Paul Diehm
Newark
Summary
Results-driven professional with extensive experience in developing and implementing comprehensive risk management strategies across diverse industries. Positive and analytical thinker with a keen eye for detail and strong problem-solving abilities. Knowledgeable in quality control principles and skilled in data analysis and process optimization. Committed to ensuring the highest standards of product quality and contributing to continuous improvement efforts.
Overview
12
12
years of professional experience
Work History
Quality Control Analyst
Key Bank
01.2023 - Current
- Deliver exceptional services to conduct thorough reviews of AML cases in compliance with KeyBank's filing regulations
- Ensure accuracy and support of decisions through proper documentation and procedures
- Offer useful feedback to investigators on SAR and non-SAR filings
- Perform investigations according to leadership’s parameters
- Achieved a production and quality performance ranking in the top5%
- Led a Narrative update and presented new investigation narrative to Senior Leadership Team
- Provided mentorship to new QC hires
Senior AML Investigator I – Strategic, Testing and Resolutions Team (STAR)
Capital One
01.2019 - 12.2022
- Administered and executed rule design testing for the amendment and decommission of automated transaction monitoring rules while delivering presentations to senior leadership on test results
- Prepared formal memos, approved by Senior Management while authorizing the modeling team to implement changes to the automated transaction monitoring rules
- Provided clear and concise feedback during testing to team members to ensure efficient and thorough completion of tests
- Conducted training on new hire onboarding and refresher courses for current associates across multiple Capital One locations
- Adhered to capital one procedures for carrying out investigations and fulfilling documentation requirements
- Conducted SAR Attribution tests to evaluate the validity of SAR filings for retail bank and credit card accounts while offering constructive feedback to enhance the quality of submissions
- Provided mentorship and supervision to AML team members while serving as primary point of contact for investigative support
- Served as Subject Matter Expert on Retail and Credit Card investigations
- Collaborated with leadership and team members to drive changes to rules and alert requirements, resulting in improved SAR filings and potential rule amendments or decommissions
- Oversaw highly-qualified team of20+ investigators and reviewed2+ Suspicious Activity Report (SAR) filings to assess whether banking relationships should be maintained or terminated
- Managed and assessed20+ AML investigator results to conduct QC/QA and deliver feedback as well as presented findings to executive management for3 years
- Superintended various tests, including Below The Line, Above The Line, User Acceptance, and SAR Attribution, and utilized observations to make necessary changes to rules or discontinue them
- Carried out inbound and outbound314(b) investigations
Senior AML Investigator
Capital One
06.2015 - 08.2019
- Analyzed transaction patterns to detect potential money laundering schemes.
- Conducted thorough investigations to identify suspicious financial activities.
- Assisted in training team members on anti-money laundering protocols.
- Collaborated with cross-functional teams to strengthen anti-money laundering framework.
- Engaged in continuous learning to stay updated on latest AML practices.
- Provided guidance to junior investigators on complex cases, fostering professional growth and development opportunities.
- Identified patterns of suspicious activity through meticulous transaction analysis, aiding in the detection of financial crimes.
AML Mortgage Investigator
Capital One
09.2014 - 06.2015
- Conducted thorough investigations to uncover facts and gather evidence.
- Enhanced accuracy of findings with meticulous attention to detail during research.
- Collaborated with team members to achieve successful outcomes in challenging cases.
- Managed sensitive information, ensuring confidentiality and integrity.
Mortgage Fraud Loan Processor
Capital One
10.2012 - 05.2014
- Constructed and compiled comprehensive mortgage loan portfolios with necessary paperwork, supplemented by supportive documentation, for thorough review by mortgage specialist
- Conducted outbound calls for verification of employment, wages, and insurance
- Increased processing efficiency by implementing streamlined procedures.
- Assisted in training new staff to support processing operations.
- Improved turnaround times by prioritizing workload effectively.
Education
Bachelor of Science - Business Administration focus on General Management
Thomas Edison State University
Trenton, NJ01.2012
Skills
- Know Your Customer
- Risk Management Strategies
- Regulatory Compliance
- Enterprise Risk Assessment
- Financial Risk Analysis
- Performance Optimization
- Training & Mentoring
- Process Development
- Crisis Management
- Governance & Oversight
- Risk Modeling and Analytics
- Stakeholder Communication
- Operational Risk Management
- Team Leadership & Development
- Quality Control/Quality Assurance
- Change Management
- Corrective actions
- Quality management systems
- Customer focus
- Product Inspections
- Testing protocols
- Test coordination
- Data interpretation
- Documentation review
- Investigation support
- Quality processes
- Quality improvement
- Data analysis
- Data validation
- Continuous improvement
- Functional testing
- Risk assessment
- Training material development
- QC testing
- QC investigations
- Attention to detail
- Documentation
- Testing documentation
- Quality issue identification
- Critical thinking
- Test results interpretation
- Technical writing
Training
- Professional Banking Diploma (Center for Financial Training-Formerly AIB), 12/04
- School of Banking Diploma (Center for Financial Training-Formerly AIB), 6/04
- General Banking Diploma (Center for Financial Training-Formerly AIB), 2/04
- Consumer Lending (Center for Financial Training-Formerly AIB), 11/03
- Residential Mortgage Lending (Center for Financial Training-Formerly AIB), 11/03
- General Financial Services (Center for Financial Training-Formerly AIB, 11/03
- Microsoft Excel Training – Basic and Advanced training, 8/03
- Credit Analysis Training through RMA (Risk Management Association) in 2004
Timeline
Quality Control Analyst
Key Bank
01.2023 - Current
Senior AML Investigator I – Strategic, Testing and Resolutions Team (STAR)
Capital One
01.2019 - 12.2022
Senior AML Investigator
Capital One
06.2015 - 08.2019
AML Mortgage Investigator
Capital One
09.2014 - 06.2015
Mortgage Fraud Loan Processor
Capital One
10.2012 - 05.2014
Bachelor of Science - Business Administration focus on General Management
Thomas Edison State University
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