Sonya Lewis
Dallas,TX
Summary
Anti-money laundering, Compliance, and Risk Management professional with over 15 years of experience. Strong business background developed through operations with Banking Compliance initiatives with a concentration on Transaction Monitoring Operations (TMO), Fraud, Anti-Money Laundering(AML), and Know Your Customer(KYC). Regarded by business leaders as a strategic partner that aligns team initiatives with company strategy to deliver top results. Excellent verbal, written, and communication skills.
Overview
25
25
years of professional experience
Work History
Anti-Money Laundering (AML)Supervisor/Manager
Capital One Financial
10.2019 - Current
- Operational Management; Supervise daily workflow, operational queues, and metrics
- Manage, develop, train, coach, mentor, and lead a team of investigators
- Write and deliver performance reviews, including development action plans; responsible for all aspects of team management, timecards, and mid-year and year-end reviews
- Subject Matter Expert(SME) in AML provides direction and assistance on AML-related issues/investigations
- Oversee staff to ensure accurate and complete investigations/reviews are aligned with regulatory and compliance guidelines service level deadlines
- Conduct, review, and evaluate findings using AML/KYC/CDD and EDD knowledge
- Responsible for all AML, KYC, and 314B processes, ensuring deliverables are met within the set timeframe.
- Provided guidance and direction to subordinates regarding job duties and responsibilities.
- Developed and implemented operational policies and procedures to ensure efficiency and accuracy of workflows.
- Monitored employee productivity levels on a regular basis to identify areas of improvement.
- Directed and supervised team of 15 employees in daily operations.
Anti-Money Laundering (AML) Investigator II
Capital One Financial
01.2016 - 01.2019
- Subject Matter Expert(SME) for Anti Money Laundering(AML) and Fraud to peers and contractor support for a staff of 50 investigators
- Training and set-up of new teams, providing Actimize system training, narrative guidance support, and quality analysis feedback
- Provided mentoring, coaching, quality assurance, and workflow strategy
- Daily workflow and operational metrics of AML/Fraud Operations team
- Daily supervision of the central unit of Investigators
- Point of contact for new AML and Fraud teams at cross-business site locations
- Manages and contributes to the development of risk management consumer lines of business
- Accurately documents accounts using verification tools and provides information to AML(Anti Money Laundering) and Fraud for preventive measures of risk
- Review system-generated alerts, assess the impact on TMO/AML and Fraud processes, conduct research as required, and document results in written format
- Writes suspicious activity reports(SARS), analyzes CTR's, addresses sanctions alerts, and other applicable AML/Fraud processes in accordance with regulations and time limitations.
Risk Analyst
Capital One Financial
01.2006 - 01.2016
- Fraud detection, SSN fraud, OFAC designated list prevention
- Dealership liaison for Capital One auto loan contracts
- Customer service liaison for new auto loan accounts
- Customer contact to resolve delinquent accounts
- Implementing effective workflow strategies to maximize effectiveness and minimize losses
- Building vendor relationships; Queue/Account Management
- Communicate effectively on all issues related to the daily operations within the department.
Project Manager
Beckett Media LP- Gaming Group
03.2008 - 08.2008
- Maintained project management by launching tradeshows and organizing business events for the company
- Responsible for budget forecast and product sales forecast
- Developed strategies and focused on marketing company product and services.
Product Sales Manager
Beckett Media LP- Gaming Group
03.2003 - 03.2008
- Maintained and increased product sales by leveraging ad campaigns and online marketing of products
- Assumed responsibility for product purchasing, revenue, and inventory control
- Focused on materials management and improved vendor contracts
- Provided human resource functions for three employees
- Provided customer service support.
Marketing Coordinator
Beckett Media LP- Gaming Group
02.2000 - 03.2003
- Implemented policies and procedures that improved market standing within the company by coordinating marketing ads and marketing campaigns, subscription forms including magazine layout, and pagination
- Scheduled coordination for designers and copywriters within the marketing department.
Warehouse Supervisor
Beckett Media LP- Gaming Group
11.1998 - 02.2000
- Provided a wide range of warehouse management support which included: shipping and receiving, inventory control, customer returns, and purchasing of supplies
- Managed vendor relationships with Fed-ex, UPS, and LTL Carriers
- Supervised employees' roles and productivity.
Education
B.S. Business Management -
University of Phoenix
Skills
- Transaction Monitoring Operations(TMO)
- Risk/Fraud Management
- Project Management
- Finance/ Analytics
- People Leader with Finance & Operations Management
- Strategic Planning
- Microsoft Office(Word, Excel, PowerPoint)
- Suspicious Activity Reports (SARS)
- Training / Facilitation
- Know Your Customer(KYC)
- Actimize/ActOne Case Management
- Data Analytics
Accomplishments
- 2022 Vision Pillar Award In recognition of contributions to creating Capital One’ Pre-eminent BSA/AML Program
- 2017 FIU Quarterly Spotlight Award For outstanding performance and lasting contribution
Timeline
Anti-Money Laundering (AML)Supervisor/Manager
Capital One Financial
10.2019 - Current
Anti-Money Laundering (AML) Investigator II
Capital One Financial
01.2016 - 01.2019
Project Manager
Beckett Media LP- Gaming Group
03.2008 - 08.2008
Risk Analyst
Capital One Financial
01.2006 - 01.2016
Product Sales Manager
Beckett Media LP- Gaming Group
03.2003 - 03.2008
Marketing Coordinator
Beckett Media LP- Gaming Group
02.2000 - 03.2003
Warehouse Supervisor
Beckett Media LP- Gaming Group
11.1998 - 02.2000
B.S. Business Management -
University of Phoenix
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