Lisa Thomas-Sachar
Phoenix,AZ
Summary
Professional currently studying for ACAM certificate and and previously a licensed Financial Advisor. I have substantial experience in anti-money laundering and financial compliance, leveraging analytical skills and regulatory knowledge to drive impactful results. Known for collaborative problem-solving, adaptability to evolving requirements, and unwavering reliability. Proficient in risk assessment, transaction monitoring, and regulatory reporting, ensuring robust compliance frameworks. Trusted team player with focus on achieving organizational objectives and maintaining high standards. Leverage top five Gallup strengths - Restorative, Deliberate, Contextual, Analytical, and Intellectual - consistently deliver exceptional results.
Overview
14
14
years of professional experience
Work History
AML Analyst II - AML Financial Investigations/Operations
National Bank of Arizona
06.2021 - Current
- Analyzed approximately 40 customer cases a month to detect potential money laundering activities, enhancing overall bank security measures.
- Improved the accuracy of reports by collaborating with cross-functional teams to gather and verify information.
- Actively contributed to the continuous improvement of the organization's AML program by sharing experiences, knowledge, and lessons learned with team members.
- Identified patterns of suspicious behavior by leveraging analytical tools and techniques.
AML/BSA Analyst - Surveillance Team
AML RightSource
02.2020 - 06.2021
- Conducted thorough analysis of financial data to identify potential money laundering activities. Handled 30 Surveillance cases a day and/or 4 Investigation cases, depending upon the work function assigned that week.
- Collaborated with cross-functional teams to ensure comprehensive risk assessments.
- Managed alert handling to ensure timely response to potential threats.
In-house Financial Advisor
Allegis Group - Temporary Contractor for USAA
08.2019 - 02.2020
- Managed approximately 10-25 calls a day as an in-house Financial Advisor.
- Provided comprehensive financial planning services, helping clients achieve long-term objectives.
- Improved client's portfolio performance by recommending strategic asset allocation.
Financial Advisor Senior Specialist, Institutional Advisor Services
Charles Schwab
01.2018 - 06.2019
- Serve as a liaison for Independent Investment Advisors, primarily responsible for client onboarding, money movements, and account maintenance inquiries. Averaged 20 calls a day.
- Responsible for building/solidifying strong relationships/partnerships to increase advisor and client loyalty, while promoting net new assets.
- Ensure client documentation meets all regulatory elements regarding internal account eligibility and KYC guidelines.
Senior Risk Supervisor, (KYC/CDD - Fraud Banking Analyst)
Customer Verification & Research Center/Mobile Remote Deposit Capture
05.2011 - 12.2017
- Provided supervisory-level approvals for approximately 25-30 analysts with operational account documentation and decisions
- Assisted with the testing and rollout of various banking system enhancements
- Provided fraud reports for the banking team
- Trained and mentored both contract and full-time employees regarding policies, procedures, systems use, and escalated call handling
- Supported risk management efforts by identifying potential financial risks.
- Worked closely with relationship managers to proactively identify potential issues or concerns impacting client accounts.
Education
Bachelor of Science - Finance and Economics
Grand Canyon University
Phoenix, AZSkills
- Transaction monitoring
- Risk assessment
- Data analysis
- Suspicious activity reporting
- Customer due diligence
- Risk mitigation
- KYC procedures
- Fraud detection
Timeline
AML Analyst II - AML Financial Investigations/Operations
National Bank of Arizona
06.2021 - Current
AML/BSA Analyst - Surveillance Team
AML RightSource
02.2020 - 06.2021
In-house Financial Advisor
Allegis Group - Temporary Contractor for USAA
08.2019 - 02.2020
Financial Advisor Senior Specialist, Institutional Advisor Services
Charles Schwab
01.2018 - 06.2019
Senior Risk Supervisor, (KYC/CDD - Fraud Banking Analyst)
Customer Verification & Research Center/Mobile Remote Deposit Capture
05.2011 - 12.2017
Bachelor of Science - Finance and Economics
Grand Canyon University
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