MARIE ITO
Cumming,GA
Summary
Compliance Strategist, Revenue Growth Architect, & Strategic Risk Mitigation Leader Astute, transformative leader deftly combining expertise in risk management, regulatory compliance, and financial growth strategies. A seasoned steward of high-stakes relationships, adept at fostering cross-functional collaboration while driving strategic growth. Exhibits innovation in educational approaches and is proficient in leveraging technology for operational efficiency. Known for rigorous data-driven decision-making skills, fostering both robust internal policies and ambitious market penetration. True changemaker, steering entities towards a future marked by resilience and prosperity. VALUE DRIVERS Profound expertise in AML and KYC compliance protocols, effectively mitigating risk and ensuring company-wide adherence to financial regulations. Success catalyst in driving exponential revenue growth, catalyzing business expansions, and securing high-value accounts. Exceptional leadership in enhancing customer relationships, managing high-net-worth portfolios, and delivering tailored financial solutions. Prestigious recognition as a top 10% Financial Advisor worldwide by the Million-Dollar Round Table in 2007, demonstrating industry excellence and high-performance standards.
Overview
15
15
years of professional experience
1
1
Certification
Work History
Sr. Compliance KYC/AML Compliance Analyst
Ernest & Young
01.2022 - 03.2023
- Executed rigorous evaluations of high-risk customer profiles by meticulously examining both internal and external documents, pinpointing Politically Exposed Persons (PEPs), and unmasking potential financial crimes, leading to pinpoint-accurate escalation case assessments and effective non-escalation resolutions.
- Mentored and elevated team of 5+ KYC Analysts, imparting critical knowledge on KYC requirements and responsibilities, thereby catalyzing successful rollout of transformative company-wide methodology, as evidenced by unprecedented accuracy of KYC Analysis Report in Nov 2022.
- Scrutinized, identified, and evaluated suspicious banking and loan activities such as structured transactions, round dollar amounts, repeated same day transactions, and activities linked to high-risk nations, enhancing overall risk mitigation strategy.
- Deployed comprehensive suite of internal and external tools, including SharePoint, SAS, Actimize, KYC, LexisNexis, and Excel, in effective evaluation and resolution of complex cases, fostering enhanced operational efficiency.
- Pioneered and implemented strategic company-wide training initiative, directly contributing to substantial 30% uptick in overall employee performance and productivity, reinforcing organization's commitment to continuous development.
Emergency Teacher
ESS
02.2018 - 09.2021
- Pioneered innovative pedagogical strategies, effectively engaging and nurturing academic growth of over 100 diverse students from kindergarten to 11th grade.
- Designed and executed dynamic lessons and educational games, fueling marked improvement in reading scores of six students within short span of three months.
- Leveraged exceptional communication and interpersonal skills to foster constructive rapport with students, parents, and fellow educators, thereby promoting supportive and collaborative educational environment.
AVP
Premier Banker, CITIZENS BANK
01.2016 - 07.2016
- Directed and streamlined operations across 5 strategic branches, catering to discerning clientele base of over 300 high-net-worth individuals holding liquid assets valued over $1 million, driving phenomenal 100% revenue growth within a short span of 6 months
- Coached and led diverse cadre of 40+ banking professionals, instilling proven sales strategies and effective customer referral techniques, thereby significantly augmenting business partner engagement and revenue generation opportunities
- Ensured stringent adherence to regulatory standards, utilizing data-driven approaches to monitor sales production, pipeline metrics, and potential leads, leading to sustained engagement of high-net-worth clientele
- Introduced robust Anti-Money Laundering (AML) risk control framework encompassing banking, lending, investment, and insurance transactions, and spearheaded comprehensive training for associates to bolster regulatory compliance and mitigate risk
- Amplified client retention and profitability by managing vast customer portfolios, with distinct focus on enriching relationships and maximizing depth of client engagements.
Sr. Banker/FA/Trust Officer
WELLS FARGO BANK
02.2013 - 07.2015
- Devised and implemented ground-breaking strategies to overcome hurdles of identifying profitable accounts within smaller regions, catalyzing a transformative business expansion by penetrating broader markets and securing accounts worth $1 million
- Demonstrated remarkable performance in securing high-value accounts and closing residential mortgages, eclipsing milestone of $1.5 million within initial quarter, bolstering company's financial standing
- Exhibited unparalleled customer engagement acumen, culminating in successful closure of multi-million-dollar commercial mortgage deals through customer-centric sales process explicitly designed to understand customer needs and offer tailored solutions
- Recommended crucial revisions to risk management protocols, procedures, and documentation to ensure stringent compliance with BSA and FINRA regulations, bolstering organization's regulatory compliance stance
- Served as crucial liaison across various departments, promptly addressing internal inquiries regarding policies, procedures, and regulatory requirements, thereby fostering enhanced interdepartmental communication and collaboration.
Financial Sales Manager
NEW YORK LIFE
02.2008 - 11.2011
- Enforced firm-wide adherence to processes, policies, and procedures, in line with corporate rules, Insurance state laws, and FINRA regulations, thereby ensuring comprehensive regulatory compliance
- Drove impressive 300% increase in annual revenue, instrumental in New York Life's recognition as "Top Insurance Company" by Forbes Magazine in 2009, reflecting remarkable business growth
- Championed enhancement of sales skills and methodologies across diverse teams, resulting in significant improvement in performance metrics and achieving sterling 100% success rate in meeting annual performance targets
- Led and facilitated extensive training programs, enlightening 100+ associates and newly appointed managers on consultative sales, marketing strategies, product knowledge, wealth management practices, and rigorous risk mitigation in compliance with regulatory standards
- Nurtured robust relationships with upper management and subject matter experts to pinpoint and address training and developmental needs to boost organizational learning and growth across all levels of financial services professionals.
Education
Bachelor of Arts - Human Services, Public Administration
FRANKLIN PIERCE UNIVERSITY
Rindge, NHSkills
- AML/KYC Analysis
- Risk Mitigation Strategies
- Compliance Training
- High-Stakes Relationship Management
- Strategic Growth Implementation
- Operational Leadership
- Risk Management Framework
- Cross-Functional Team Leadership
- Strategic Market Penetration
- Policy & Procedure Development
- Interdepartmental Collaboration
- Data Analysis
- Technology Utilization
- Data-Driven Decision Making
- Business Expansion
- Root Cause Analysis
- Wealth Management
- Consulting Sales and Marketing
- SharePoint, SAS, Actimize, KYC, LexisNexis, and Excel
Accomplishments
- Achieved the Million Dollar Round Table as the the world top 10% Financial Advisor in 2007
Certification
- Basic Coding HTML, CSS and JavaScript Certified by Nucamp Coding Boot Camp - September 2021
Languages
Japanese
Native or Bilingual
English
Full Professional
Timeline
Sr. Compliance KYC/AML Compliance Analyst
Ernest & Young
01.2022 - 03.2023
Emergency Teacher
ESS
02.2018 - 09.2021
AVP
Premier Banker, CITIZENS BANK
01.2016 - 07.2016
Sr. Banker/FA/Trust Officer
WELLS FARGO BANK
02.2013 - 07.2015
Financial Sales Manager
NEW YORK LIFE
02.2008 - 11.2011
Bachelor of Arts - Human Services, Public Administration
FRANKLIN PIERCE UNIVERSITY
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