Lenny Garcia
Jersey City
Summary
Professional with over 10 years of Due Diligence and KYC Onboarding experience looking to obtain a position within a corporation where I can utilize my background and leadership skills.
Overview
11
11
years of professional experience
1
1
Certification
Work History
Capital Markets Onboarding Group Analyst
Sumitomo Mitsui Banking Corporation
08.2021 - Current
- Conduct KYC due diligence for new and existing clientele.
- Review documentation provided for onboarding and determine if appropriate for use, ensuring compliance with regulatory standards and firm policies.
- Perform enhanced due diligence when necessary (high risk clients).
- Communicate promptly with stakeholders throughout the onboarding process regarding any concerns.
- Assist the Quality Assurance Team when required. Review cases submitted by colleagues ensuring for accuracy and completion.
- Maintain tracking of workload utilizing a spreadsheet to ensure cases are completed by the expected trade date.
- Maintain an approval rating of 85% or higher for completed cases.
- Collaborate with various departments including but not limited to the Tax and Compliance teams to ensure documents provided comply with company and federal policies.
- Train new employees on the onboarding process, company policies and procedures.
- Perform ad hoc projects as requested by management.
Global Investigations Unit Analyst, NAM
Citigroup, (DISYS, Consultant)
06.2021 - 08.2021
- Performed assessment of subpoena referrals received from stakeholders.
- Analyzed researched information gathered over available systems to determine if creating a case is necessary.
- Reviewed, closed or escalated alerts in the case management system.
- Recommended client relationship retention or termination.
- Drafted and filed Suspicious Activity Reports (SARs) consistent with FinCEN requirements.
- Ability to prioritize projects while meeting deadlines.
- Performed ad hoc duties as assigned.
Compliance AML Execution Analyst – North American FIU
Citigroup, (DISYS, Consultant)
06.2020 - 06.2021
- Conducted research of client banking activity over available systems in search of irregularities in expected client behavior.
- Collected and examined financial statements and documents to assist in identifying unusual transaction patterns.
- Documented and reported the reviewed investigation findings.
- Collaborated with various departments to identify additional information in support of the case (Advisory, Business Compliance teams, Citi Security and Investigative Services, FIU Legal, GIU, and Law Enforcement).
- Recommended client relationship retention or termination.
- Reviewed and closed or escalated alerts in the case management system.
- Drafted and filed Suspicious Activity Reports (SARs) consistent with FinCEN requirements.
AML Screening Analyst
Natixis, (Huxley Associates, Consultant)
10.2019 - 06.2020
- Coordinated client file creation per request with the KYC team.
- Reviewed provided client documentation for completeness and accuracy.
- Performed standard due diligence on new and existing clients.
- Reviewed findings and dispositioned accordingly.
- Performed next-level review of true matches (4 Eye Review) for colleagues and dispositioned accordingly.
- Escalated negative news or unusual findings to next-level review and ultimately to management.
- Collaborated with the Compliance and Quality Control departments to ensure compliance with regulatory policies, internal policies and procedures.
Assistant Vice President, Operational Risk
Morgan Stanley
11.2013 - 04.2019
- A point of contact for AML advisory issues.
- Assisted with drafting team policy and procedures per the bank’s policies.
- Assisted in updating client risk ranking under the company’s policy.
- Managed and trained new employees and consultants on company products and procedures.
- Managed the team’s workload and prepared daily reports of the team’s assignment completion for management review.
- Performed client due diligence on new and existing clients.
- Reviewed provided account documentation for accuracy and completeness, ensuring their compliance with regulatory and company policies.
- Monitored and reviewed client transactions, created cases, resolved false positives, and escalated any anomalies to management.
- Provided guidance and oversight to external clients to ensure the proper AML-required documents were provided.
- Provided risk assessment of current clientele during periodic review process.
- Provided risk evaluation of clients and escalated any concerns to management for review.
- Effectively communicated any BSA/AML/OFAC violations made by clients to the appropriate business unit and advised of the next steps.
- Composed Suspicious Activity Reports (SAR) when warranted.
- Performed end-user testing of the internal systems in coordination with the IT Department to identify any risk concerns within the current environment.
- Advised of any inherent risks identified during the testing process and proposed enhancements for a better user experience and a more secure application
- Assisted in identifying any gaps in current AML program that were of risk concerns and worked with management in rectifying the flaw in the program
- Created daily, weekly, and monthly metrics reporting for management purposes.
- Built and maintained relationships throughout various lines of businesses to ensure a consistent quality of work is delivered on time.
Education
Brooklyn College
01.2005
Skills
- Proficient in TransparINT, Fiserv, Prism, Actimize, RDC, World-Check, World Compliance, Dirt, Lexus Nexus, Westlaw, OFAC, Metavante, SharePoint, GuideStar, Risk Assessment, Training, Factiva, Dow Jones, Compliance/Risk System Testing, Microsoft Office Suite, Adobe PDF, Outlook, Orbis, Concordance, and Concur Strong grasp of Bank Secrecy Act (BSA), Anti-Money Laundering (AML) regulations, Know Your Customer (KYC) requirements, Customer Identification Program (CIP) requirements, Dodd-Frank, and OFAC Great at time management, team collaboration and leadership skills
Certification
Certified Anti-Money Laundering Specialist, (ACAMS),2014
Languages
Spanish
Native or Bilingual
Timeline
Capital Markets Onboarding Group Analyst
Sumitomo Mitsui Banking Corporation
08.2021 - Current
Global Investigations Unit Analyst, NAM
Citigroup, (DISYS, Consultant)
06.2021 - 08.2021
Compliance AML Execution Analyst – North American FIU
Citigroup, (DISYS, Consultant)
06.2020 - 06.2021
AML Screening Analyst
Natixis, (Huxley Associates, Consultant)
10.2019 - 06.2020
Assistant Vice President, Operational Risk
Morgan Stanley
11.2013 - 04.2019
Brooklyn College
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