Analyst / Contractor
Wells Fargo
01.2019 - 12.2019
- Ensured AML/KYC/BSA compliance, reducing risk through detailed regulatory adherence.
- Advised teams on evolving standards, enhancing compliance strategies effectively.
- Supported audits, collaborating to streamline due diligence, cutting process time.
- Partnered cross-functionally to improve efficiency, driving measurable results.
AML / KYC Periodic Review Analyst Contractor
Accenture
04.2018 - 12.2019
- Analyzed transactions to identify risks, boosting compliance and security.
- Consulted to resolve client issues, enhancing satisfaction and trust.
- Assessed financial profiles for discrepancies, ensuring regulatory adherence.
- Meticulously evaluated client financial profiles using multiple factors, identifying potential red flags and inconsistencies for further investigation.
Education
Certification - Corporate Finance (Professional Development)
New York University (SCE)
New York, New York04.1994
Certification - Data Analytics
Wharton Business School
Charlotte, NC04.2016
Skills
- Previously held Securities licenses: series 7 / 65 / 66
Timeline
RCA / AML Officer
US Bank
05.2022 - Current
Partner
Kravis Barber Group LP
01.2020 - 05.2022
Enhanced Due Diligence Analyst / Contractor
Wells Fargo
01.2019 - 12.2019
AML / KYC Periodic Review Analyst Contractor
Accenture
04.2018 - 12.2019
Certification - Corporate Finance (Professional Development)
New York University (SCE)
Certification - Data Analytics
Wharton Business School
Similar Profiles
Missy MannMissy Mann
Third Party Risk Consultant at US BankThird Party Risk Consultant at US Bank
Jessica LANGE-CONNERSJessica LANGE-CONNERS
Small Business Specialist III at US BankSmall Business Specialist III at US Bank
Helene Beri AbandaHelene Beri Abanda
Customer Experience Specialist at US BankCustomer Experience Specialist at US Bank