ROXANNE TOMCHESIN
Newark,DE
Summary
Organized, hardworking, and dependable candidate successful at managing multiple priorities with a positive attitude. Willingness to take on added responsibilities to help team achieve company goals.
Overview
15
15
years of professional experience
Work History
Asset Analyst Fixed Income
JPMorgan Chase
Newark, DE
05.2022 - Current
- Processing Dividends / Interest across variety of markets (DTC, Euroclear, CDS, FED)
- Productions of daily management reporting such as 298 Report (Daily Bond Report); Foreign Swift Currency Report; Daily Escheatment Review; and daily reconciliations of Open Items Report (Payables and Receivables) for cash accounts
- Investigation and resolution of Dividend balances
- Research of claims/emails from Counterparties and ensure payments are made on time
- Daily liaising with Front and Middle Offices, Global Custodians, and market counterparties
- Reviewed outgoing wire payments for discrepancies
- Understanding of trade flows such as Stock, Borrow, Loan, Repurchase Agreements, and Buy/Sell.
- Worked effectively in fast-paced environments.
- Skilled at working independently and collaboratively.
- Cultivated interpersonal skills by building positive relationships with others.
- Identified issues, analyzed information and provided solutions to problems.
- Assisted with day-to-day operations, working efficiently and productively with all team members.
- Proven ability to learn quickly and adapt to new situations.
- Managed timely completion of all required documentation for asset transactions, ensuring full compliance with regulatory requirements.
- Adaptable and proficient in learning new concepts quickly and efficiently.
- Worked well in team setting, providing support and guidance.
Compliance Analyst I- Licensing & Registration/Regulatory Reporting: Contract
KForce / JPMorgan Chase
Newark, DE
11.2021 - 05.2022
- Responsible for coordination and completion of all government, regulatory, and compliance documents for all business units in every organization
- Familiar with standard concepts, practices, and procedures within Regulatory/Securities Operations/Licensing Registration
- Sourcing appropriate background documents for FINRA registration and/or insurance licensing from employees and managers
- Maintained and built working relationships with internal stakeholders including but not limited to Sales Representatives, all levels of management, and external parties
- Coordination with Insurance and Securities Regulators to process onboarding and amendments on a timely basis
- Monitoring operational processing controls
- Reported Metrics for regulatory requirements such as Job Code Changes, Permissive Reports, Designated Supervisors, and maintained various spreadsheets for Management.
- Responded promptly to inquiries from regulators or other stakeholders regarding company practices, demonstrating transparency and commitment to ethical conduct at all times.
- Maintained up-to-date knowledge of applicable laws and regulations.
- Kept informed regarding pending industry changes, trends or best practices.
- Enhanced regulatory compliance by conducting thorough risk assessments and implementing effective control measures.
- Served as a subject matter expert on compliance matters, providing guidance and support to colleagues across various departments.
- Skilled at working independently and collaboratively in a team environment.
- Proved successful working within tight deadlines and a fast-paced environment.
- Demonstrated strong organizational and time management skills while managing multiple projects.
- Worked well in a team setting, providing support and guidance.
Transactions Monitoring Analyst II: Contract
Robert Half / The Bancorp
Wilmington, DE
05.2018 - 06.2019
- Monitor transactions for potentially suspicious activities, identify, investigate, and document suspicious activities
- Escalate suspicious activity cases to law enforcement in accordance with company policies and practices
- Conduct periodic and scheduled internal account and customer reviews to identify potentially suspicious activity
- Uses departmental and governmental standards and processes when conducting reviews
- Develop close working relationships with bankers to obtain relevant information related to their client's transaction activity in support of suspicious or potentially suspicious activities
- Gather the details and facts needed to decide on the suspicious activity within the position's scope of responsibility
- Provided training, coaching, review work, and provide insights and recommendations to other team members and investigators when needed
- Act as a subject matter expert on AML (Anti-Money Laundering), KYC (Know Your Customer) issues sharing knowledge as needed with others
- Execute and implement projects, processes, and initiatives within the AML transaction monitoring team.
- Strengthened internal controls surrounding the AML program by participating in risk-based testing and working closely with the compliance team to address identified gaps.
- Served as a subject matter expert within the organization for all matters related to transaction monitoring, providing guidance and support to colleagues as needed.
- Supported compliance team in meeting regulatory requirements by conducting thorough investigations on flagged transactions.
- Managed time efficiently in order to complete all tasks within deadlines.
- Skilled at working independently and collaboratively in a team environment.
- Resolved problems, improved operations and provided exceptional service.
- Proven ability to learn quickly and adapt to new situations.
Compliance Analyst
JPMorgan Chase
Newark, DE
01.2014 - 02.2017
- Collect and document data, including alert, investigation, or Suspicious Activity Report (SAR) history; Know Your Customer (KYC) information; Customer Due Diligence (CDD) information; Enhanced Due Diligence (EDD) information, relevant account and transaction data; plus, any other information required to assist the investigation
- Analyzed internal and external public and private databases to collect information on fund transfers, monetary instruments, cash transactions, and wire activity
- Identify and research patterns, trends, and inconsistencies in complex transactional and customer data to detect, mitigate, and report suspicious activity related to AML/TF
- Performed enhanced due diligence research of internal and external individuals and businesses through LexisNexis, Quick Name Check (QNC), and other internet tools; utilize various compliance systems like Actimize and HALO
- Maintain strong investigative skills; work independently, manage queue caseload, demonstrate extensive banking and compliance knowledge by understanding and staying current on red flags and industry trends related to AML.
- Collaborated with cross-functional teams for the successful implementation of new compliance initiatives.
- Identified issues, analyzed information and provided solutions to problems.
Accounts Payable Specialist
North Shore - Long Island Jewish Health System
Lake Success, NY
05.2009 - 09.2013
- Responsible for reconciliation and payments of high-profile vendors for 18 hospitals and facilities, and maintaining small hospital vendor accounts
- Managed accurate and timely processing of payments for 15 high-profile vendor accounts and 600 smaller accounts
- Daily responsibilities include reconciliations, vendor inquiries, match exceptions, and research
- Assisted on special projects to clean up and collect credit due to the hospital ($10MM)
- Consistently maintained monthly accrual worksheets, forecasting future vendor payments.
- Conducted regular account audits to identify discrepancies and resolve outstanding balances in a timely manner.
- Maintained up-to-date customer records, facilitating accurate invoicing and prompt payment receipt.
- Maintained account accuracy by reviewing and reconciling checks monthly.
- Matched purchase orders with invoices and recorded necessary information.
- Handled day-to-day accounting processes to drive financial accuracy.
- Streamlined accounts payable processes by implementing efficient invoice tracking and payment systems.
- Managed a high volume of invoices, prioritizing payment schedules to optimize cash flow and maintain strong vendor relations.
- Resolved problems, improved operations and provided exceptional service.
- Used strong analytical and problem-solving skills to develop effective solutions for challenging situations.
Education
Associates in Liberal Arts - Elementary Education
Valencia Community College
Orlando, FL12.2005
Skills
- Credit analysis
- Analytical Thinking
- Fixed Income Analysis
- Corporate finance
- Report Preparation and Presentation
- Risk Assessments
- Securities Analysis
- Problem-Solving
- Anti-Money Laundering
- AML Regulations Knowledge
- General accounting
- Document processing
Accomplishments
- Created Standard Operating Procedures for Securities Processing Orders (SPO); 298 Report (Daily Dividend Report); Foreign Swift Currency Report; and Wires for Fixed Income
- Investigation and timely resolution of escalations from various counterparties
- Designated to train all new employees on processes and systems within 2 months of working at JPMorgan Chase. Wrote procedures on how to use systems and used that to train new hires.
- Leadership and team collaboration for special projects including Anti-Money Laundering (AML) scenarios within Credit Card/Consumer space.
- Assigned complex AML cases involving lengthy research and analytics. Reached the department quota for the month to assist my team.
Work Availability
monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline
Asset Analyst Fixed Income
JPMorgan Chase
05.2022 - Current
Compliance Analyst I- Licensing & Registration/Regulatory Reporting: Contract
KForce / JPMorgan Chase
11.2021 - 05.2022
Transactions Monitoring Analyst II: Contract
Robert Half / The Bancorp
05.2018 - 06.2019
Compliance Analyst
JPMorgan Chase
01.2014 - 02.2017
Accounts Payable Specialist
North Shore - Long Island Jewish Health System
05.2009 - 09.2013
Associates in Liberal Arts - Elementary Education
Valencia Community College