Summary
Overview
Work History
Education
Skills
Certification
Languages
Timeline
Generic

YingYing(Stacie) Li

New York,NY

Summary

Results-driven KYC Analyst with over five years of experience in the banking industry. Firsthand experience in observing and identifying suspicious activity related to money laundering from previous customer-facing roles, combined with knowledge of banking products and services. Currently excelling in a middle-office position, demonstrating a profound comprehension of the KYC process and AML regulations. Proven expertise in KYC verification, Negative News screening, PKR, and effective communication. Mainly handles high-risk international individual and entity accounts. Additionally, consistently ranked as the top performer in terms of production numbers within the department.

Overview

7
7
years of professional experience
1
1
Certification

Work History

KYC Analyst

UBS
03.2022 - Current
  • Conduct thorough CDD and EDD reviews of existing customer files, ensuring compliance with KYC/AML policies and regulatory requirements.
  • Collect and check client documentation for CIP process and ongoing client documentation refresh.
  • Obtain and verify client data attributes using authorized validation sources.
  • Review EDD files to ensure compliance with policy and regulatory requirements.
  • Conduct negative news search using applications such as COSIMA and LEXIS NEXIS
  • Scrutinize clients’ SOW and corroboration to validate the legitimacy of the net worth
  • Send and follow up on information requests to Financial advisors, Quality Control, and Financial Crime Prevention teams to execute Periodic KYC Reviews efficiently.
  • Review alerts generated by the transaction monitoring system to identify unusual or potentially suspicious activity.
  • Conduct research on transaction parties using internal systems and external open-source tools.
  • Compile case files, including transaction data, internet research, and inquiry results.
  • Send and follow up on information requests to internal stakeholders, tracking responses and incorporating results into investigations.
  • Analyze collected information to assess whether activity warrants escalation for potential suspicious activity reporting.
  • Prepare written case summaries and narratives supporting investigative conclusions.

Associate Banker

Chase Bank
10.2020 - 02.2022
  • Introduced products and services to potential customers.
  • Analyzed customer behavior during financial transactions, detecting possible structuring or unusual activity and filing SAR accordingly.
  • Provided account information services, updates, and supply orders to customers.
  • Ensured customer identification verification through security questions and official documents.

Teller

TD Bank
02.2019 - 07.2020
  • Identified customer needs and recommended appropriate services/products, enhancing customer satisfaction.
  • Conducted customers' financial transactions accurately and efficiently, maintaining high service standards.
  • Verified the legitimacy of customers' transactions, maintaining compliance with regulatory requirements.
  • Filed CTR and SAR based on various circumstances, ensuring regulatory compliance.

Education

Bachelor of Science - Business Management

Brooklyn College
Brooklyn, NY
05-2022

Skills

  • Know your customer verification
  • Client onboarding
  • Microsoft office
  • PKR Review
  • CDD and EDD review
  • Negative News screening
  • Transaction Monitoring
  • Self-Starter
  • Effective Communication
  • Team player
  • Microsoft Office proficient

Certification

CAMS: Certified Anti-Money Laundering Specialist

Languages

Chinese (Cantonese)
Native or Bilingual
Chinese (Mandarin)
Native or Bilingual

Timeline

KYC Analyst

UBS
03.2022 - Current

Associate Banker

Chase Bank
10.2020 - 02.2022

Teller

TD Bank
02.2019 - 07.2020

Bachelor of Science - Business Management

Brooklyn College

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