Kyle Ruiz
Olive Branch ,MS
Overview
7
7
years of professional experience
1
1
Certification
Work History
AML Analyst
Cambridge Investment Research
08.2022 - Current
- Created, update, and manage transaction monitoring policies and procedures.
- Prepare reports, metrics and research to support fraud initiatives and projects.
- Manage case investigations through FinCen guidance and Finra regulations
- Manage SAR policies through procedures, filings, and metric reporting.
- Manage CIP policies and procedures
AML Analyst
PWC
01.2021 - 08.2022
- Review alerting activities, then compare those activities to the client's profile, history, and interpret their behavioral data to determine a conclusion.
- Author interpreted reports of historical financial activity with a suitable intervention recommendation and the argument for the decision with specific analysis.
- Establish improved processes while staying compliant with policies and procedures
AML Specialist
B Riley Financial
07.2020 - 11.2020
- authored reports detailing results of investigations
- Produced and organized information in response to FINRA audits
- Utilize risk based approach in transaction monitoring and client relationships
Financial Advisor
Edward Jones
03.2017 - 07.2020
- Analyzed and mitigated all angles of financial risk in a client's unique situation
- Educated clients on the basics of investments and how it is relevant to their financial circumstance
- Understand client's short and long term goals and constructed strategies to reach those objectives
- Created financial plans that utilized budgeting and saving on taxes
Education
BBA - Finance
Mississippi State University
Starkville, MS2016
Skills
- Organization
- Communication and discernment
- Risk Assessment
- Financial analysis
- Advanced in Excel
- Tax considerations
Certification
Certified Anti-Money Laundering Specialist (CAMS)
Series 24 - Compliance Supervisor
Series 7 - General Securities
Series 66 - State laws
Private Pilot License (PPL)
Timeline
AML Analyst
Cambridge Investment Research
08.2022 - Current
AML Analyst
PWC
01.2021 - 08.2022
AML Specialist
B Riley Financial
07.2020 - 11.2020
Financial Advisor
Edward Jones
03.2017 - 07.2020
BBA - Finance
Mississippi State University
Certified Anti-Money Laundering Specialist (CAMS)
Series 24 - Compliance Supervisor
Series 7 - General Securities
Series 66 - State laws
Private Pilot License (PPL)
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