James Loudin
Owens Cross Roads,AL
Overview
5
5
years of professional experience
Work History
AML Compliance Team Lead
Zepz
01.2023 - Current
- Responsible for adhering to company risk and regulatory standards, policies and controls.
- Maintained knowledge of Anti-Money Laundering (AML) investigations, OFAC and other applicable global standards and escalated risks to management accordingly.
- Performed Enhanced Due Diligence (EDD) research to assist in investigations and prosecution.
- Researched and analyzed transaction information and client PII to aide in investigations, including high risk exposure clients.
- Coordinated with law enforcement and various regulatory agencies to establish the scope of requests, obtain additional information thereof, and advise of compliance for submission.
- Produced internal records to satisfy formal court orders and subpoena requests served by international and domestic governmental agencies.
- Participated in departmental projects related to legal requests, data processing, maintaining and updating procedures, records reporting, and risk analysis.
- Delivered subject matter expertise for internal and external customers on compliance best practices and quality control.
- Prepared and presented comprehensive reports to upper management and audit team, covering issues and recommendations.
- Reviewed documents, files, transcripts, and other records to assess compliance and potential risk.
- Developed and delivered training programs to inform new and current employees about compliance issues.
- Evaluated customer complaints, processes, and all other aspects of operations to assess compliance.
- Interacted with law enforcement agencies, regulators and financial institutions to coordinate investigations related to fraudulent activities.
AML Compliance Analyst
Zepz
09.2020 - 12.2022
- Organized data analytics, metrics reporting and monthly Management Information (MI) preparation for US AML Compliance.
- Assisted in the adaptation and implementation of new risk-based Business Rules into a new Transaction Monitoring (TM) software.
- Routinely interacted with law enforcement agencies to coordinate investigations, including the intake and processing of subpoenas and supporting documentation requests.
- Executed Partner Due Diligence (PDD) processes for US AML Compliance.
- Authored Suspicious Activity Reports (SARs) for a variety of illegal activities.
- Modeled current and future US AML Compliance production to facilitate performance projection and hiring initiatives.
- Provided ad hoc data analytics, reporting, and support for various state exam requests.
Education
Master of Science - Information Systems
University of Alabama At Huntsville
Huntsville, AL2018
Bachelor of Science - Business Administration
University of Alabama At Huntsville
Huntsville, AL2017
Skills
- BSA, USA Patriot Act
- AML Regulations
- Transaction Monitoring (TM) Systems
- Metrics Reporting
- Know Your Customer (KYC)
- Enhanced Due Diligence (EDD)
- Partner Due Diligence (PDD)
- Adverse Media Research
- OFAC Sanctions
- SAR Writing/Filing
- Employee Training
- MS Excel
- Salesforce
- G-Suite
- Project Coordination
Timeline
AML Compliance Team Lead
Zepz
01.2023 - Current
AML Compliance Analyst
Zepz
09.2020 - 12.2022
Master of Science - Information Systems
University of Alabama At Huntsville
Bachelor of Science - Business Administration
University of Alabama At Huntsville
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