Shelby Santos
Summary
Versatile Special Agent with Homeland Security Investigations and former financial crimes professional, skilled in financial crimes investigations, human trafficking and child exploitation investigations, regulatory compliance and identifying risk. Proven track record in developing reliable evidence leading to federal successful prosecutions and currently holds a Top-Secret Security Clearance, proving integrity and reliability. Experienced leader in the professional workplace, both in the public and private sectors.
Overview
8
8
years of professional experience
1
1
Certification
Work History
Special Agent
Homeland Security Investigations
04.2021 - Current
- Coordinate with other state and federal agencies during multi-jurisdictional investigations.
- Possess a Top-Secret Security Clearance, adjudicated favorably in February of 2021
- Develope reliable evidence in multiple federal investigations resulting in successful prosecutions in coordination with the Western District of North Carolina United States Attorneys Office
- Develope leads and initiated investigations utilizing financial data sourced from the Financial Crimes Enforcement Network (FinCEN), to include the identification of subjects involved in child exploitation and victims of human trafficking
- Review items of evidentiary value from Suspicious Activity Reports (SARs) and Currency Transaction Reports (CTRs) to further federal investigations involving targets, witnesses, and victims of a crime
- Train junior agents in specialized skills, fostering professional growth and increased work quality.
- Lead in-person and virtual trainings for multiple financial institutions, the Association of Fraud Examiners (ACFE) Charlotte Chapter, the HSI Citizens Academy, and other local organizations to discuss the impact of financial data and SAR filings on human trafficking investigations
- Deliver calm, professional testimony to support case evidence, establish timelines, and offer law enforcement expertise.
- Coordinate with various stakeholders including victim families or witnesses; successfully built rapport that aided investigations and case resolutions.
- Follow constitutional standards to properly obtain and execute warrants for arrests and searches.
- Utilize advanced technology tools for efficient data collection and analysis during complex investigations.
- Prepare comprehensive reports, ensuring accurate documentation of investigative findings and legal compliance.
Analyst, Financial Crimes Compliance
LPL Financial
06.2018 - 03.2021
- Serve as a supervisory escalation point for other Enhanced Due Diligence team members when high risk clients are identified through the firm’s Anti-Money Laundering (AML) Negative News screening process
- Evaluate the risk levels of various forms of client criminal activity and present recommendations for next steps to necessary partners and/or take ownership of next steps in order to ensure protection against financial and reputational exploitation to the firm and our advisors
- Responsible for the completion of the firm’s FinCEN 314(a) Requests in compliance with the USA PATRIOT Act, completing with a consistent 98%-100% Quality Control score monthly
- Perform Enhanced Due Diligence on the firm’s client’s to ensure compliance with the firm policies and federal regulations, such as the Know Your Customer (KYC) rule, through background research in comparison to issues escalated to the team, including but not limited to: Terror, Fraud, Money Laundering, US Sanctions, OFAC violations, Politically Exposed Persons, Drug Trafficking, Regulatory Enforcements and other financial and non-financially related crimes
- Present investigative findings and recommendations to management and necessary business partners in a concise and legible format
- Communicate with Law Enforcement partners on an as-needed basis to ensure proper screening and information sharing in reference to client criminal activity
- Responsible for weekly Foreign Account transaction screening and review on accounts held in high AML risk jurisdictions, and escalate illicit money movement suspicions to investigation partners once identified
- Refined team procedures on an as needed basis to ensure team efficiency and compliance
- Manage the daily tasks of the Summer Financial Crimes Compliance Internship program, serving as a manager liaison and leading projects and assignments throughout the duration of the program
Legal Support Associate
LPL Financial
01.2017 - 06.2018
- Intake all new securities matters varying from Arbitrations/Litigations, Regulatory Inquiries, Legal Advice Inquiries, and customer complaints for in-house Counsel review
- Support all areas of the Legal Department, including Early Dispute Resolution, Litigation, and Regulatory Affairs
- Conduct legal investigations using multiple sources and databases using analytical skills and with high attention to detail
- Escalate sensitive and privileged information and inquiries to necessary business units and senior management members internally
- Correspond with financial advisors, customers, and internal business units both in writing and verbally
- Ensure all work was completed accurately in compliance with FINRA Rule 4530 statistical filing using knowledge of financial sanctions rules and regulations
- Spearheaded the training process for new hires on legal intake, brokerage industry knowledge, and financial industry rules and regulations
Education
Bachelor of Arts - Political Science
Coastal Carolina University
Conway, SC12-2016
Skills
- Federal statutes
- Teamwork and collaboration
- Problem-solving
- Decision-making
- Evidence analysis
- Anti-money laundering
- Financial crimes investigation
- Interviewing and interrogation
- Regulatory compliance
- Open Source Intelligence
- LexisNexis/Accurint Databases
Certification
- Successful Completion of the Criminal Investigations Training Program (CITP), accredited through the Federal Law Enforcement Training Accreditation (FLETA)
- Successful Completion of Homeland Security Investigations Special Agent Training Program (HSISAT), accredited through the Federal Law Enforcement Training Accreditation (FLETA)
- Successful Completion of HSI's Advanced Human Trafficking Training
- Successful Completion of HSI's Advanced Asset Forfeiture Training
- Successful Completion of various trainings related to financial crimes, anti-money laundering, human trafficking, digital forensics, asset forfeiture, legal analysis, and other investigative areas.
Timeline
Special Agent
Homeland Security Investigations
04.2021 - Current
Analyst, Financial Crimes Compliance
LPL Financial
06.2018 - 03.2021
Legal Support Associate
LPL Financial
01.2017 - 06.2018
Bachelor of Arts - Political Science
Coastal Carolina University
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