Summary
Overview
Work History
Education
Skills
Timeline
Generic

Sally Perez

Jacksonville,FL

Summary

Seasoned Compliance & Risk Officer with 20+ years of multi-faceted Risk and Quality Assurance experience. Proficient in Risk Mitigation.

Overview

26
26
years of professional experience

Work History

Senior KYC Quality Control Analyst ICM/ TFFI (Team Lead)

Deutsche Bank
03.2021 - 06.2024
  • Performed critical function of independent Quality Assurance and Control for Correspondent Banking clients: Event Driven Reviews, Periodic Reviews and Remediation in support of Deutsche Bank’s KYC program for both large and smaller financial institutions, ensuring adherence to rules and regulations regarding: Directive (EU) 2015/849 4th Anti-Money Laundering Directive, FINCEN, Sanctions and Embargoes, KYC High Risk 3rd Countries Framework (EU & UK), SEC, FINRA, OCC, FRB, FDIC,
  • Identified gaps, non-adherence to DB KYC policies and other local and global regulatory requirements ensuring clients are conducting business within Deutsche Bank’s Risk Appetite
  • Subject Matter Expert, served as advisor to Front Office
  • Coordinated with BLAFC to ensure remediation of non-compliant files
  • Developed, communicated, and executed ideas to advance QC/KYC team to optimize processes which supports efficiency and Target Operating Model
  • Provided training to new hires on quality control procedures, fostering a culture of excellence within the team.
  • Conducted root cause analysis for recurring issues, developing long-term solutions to prevent recurrence. Findings were shared with the ICM TFFI business stakeholders
  • Led team on organizational initiatives: New Joiner Training support, Team Communications, POC for all requests, escalations, etc.

Senior KYC Center of Excellence Screening Analyst

Deutsche Bank
09.2018 - 03.2021
  • Provided first level due diligence support for business KYC program
  • Performed Sanctions, Negative News Media & Politically Exposed Persons screening of client relationships with medium and high-risk ratings
  • Investigated and analyzed output from screenings that require feedback and escalation to KYC officers and AFC
  • Performed additional Due Diligence on Politically Exposed Persons when identified.
  • Collaborated with cross-functional teams to identify opportunities for process improvement and increased efficiency.

Compliance Officer –Control Room: Information Barriers Trade Surveillance

Deutsche Bank
09.2013 - 09.2018
  • Monitored the Bank’s Watch & Restricted Lists and Front Office trading activity for inappropriate and/or abusive trading practices across multiple trade surveillance models using Actimize
  • Conducted daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with firm’s trading policies
  • Performed deep dives to identify potential market abuse: Trading Ahead of Market Events, front running, wash trading and other insider dealing activities
  • Escalated violations and/or suspicious activity via completion of SAR to senior leaders, other relevant stakeholders
  • Performed Transaction Monitoring for Private Clients for suspicious transactions and trading behavior deviations.
  • Assisted with internal and external audits to confirm compliance with applicable laws and regulations.
  • Collaborated with cross-functional teams to address compliance concerns, fostering a culture of shared responsibility.

Documentation Group

Deutsche Bank
04.2013 - 09.2013
  • Assisted with review, processing, and archiving of documents, both physically and electronically
  • Executed requests for document withdrawals and front office queries regarding locations of documents litigation
  • Issued checks on behalf of PWM clients and completed customer request validation procedures to satisfy regulatory requirements
  • Researched and located tax forms needed to comply with requirements for tax audits by IRS
  • Processed requests for collateral withdrawals, blank official checks and hard copy of legal documents and have full access to company vault and safe
  • Daily ad hoc responsibilities to address past due items and reconciliation.

Customer Care Representative

1800flowers Perfect Petals
01.2012 - 04.2013
  • 1800 Flowers Customer Care Agent
  • Helped large volume of customers every day with positive attitude and focus on customer satisfaction.
  • Managed high call volume with exceptional professionalism and efficiency.
  • Responded to customer needs through competent customer service and prompt problem-solving.
  • Assisted call-in customers with questions and orders.

Senior Compliance Specialist

Merrill Lynch
05.1998 - 12.2011
  • Monitored client accounts for trading violations regarding NYSE rule 431, SEC and FINRA and regulations
  • Performed Transaction Monitoring for margin and Regulation T calls
  • Advised local and international branch Financial Consultants
  • Worked with domestic and foreign settlement agencies to reconcile DAC/RAP and Trades Done Away items.

Education

Bachelor of Arts -

University of Ghana
Ghana

Skills

Strong knowledge of relevant Compliance and KYC policies and regulations
Thrives in fast-paced dynamic environment
Excellent organization skills critical to meeting urgent deadlines
Communicates efficiently across teams, local and global, at all levels (written and verbal)
Strong Conduct, Controls and Risk background
Accomplished Investigator

Timeline

Senior KYC Quality Control Analyst ICM/ TFFI (Team Lead)

Deutsche Bank
03.2021 - 06.2024

Senior KYC Center of Excellence Screening Analyst

Deutsche Bank
09.2018 - 03.2021

Compliance Officer –Control Room: Information Barriers Trade Surveillance

Deutsche Bank
09.2013 - 09.2018

Documentation Group

Deutsche Bank
04.2013 - 09.2013

Customer Care Representative

1800flowers Perfect Petals
01.2012 - 04.2013

Senior Compliance Specialist

Merrill Lynch
05.1998 - 12.2011

Bachelor of Arts -

University of Ghana

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Sally Perez