WINDI ELLIS

I would like to acknowledge that I have not been working

(in the public sector) for the last six years due to my son's terminal medical issues. However, during this time, I have participated in professional development programs to keep abreast of the latest trends and developments in the industry. I am excited to return to the workforce and make a valuable contribution to your company.

• Respond daily to compliance issues generated within the Sectoral Sanctions (SSI) and European Union Sanctions list with regards to securities trade settlement, as well as provide assistance to seven direct reports

• Continuously maintain monthly Production Compliance Management Report to be distributed to Senior Business Partners

• Review and approve of Federal regulatory compliance-related system specifications, operating procedures and policies

• Stay abreast of regulatory changes and quickly assess their impact on the business, recommending policy/ procedural and system modifications

• Influence the process and development of creative means to meet line of business goals and objectives without compromising compliance controls

• Effectively manage and coordinate the workflow for a team of 15 Senior AML Compliance analysts

• Provide training and mentoring to analysts on research techniques, internal global systems, products, business lines and overall understanding of Cross Sector's process and procedures

• Generate workflow reports pertaining to analyst activity, scheduling, and resource planning

• Provide operations expertise to internal work groups, teams, and committees focused on enhancing current procedures and creating efficiencies

• Lead individual projects and work groups that will be presented to Senior Management

• Serve as Subject Matter Expert, for reviewing and understanding customer demographic details and risk weighting elements, and analyzing reviews of various risk levels and criteria

• Proactively identify global corporate reputational and other AML-related risk and take appropriate measures, including proper escalation, to mitigate identified risks

• Fully knowledgeable of and able to relate policies to BSA (Bank Secrecy Act), Patriot Act and other AML regulatory guidelines and standards

• BSA/AML & OFAC Compliance Activity Monitoring (Reports, Automated Software)

• Complete 314(a) information sharing requests as required

• Report any matches to the BSA Officer

• Periodic Monitoring of Client Categories (High risk, MSBs)

• Ensure that Relationship Managers complete annual MSB site visits

• Review supporting documentation and follow up on outstanding items

• Investigation/Research of Suspicious Activity

• Approve and E-File CTRs daily

• Prepare Suspicious Activity Referral Forms (SARFs), Decisions Not to File (NoSARs) and Suspicious Activity Reports (SARs)

• Maintain the Suspicious Activity logs

• Prepare follow up reviews of suspicious activity based on previous SARFs, NoSARs and SARs as scheduled

• Assist with BSA related training development and delivery • Proficient in applicable regulations/laws; including but not limited to: Bank Secrecy Act, Office of Foreign Control, Community Reinvestment Act, Privacy, Bank Security, Information Security, Sexual Harassment, Funds Availability, Truth in Savings and Illegal Internet Gambling

• Completion of annual compliance and/or skills training as assigned

• Responsible for all aspects of the Eastern Florida branch offices technical and physical infrastructure, including the supervision of all support staff

• Responsible for employee selection, hiring, on-boarding and terminations

• Develop, initiate, maintain, and revise policies and procedures for the general operation of the branch offices and their related activities

• Ensure that financial advisors, sales assistants and other branch office staff have the tools and infrastructure to perform their jobs, and that this infrastructure is kept in working order

• Assist financial advisors and sales assistants with escalated problems

• Utilize knowledge of investments, tax laws and insurance in order to design financial alternatives to business firms and individuals that will coordinate with both their short term and long term financial goals • Assess retirement and estate plans, college funding, risk management and other relevant investment options

• Monitored and review broker's trade reviews to make sure in line with client investment objectives

• Collaborate with other departments (e.g., Risk Management, Internal Audit, Employee Services, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution

• Consult with the corporate attorney as needed to resolve difficult legal compliance issues

• Monitor, and as necessary, coordinate compliance activities with other regional branches to remain abreast of the status of all compliance activities and to identify trends.

• Provide financial advisory and budgetary/ banking services to high net worth and ultra-high net worth individuals and companies in the Greater Tampa Bay area

• Long term financial planning, analysis and implementation as well as day-to-day trades and general customer service

• Extensive knowledge of ESOPs, 401 (k) and 403(b) plans and executive bonuses

• Adherence to policies in relation to ERISA, DOL, Domestic Relations Order, Internal Revenue Code (IRC) and Treasury regulations

• Balance sheet management, cash flow solutions and exceptional lending services

• Perform budget formulation work involving preparation of detailed analyses

• Extensive knowledge of financial management theories, practices, and techniques as well as accounting practices and principles

• Advise on Banking, Investments, Retirement Planning and Life Insurance Provide debt re-structuring, deposit accounts, loan services and budget analysis

• Provide personal financial planning services to United States military and Department of Defense personnel

• Continual prospecting and development of new clients and retention of existing clients

• Hire, train and supervise administrative assistants and client contact specialist

• Extensive writing and provisional editing of materials, such as Bank of America Internet and Intranet articles and features, scripting for Knowledge Channel Broadcasts, scheduled newsletters, training manuals and financial reports in compliance with the Associated Press writing style guidelines

• Research and compile pertinent information for Senior-level management and organize in a manner appropriate for presentation

• Work closely with Product Development and Project Coordinators to establish communication timelines and appropriate vehicles