Julie Ban
Leonia,NJ
Summary
Knowledgeable Compliance Analyst skilled in developing and implementing tracking and training programs to promote regulatory compliance. Highly ethical and focused team player with productive, diligent approach. Bringing 10 years of experience in compliance and auditing.
Overview
18
18
years of professional experience
1
1
Certification
Work History
Internal Audit Liaison
KEB Hana Bank New York Agency
02.2020 - Current
- Review audit reports and prepare the preliminary review report to the Head Office Internal Audit
- Perform annual Internal Assessment through review of workpapers
- Selecting an Qualified Independent Assessor for QAIP and External Assessment
- Follow-up on open audit issues and their resolution
- Establish strong working relationships with management
- Coordinates with regulators and external auditors, addressing requests and need
- Evaluate expertise of outsourced internal auditor
- Review and revise Internal Audit Policy and Procedures Manual and review Annual Risk Assessment and Audit Plan
- Report the status of Internal Audit to the Head Office Internal Audit
- Communicate between the outsourced internal audit and head office internal audit.
Senior BSA/AML & OFAC, KYC Analyst
KEB Hana Bank New York Agency
10.2016 - 02.2020
- Ensure that KYC documentation is accurate and within regulatory requirements
- Conduct review and analysis of alerts generated by the Automated Transaction Monitoring system and case investigation
- Conduct OFAC Alerts Review and Case Investigation
- Perform KYC Due Diligence and Periodic Review on on-boarding/existing customers
- Screening and analyzing OFAC and 314(a)
- Conduct periodic High Risk/Enhanced Due Diligence Reviews
- Perform negative news and sanction screenings
- Responsible for drafting SAR and Continuing Activity Review
- Review and update BSA/AML and OFAC Program as needed.
BSA/AML Analyst & Operations Specialist
Noah Bank
01.2013 - 07.2014
- Responsible for Transaction Monitoring on customers’ accounts
- Review and Report CTRs and STRs
- Responsible for USD clearing wire transactions
- Handling and Processing Letter of Credits (DA/DP, Standby LC, Import/Export LC)
- Handling debit card issues accordance with Regulation E (Compromised, Fraud, etc.)
- Responsible of Chargeback Items, Daily Returns, Non-post Items, Stop Payments, Duplicate Items
- Review and Report CTRs and STRs.
Operations Officer/Assistant Branch Manager
NewBank
01.2012 - 01.2013
- Able to perform all opening and closing procedures in the absence of the branch manager
- Conduct suspicious activity investigations and review high risk customers
- Responsible for Transaction Monitoring and report Suspicious Activity
- Prepare and Report CTRs and STRs.
Operations Officer
NewBank
06.2010 - 01.2012
- Provides excellent customer care to customers relative to daily transactions, addressing inquiries, and problem resolution, in accordance with Bank policies and procedures
- Performs banking transactions including processing deposits and loan payments, verifying cash and endorsements, check cashing, money orders and certified check issuance
- Complies with all required laws, regulations, policies, and procedures
- Conduct suspicious activity investigations and review high risk customers
- Responsible for Transaction Monitoring and report Suspicious Activity
- Prepare and Report CTRs and STRs.
Operations Officer
Shinhan Bank America
05.2008 - 06.2010
- Conduct suspicious activity investigations and review high risk customers
- Responsible for monitoring the accounts (AML, Check Kiting, Suspicious Activities)
- Prepare and Report CTRs and STRs.
Head Teller
NewBank
06.2006 - 04.2008
- Accepting and processing complex deposits, payments, and other transactions
- Responsible for monitoring the accounts (AML, Check Kiting, Suspicious Activities)
- Prepare and Report CTRs.
Education
Associate Degree in Accounting -
Queensborough Community College
05.2003
Skills
- Collaborative relationships
- Activity Planning
- Improvement plan knowledge
- Team Collaboration
- Analytical Thinking
- Process Improvement
- Goal Setting
- Issue Resolution
Certification
- Certified Anti Money Laundering Specialist (CAMS)
- Notary Public, State of New Jersey
Timeline
Internal Audit Liaison
KEB Hana Bank New York Agency
02.2020 - Current
Senior BSA/AML & OFAC, KYC Analyst
KEB Hana Bank New York Agency
10.2016 - 02.2020
BSA/AML Analyst & Operations Specialist
Noah Bank
01.2013 - 07.2014
Operations Officer/Assistant Branch Manager
NewBank
01.2012 - 01.2013
Operations Officer
NewBank
06.2010 - 01.2012
Operations Officer
Shinhan Bank America
05.2008 - 06.2010
Head Teller
NewBank
06.2006 - 04.2008
Associate Degree in Accounting -
Queensborough Community College
- Certified Anti Money Laundering Specialist (CAMS)
- Notary Public, State of New Jersey
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