Excel
Joey Dylan Luu
Due Diligence Associate Sr.
Happy Valley,OR
Summary
Dedicated professional with experience in Regulations and Compliance in the financial industry. Keen ability to work independently as well as in a team environment to accomplish tasks with multiple demand. Excellent problem solving, analytical, and critical thinking skills.
Overview
2
2
Languages
6
6
years of post-secondary education
8
8
years of professional experience
Work History
Due Diligence Associate Sr.
Wells Fargo & Company
Remote
09.2013 - 06.2021
- Communicated with various business units to obtain necessary information for investigations.
- Identified and researched patterns, trends and anomalies in transactional and customer data to detect and prevent suspicious activity related to money laundering and terrorist financing.
- Used transactional and customer records, external data and publicly available information to identify suspicious or unusual activity.
- Performed risk-based analysis and remediation for business and consumer accounts per banking guidelines.
- Communicated negative findings to lines of business and supplied guidance on course of action.
- Interacted with compliance representatives to assess potential unusual activity.
- Researched and verified parties involved in suspicious activities and transactions against various databases such as LexisNexis and World-Check.
- Interpreted regulatory rules or rule changes and communicated with others through corporate policies and procedures.
- Identify, review and monitor higher risk customers to minimize risk for Enterprise.
- Conduct periodic reviews of customer profile to ensure accuracy.
- Manage Negative News and PEP, OFAC screening functions, as appropriate (CDD, EDD).
- Reported findings and drafted recommendations to mitigate risk to operational risk and business line management.
- Ensured that self-assurance activities were reported, documented, and aligned with appropriate business processes.
- Conducted data review and followed standard practices to find solutions.
- Provided regular updates to team leadership on quality metrics by communicating consistency problems or production deficiencies.
- Suggested improvements to designs and documentation to improve product reliability and manufacturability.
- Educated employees on specific QA standards and confirmed maintenance of standards.
- Evaluated the adequacy and effectiveness of policies, procedures, processes, systems, and
internal controls. Analyzed business and/or systems changes to determine impact. Identified and assessed operational risk issues and assigned risk ratings consistent with established poli- cy standards.
Education
Bachelor of Science - Psychology
Oregon State University
Corvallis, OR 09.1991 - 06.1997
Skills
Data verification
Project Management
Compliance- KYC, AML, BSA
Organization and Time management
Leadership
Excellent work ethic
Computer proficiency
Collaboration
Teamwork
Training & Development
Software
Word
Powerpoint
LexisNexis
World Check
Cornerstone
Outlook
Interests
Cooking
Volunteering (Food Bank, Friends of Trees, Meals on Wheels)
Hiking
Camping
Timeline
Due Diligence Associate Sr.
Wells Fargo & Company
09.2013 - 06.2021
Bachelor of Science - Psychology
Oregon State University
09.1991 - 06.1997