Mazher Zaim
Los Angeles,CA
Summary
Detail-oriented and highly analytical compliance professional with 4+ years of experience in financial services, specializing in Anti-Money Laundering (AML) compliance, customer due diligence, and regulatory monitoring. Proven success at top-tier independent broker-dealers including Royal Alliance and Cambridge Investment Research. Adept at identifying suspicious activity, performing risk assessments, and supporting advisory operations in high-stakes, fast-paced environments. JD from Pepperdine Law and Summa Cum Laude graduate from UCLA.
Overview
4
4
years of professional experience
Work History
Compliance Analyst
Cambridge Investment Research
05.2023 - Current
- Reviewed and monitored daily CIP and OFAC exception reports to ensure firm-wide compliance with BSA/AML policies
- Investigated alerts and potential red flags related to customer activity; documented findings and escalated cases as necessary
- Collaborated with AML Manager and financial advisors to resolve discrepancies and maintain up-to-date compliance records
- Conducted customer due diligence (CDD) and enhanced due diligence (EDD) reviews to determine risk profiles
- Assisted in regulatory audits and internal compliance testing; contributed to written responses and remediation efforts
Compliance Associate
Royal Alliance
04.2021 - 04.2023
- Supported day-to-day AML operations including OFAC screening, FinCEN investigations, and transaction monitoring
- Provided guidance to operations and supervisory teams on AML-related concerns and documentation standards
- Conducted research on customer accounts flagged for suspicious activity and maintained case files for audit readiness
- Partnered with internal teams to streamline compliance workflows and ensure adherence to firm and FINRA protocols
Education
J.D. - Law
Pepperdine Caruso School of Law
Malibu, CA05-2023
Bachelor of Arts - Political Science
University of California, Los Angeles
Los Angeles, CA06-2014
Skills
- Time management
- Critical thinking
- Analytical skills
- Multitasking
- Banking operations
- Wire processing
- Customer Service
- Organizational skills
Skills and Technical Expertise
AML/BSA Compliance • CIP & CDD Reviews • FinCEN / OFAC Analysis
Risk Assessment & Case Documentation • Suspicious Activity Monitoring
Regulatory Research & Policy Implementation • Microsoft Office Suite • Excel & Outlook
CRM & Compliance Platforms: Salesforce, Actimize, Smarsh (or similar systems)
Languages
Arabic
Professional Working
Timeline
Compliance Analyst
Cambridge Investment Research
05.2023 - Current
Compliance Associate
Royal Alliance
04.2021 - 04.2023
J.D. - Law
Pepperdine Caruso School of Law
Bachelor of Arts - Political Science
University of California, Los Angeles