Summary
Overview
Work History
Education
Skills
Additional Information
Certification
Hiking/Camping/Archery/Pottery
Timeline
Generic

Mark N. Pocress

Oceanside,NY

Summary

Detail-oriented team player with strong organizational skills. Ability to handle multiple projects simultaneously with a high degree of accuracy.

Overview

19
19
years of professional experience
1
1
Certification

Work History

Senior Internal Auditor

Flagstar Bank
01.2023 - 05.2023
  • Prepared scope analysis of required data/information for auditable entity; developed audit program to address identified risks; prepared audit planning document; conducted appropriate audit testing; and ensured that testing was completed as scheduled and documented in compliance with IIA and departmental standards
  • Performed integrated audits, including compliance and operational components, as appropriate
  • Reported audit findings and work with business management to facilitate resolution of identified issues
  • Drafted audit report for senior management
  • Performed issue validation as needed on past audit findings for proper remediation
  • Performed special reviews, as requested by senior management
  • Reported audit findings, covering compliance issues related to International Financial Reporting Standards (IFRS) and corporate regulations.
  • Recommended new methods to improve internal controls and operating efficiency.
  • Prepared and distributed risk and audit reports to appropriate personnel.
  • Performed internal audits of financial and departmental operations, developing risk assessments and conducting process walk throughs for compliance with documented processes.
  • Identified and reported audit issues.
  • Documented auditing information utilizing corporate system

Senior BSA Analyst

Alma Bank
03.2018 - 01.2023
  • Performed independent analysis for cases involving suspicious activity including, but not limited to, structuring, unusual transactions, check fraud, and kiting for presentation to BSA Officer
  • Managed cases of potentially suspicious activity from AML monitoring system, including analysis of transaction activity and balances for review by BSA Officer
  • Performed ongoing monitoring, as required, of all high-risk accounts in accordance with established monitoring schedule
  • Documented suspicious activity reviews for presentment to Executive Committee
  • Maintained thorough and accurate recordkeeping of all escalated cases, including logging files on tracking spreadsheet and saving related communications
  • Performed 90 day loobackreviews on all new business customers rated medium/high to ensure risk rating accuracy relating to customer on-boarding
  • Performed quarterly reviews of incoming/outgoing wires to determine suspicious activity
  • Completed timely backlog of additional caseloads required by Executive Committee as promised to regulatory agencies
  • Developed and maintained strong collaborative working relationships with staff and business counterparts
  • Stayed current with changes in BSA and related laws & regulations
  • Mentored incoming personnel for usage of systems and case investigations
  • Completed timely training requirements as mandated by bank policy
  • Trained junior personnel in process reviews and systems during onboarding and through remedial education.
  • Developed diagrams to describe and lay out logical operational steps

Financial Crimes Specialist (Consultant)

HSBC
02.2017 - 10.2017
  • Designed controls template used for adequacy of design and operating effectiveness testing
  • Developed test script for test work needed on PEPs for CDD & EDD requirements
  • Validated MRA Sanctions 3.1 related to Sanctions alerts documentations and Quality Assurance Reviews as part of Deferred Prosecution Agreement (DPA)
  • Reported results to management from testing performed with conclusions based upon observations, inquiries and findings
  • Prepared topics of discussion for meeting agenda
  • Met with Lines of Business (LoB) for walk throughs/process flows and organizational structures
  • Attended weekly status meetings with Internal Audit Managers and Workflow groups
  • Provided & recorded daily status updates on project to Senior Managers

Auditor (Consultant)

Municipal Credit Union, MCU
08.2016 - 12.2016
  • Conducted reviews of assigned organizational, functional, compliance activities
  • Evaluated adequacy and effectiveness of management controls over those activities
  • Determined whether organizational units in company are performing their planning, accounting, custodial, or control activities in compliance with management instructions, applicable statements of policy and procedures, and in manner consistent with both company objectives and high standards of administrative practice
  • Planned and executed audits in accordance with accepted standards
  • Reported audit findings and make recommendations for correction of unsatisfactory conditions, improvements in operations, and reductions in cost

Senior Internal Auditor

Royal Bank of Scotland, RBS
10.2004 - 11.2015
  • Coordinated opening meetings with internal department heads concerning risks and controls involving their respective business units
  • Reviewed and followed-up with outstanding issues from prior audits
  • Researched pertinent rules and regulations regarding USA Patriot Act as part of AML team
  • Reported to Senior Audit Manager (SAM) and Audit Director for Anti-Money Laundering (AML) and Regulatory Risk and Compliance (RR&C) regarding Corporate and International Banking Americas (CIBA) audits
  • Executed annual risk-based audit plan for CIBA regarding AML, RR&C and Sanctions and Terrorists Financing (STF) based on evaluation of factors; including Group Policy, risk assessments and relevant considerations
  • Conducted Audits of the Anti-Money Laundering (AML) & Non AML annual plan which consisted of more than 50 billion in assets of RBS Plc Group
  • Key audits included Client Due Diligence (CDD), Transaction Monitoring (TM), OFAC Sanctions (OS) & AML Governance/Oversight
  • Managed review and closure of Cease and Desist BSA/AML and Sanctions work streams
  • Maintained specific involvement with the continuous monitoring of the businesses for CDD, TM, OS & Oversight
  • Reviewed business transactions of bank and broker dealer’s North American operations for AML and non-AML compliance
  • Ensured milestone dates were met in timely basis with SAM
  • Drafted final report to senior management regarding deficiencies/violations
  • Trained incoming personnel.

Education

Bachelor of Arts - Economics, Accounting

Brooklyn College
Brooklyn, NY

Coursework: Technical Analysis; Market Timing; Commodities Analysis -

New York Institute of Finance
New York, NY

Skills

  • COMPUTER SKILLS:
  • Microsoft Word, Microsoft Excel, Microsoft PowerPoint, Microsoft Office Visio Professional & Teammate Database (EWP) Version 103 and BSA AML Systems (FIS Prime & Abrigo Bam Plus)
  • Regulatory Compliance
  • Process Implementation
  • Write Reports
  • Quality Assurance and Control
  • Microsoft Office
  • Bank Secrecy Act

Additional Information

  • CERTIFICATIONS: , FINRA Security License #7 (General Securities Representative) expired 10/30/17 June 2003 FINRA Security License #63 (Uniform Securities Agent) expired 10/30/17 January 2005 FINRA Security License #24 (General Securities Principal) expired 10/30/17 January 2007 Certified Anti-Money Laundering Specialist (CAMS) Active April 2005

Certification

Certified Anti-Money Laundering Specialist(CAMS)

Hiking/Camping/Archery/Pottery

Enjoy outdoor recreation as well working with hands on creating new objects 

Timeline

Senior Internal Auditor

Flagstar Bank
01.2023 - 05.2023

Senior BSA Analyst

Alma Bank
03.2018 - 01.2023

Financial Crimes Specialist (Consultant)

HSBC
02.2017 - 10.2017

Auditor (Consultant)

Municipal Credit Union, MCU
08.2016 - 12.2016

Senior Internal Auditor

Royal Bank of Scotland, RBS
10.2004 - 11.2015

Bachelor of Arts - Economics, Accounting

Brooklyn College

Coursework: Technical Analysis; Market Timing; Commodities Analysis -

New York Institute of Finance

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Mark N. Pocress