Komi Uvwoh
Houston,TX
Summary
Detail-oriented AML/KYC and Financial Crimes Compliance Consultant with over 5 years of experience in risk management and fraud investigation. Expertise in managing KYC/CDD/EDD processes and executing internal controls to ensure compliance with BSA/AML, OFAC, and FinCen regulations. Proficient in compliance tools such as Actimize, LexisNexis, and Salesforce, enhancing transaction monitoring and regulatory adherence.
Overview
15
15
years of professional experience
1
1
Certification
Work History
SENIOR COMPLIANCE TESTING CONSULTANT
Experis
Houston, Texas
10.2022 - 03.2023
- Executed comprehensive compliance tests, identifying gaps and mitigating risks, resulting in enhanced regulatory adherence and improved audit outcomes.
- Collaborated with cross-functional teams to develop compliance training programs, fostering a culture of accountability and increasing employee awareness.
- Maintained thorough documentation of compliance findings, ensuring clarity and facilitating effective communication with stakeholders for actionable insights.
- Conducted in-depth risk assessments to identify and address compliance gaps, driving substantial improvements in organizational policies.
KYC CLIENT ONBOARDING FOCAL
DISYS - Shell Trading US
Houston, Texas
03.2021 - 06.2022
- Executed KYC procedures for new clients, enhancing compliance and mitigating risks while ensuring seamless onboarding experiences.
- Evaluated client documentation to identify discrepancies through Client's record, leading to improved data integrity and stronger regulatory adherence.
- Collaborated with cross-functional teams to streamline onboarding processes, fostering teamwork and enhancing overall efficiency.
- Implemented a tracking system for KYC tasks, resulting in noticeable improvements in processing times and client satisfaction.
AML QUALITY ASSURANCE CONSULTANT
MBO Partners - KPMG LLP
Atlanta, Georgia
10.2020 - 04.2022
- Conducted detailed audits of AML processes, identifying compliance gaps and implementing corrective measures that enhanced regulatory adherence.
- Evaluated transaction monitoring systems, leading to refined risk assessment protocols and more effective detection of suspicious activities.
- Partnered with cross-functional teams to improve AML training programs, fostering a culture of compliance and awareness across the organization.
- Designed and implemented a new QA framework, streamlining review processes and achieving substantial improvements in efficiency and accuracy.
- Mentored junior analysts on AML best practices, fostering professional growth and enhancing team performance through knowledge sharing.
BSA FINANCIAL CRIMES ANALYST III
Suntrust/BB&T
, Remote
08.2019 - 03.2021
- Conducted thorough investigations into financial transactions, identifying suspicious activities that mitigated potential losses and ensured regulatory compliance.
- Analyzed data trends to enhance fraud detection methods, leading to more effective monitoring and quicker response times to potential threats.
- Partnered with law enforcement and compliance teams to streamline reporting processes, fostering transparency and improving case resolution efficiency.
- Conducted detailed investigations into financial transactions, successfully mitigating potential losses and ensuring strict adherence to regulatory standards.
- Maintained stringent documentation of investigative findings, ensuring regulatory adherence and facilitating audits with minimal discrepancies.
Care Support Worker
YourGeorgia Homecare and Resourcing Edge
Atlanta, GA
06.2017 - 08.2019
LEGAL COMPLIANCE OFFICER
Vosek Construction & Engineering Co.
Warri, Nigeria
06.2014 - 06.2017
- Ensured adherence to legal standards, mitigating compliance risks and safeguarding the organization against potential legal issues.
- Communicated complex legal requirements effectively to stakeholders, ensuring clarity and promoting a culture of compliance across the organization.
EXECUTIVE TRAINEE
United Bank of Africa
Abuja, Nigeria
10.2013 - 06.2014
- Participated in cross-departmental meetings to align project goals, fostering teamwork and ensuring timely completion of initiatives.
- Conducted market research to identify emerging trends, enabling the bank to adjust services and meet customer needs effectively.
- Provided exceptional customer service by resolving client inquiries, contributing to improved satisfaction and loyalty.
- Maintained accurate records of transactions and client interactions, ensuring compliance with regulatory standards and enhancing operational efficiency.
LEARNING COORDINATOR
Shell Petroleum
Warri, Nigeria
08.2008 - 08.2009
- Fostered a collaborative learning environment, enhancing team engagement and boosting knowledge retention among participants.
- Implemented training programs that improved employee performance, leading to measurable gains in productivity and efficiency.
- Developed interactive e-learning modules, significantly enhancing training accessibility and learner engagement across diverse teams.
- Coordinated feedback sessions to refine training content, resulting in more relevant programs that directly addressed employee challenges.
Education
MSC - HUMAN RESOURCE MANAGEMENT
University of Bradford
Yorkshire, United Kingdom12.2021
J.D. - Law
Nigerian Law School
Kano, Nigeria05.2008
BACHELOR OF LAW -
Ambrose Ali University
Edo State, Nigeria12.2005
Skills
- Fraud detection risk mitigation, regulatory compliance and quality assurance, enhanced due diligence (EDD), process improvement and internal controls testing, transaction monitoring systems (Actimize, SAS, Oracle, Lexis Nexis, Jira, Salesforce), risk management and risk mitigation, KYC procedures, Fraud detection, Team collaboration
Certification
- Professional in Human Resources (PHR)
- Chartered Institute of Personnel Management
Languages
English
Professional
Affiliations
- Swimming
- Reading Books
- Networking
- Dancing
References
References available upon request.
Timeline
SENIOR COMPLIANCE TESTING CONSULTANT
Experis
10.2022 - 03.2023
KYC CLIENT ONBOARDING FOCAL
DISYS - Shell Trading US
03.2021 - 06.2022
AML QUALITY ASSURANCE CONSULTANT
MBO Partners - KPMG LLP
10.2020 - 04.2022
BSA FINANCIAL CRIMES ANALYST III
Suntrust/BB&T
08.2019 - 03.2021
Care Support Worker
YourGeorgia Homecare and Resourcing Edge
06.2017 - 08.2019
LEGAL COMPLIANCE OFFICER
Vosek Construction & Engineering Co.
06.2014 - 06.2017
EXECUTIVE TRAINEE
United Bank of Africa
10.2013 - 06.2014
LEARNING COORDINATOR
Shell Petroleum
08.2008 - 08.2009
MSC - HUMAN RESOURCE MANAGEMENT
University of Bradford
J.D. - Law
Nigerian Law School
BACHELOR OF LAW -
Ambrose Ali University
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