Latasha O’Neal
Saint Paul,Minnesota
Summary
Seasoned Compliance Officer with 14 years of experience working collaboratively with top leaders and staff to optimize adherence to policies, procedures, standards and regulations. Well-versed in comprehensive analysis of operations, process improvement recommendations and best practice introduction.
Overview
10
10
years of professional experience
Work History
Risk Compliance Audit Professional | Officer
US Bank RPS Risk
Minneapolis, MN
03.2021 - Current
- Working directly with the Corporate Payments & Treasury Solutions, Global Treasury Management and Prepaid Business lines to create, research and perform risk and compliance business line quality assurance testing to ensure that the Business lines processes and procedures are in line with U.S Banks Policies and Procedures
- Participating in Payment Services Risk and Control process workshop meetings and trainings for development of new and existing controls
- Creating testing instruction processing procedures for each control tested to help ensure accurate business line quality assurance testing of future control test
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Liaised with risk management, internal audit and employee services departments to direct compliance issues to appropriate channels for investigation and resolution.
- Providing suggestions to business lines on ways to enhance controls or processes to help avoid future error findings or banks financial, operational and reputation risks to U.S. Bank.
Risk Compliance Audit Professional – AML | Officer
US Bank Corporate Payment Systems
Minneapolis, MN
08.2019 - 03.2021
- Worked directly with the EFCC ES (Enterprise Financial Crimes Compliance Economic Sanctions) to process, research and close daily OFAC (Office of Foreign Asset Control) Alerts by collecting and validating customer information on databases such as LexisNexis, West Law, Clear and Secretary of State Websites
- Collected and validated company and customer information for Freight, delivery, airline etc. to meet obligations under U.S., Canadian, and European Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations
- Created and enhanced procedures for accurate daily processing duties to ensure Anti-Money Laundering (AML) requirements are being enforced and followed correctly
- Identified potential areas of compliance vulnerability and risk to develop and implement corrective action plans.
- Performed daily and weekly manual sanctions scans on over 900 customer names that appear on the SDN (Specially Designated Nationals) list to ensure compliance with Federal AML Regulations
- Verified consistency in quality planning, quality control, quality insurance and quality improvement
- Liaised with clients to identify and target inefficiencies in areas of risks and business controls, process gaps and workflow discrepancies.
Quality Analyst | Trust Officer
US Bank Global Corporate Trust Services
Saint Paul, MN
03.2016 - 08.2019
- Independently Conducted 44 reportable tests in 2018; 33 in 2017 and 16 intra-period tests for transition of Corporate Municipal Group to Assessment and reporting team.
- Performed Self-Assessment Testing for Corporate Municipal, TFM and CTSO Groups
- Developed 15 Scopes and independently wrote and executing 15 assessment process procedures for assessments of Corporate Municipal business line
- Presented critical updates to upper management in semi- annual MPR meetings, on multiple occasions
- Trained new and existing peers on Corporate Municipal, TFM and CTSO Assessment processes
- Mitigated risk by implementing internal controls and safeguards for revenues and expenditures while Complying with established internal controls and policies.
- Introduced internal controls to monitor critical areas of financial control and devised MARs (Manager Requested Action plans) to corrective actions to address risks or deficiencies.
Trust Review Specialist
US Bank Global Corporate Trust Services
Saint Paul, MN
09.2013 - 03.2016
- Provided effective communications for Customers and Management
- Filled hundreds of Uniform Commercial Code (UCC), collateral Documents annually to various states and counties clientele
- Understanding of working with SEC, federal government, and state and local jurisdiction surrounding banking
- Processed yearly TIRA reports for hundreds of corporate bond accounts and provided information to SEC and DTC
- Ran bond statement request to provide customers with monthly and yearly financial reporting for bond issues
Bond Processor 5|Team Lead
US Bank Global Corporate Trust Services
Saint Paul, MN
10.2012 - 09.2013
- Worked under strict deadlines to quickly and accurately process stock and bond certificates for bondholders, brokers and Depository Trust Company (DTC) with ability to produce quality documents under short timelines
- Created, editing and auditing procedures and correspondences for accurate bond processing to ensure Securities and Exchange Commission (SEC) requirements with ability to act independently with little or no direction and maintain confidentiality
- Worked effectively in team setting by organizing and running meetings, training new employees, and team building activities
- Designed –visual and audio presentations to report work progress to middle management and senior executives
- Skills in design and development of print and electronic public information materials, including layout, graphics, photos, etc.
- Evaluated employee skills and knowledge regularly, provided hands-on training and mentoring to individuals with lagging skills
- Minimized resource and time losses by addressing employee or production issue directly and implementing timely solutions.
Education
Bachelor of Arts -
University of Minnesota - Twin Cities
Minneapolis, MN05.2008
Skills
- Microsoft Word, Excel, PowerPoint
- Banking Systems: Stream TA, SEI, F900, TSYS, Access Database and more
- Assessing Compliance Risk
- Public Speaking, Written communication skills and Running Meetings
- Violations and Infractions
- Regulatory Requirements
- Compliance Reporting
- Compliance Testing
- Risk Management Assessments
- Anti Money Laundering (AML)
- Risk Identification
- Regulatory and Compliance Understanding
Accomplishments
- Uniform Commercial Code Article 9 For UCC Assessment
- Trust Indenture Act of 1939, as amended by Trust Indenture Reform Act of 1990 for TIRA Assessment
- Shareholder Communication Act, 17Ad17 Lost Securityholders, 17f1, 17AD-6 Recordkeeping etc
- Enterprise Financial Crimes Compliance (EFCC)
- Bank Secrecy Act (BSA)
- Anti-Money Laundering Control Act (AML)
- USA PATRIOT Act
- Economic Sanctions
- Anti-Bribery and Anti-Corruption
- OFAC
Additional Information
BestPrep's Cloud Coach program | May 2022- Present
· One-on-one mentorship with a student from North High School, MPLS.
Communications Director for the Twin Cities Development Network | Sept 2019- Present
· Providing over 12 thousand U.S. Bank employees in the metro area with bi-weekly communication updates of upcoming and past volunteer, educational and informational events hosted by the TCDN or Partnered BRG (Business Resource Group)
· Creating an informational summary of all upcoming TCDN events to include in the bi-weekly email sent to all metro employees.
· Updating the TCDN new employee distribution list to include all incoming Twin Cities U.S. Bank employees while also providing monthly new employee emails with information about the TCDN.
· Providing event updates to team members during Webex meeting.
Timeline
Risk Compliance Audit Professional | Officer
US Bank RPS Risk
03.2021 - Current
Risk Compliance Audit Professional – AML | Officer
US Bank Corporate Payment Systems
08.2019 - 03.2021
Quality Analyst | Trust Officer
US Bank Global Corporate Trust Services
03.2016 - 08.2019
Trust Review Specialist
US Bank Global Corporate Trust Services
09.2013 - 03.2016
Bond Processor 5|Team Lead
US Bank Global Corporate Trust Services
10.2012 - 09.2013
Bachelor of Arts -
University of Minnesota - Twin Cities
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