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Reviews for Anti-Money-Laundering-Compliance-Officer-in-NYC-Resume-Alamin-Abdul-Hakim
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Date Created: 12/22/15
1 ALAMIN ABDUL-HAKIM Cell: 718-269-8090 Springfield Gardens, NY 11413 AML Compliance Officer & Analyst E-mail: firstname.lastname@example.org PROFESSIONAL PROFILE Insightful, focused, and analytical management and legal professional with more than 8 years’ experience delivering results in financial solutions, controls, and best practices. Exceptional business and technical management skills employed in creating efficiencies, establishing and implementing effective policies and practices, as well as collaborating with diverse business units and leading cross- functional teams in executing multiple initiatives. Focus on protecting firm's status and reputation for integrity by monitoring and updating traders' knowledge of regulatory agency and industry standards of compliance. Responsible for tracking violations and reporting them to internal compliance. Familiar with various aspects of financial service industry/federal regulations governing the trading of equity and fixed-income securities, including NASDAC, SEC/FINRA, Sarbanes-Oxley and similar compliance watchdogs. Proactive in contributing time and energy to executive committee. Responsible for writing and monitoring both FINRA and internal policy. Globally experienced in Islamic and African cultures. Eager to assume broad responsibilities and challenges with a multinational corporation that will reward management acumen and accomplishment, demand commitment and drive, and promote career advancement. Core Competencies Business Regulatory Compliance Policies and Procedures Enforcement Operational Streamlining Team Leadership & Staff Training Financial Management Cost Control Conflict Resolution Strategic Planning Due Diligence Legal Document Administration Legal & Electronic Research MS Office, SharePoint, Intralinks EDUCATION & CREDENTIALS Thomas Jefferson School of Law San Diego, CA M.S., Law 1/10-6/11 Coursework: Anti-Money Laundering, Financial Crimes, Loan Workouts and Debts, Collections, Foreclosures, Asset Management and International Estate Planning American Academy of Financial Management New York, NY Certified Anti-Money Laundering (AML) Consultant 5/11 JFK School of Law - Pleasant Hill, CA On-line Campus Completed 44 Credits towards Juris Doctorate 8/07-1/10 NY Paralegal School New York, NY Paralegal Certificate 5/05 Siena College Loudonville, NY B.S., Marketing Management 5/01 Major: Business; Minor: Finance The American University in Cairo Cairo, Egypt Semester Abroad: Egypt Islamic Studies and Arabic Language 12/99-5/00 Hudson Valley Community College Troy, NY A.S., Finance 5/99 FINANCIAL EXPERIENCE Cavella Group Inc. Roseville, MN AML Compliance Consultant 5/06-5/10 Monitored and addressed all compliance and regulatory issues as they arose, and took preventive measures to anticipate and mitigate potential risk. ∙ Administered and coordinated due diligence requests, determined red flags, monitored watch list checks, supervised counterparty monitoring, formulated procedures, and supported all AML topics. ∙ Led BSA investigations along with BSA/AML monitoring program. ∙ Provided oversight to high-risk cash-intensive and exempt customers. ∙ Assessed agreements, transactions, and strategic initiatives to ensure total compliance with established OFAC policy positions. ∙ Supervised compliance issues for individuals who contemplated investing in hedge funds, including Employment Retirement Investment Security Act issues for pensions and government entities before they became clients of a hedge fund. ∙ Mitigated risk to firm by ensuring development of business impact analysis; adhered strictly to compliance and operational risk controls in accordance with corporate and regulatory standards, guidelines, policies and procedures. ALAMIN ABDUL-HAKIM page 2 ∙ Incisive with extensive experience in enforcing all federal and industry related compliance standards including: Security, auditing, and reporting policies and procedures; ensured adherence to all legal and regulatory mandates, as well as the guidelines associated with NASD, SEC, CISG, FINRA, ACT 20-Minute Rule, Trade Reporting, USA Patriot Act, Bank Secrecy Act, Anti-Money Laundering Act, Sarbanes-Oxley (SOX) and similar compliance requirements; quantified risk and minimized exposure by analyzing all functions and reducing company's financial costs. ∙ Facilitated accurate and timely reporting process, prepared metrics, developed efficient analytical model and analyzed data to proactively manage and mitigate operations risk; obtained monthly due diligence, analyzed and identified hot-button issues; detailed status of the firm's Resiliency Risk Management program for senior executives. MEM Financial Solutions Inc. Halfmoon, NY Senior Loan Officer 5/01-11/04 Facilitated seminars for mortgage borrowers, checked clients' background to determine eligibility and compiled all financial documents from clients for lenders, performed credit checks, credit score verification, and mortgage program implementation. ∙ Provided guidance to clients in navigating mortgage process; provided assistance in securing funding; made referrals to personal bankers. ∙ Assisted clients with sales contracts, income, asset and debt information. ∙ Engaged title search companies to research ownership-related records of deeds, mortgages, satisfactions, consolidations, recording and endorsement pages to establish clear title or presence of liens. ∙ Examined titles and appraisals ensuring acceptability of collateral and acceptable lien positions. ∙ Researched deeds, mortgages, UCC filings, multiple dwelling registrations, DHCR printouts, tax histories, water and sewage bills, etc. ∙ Reviewed 1040's, all schedules, W2's, pay stubs, both business and personal bank statements. ∙ Rendered preliminary decisions on loan applications; compiled conditions and credit data; assembled completed documentation files and submitted to underwriters for final approval. ∙ Ran and reviewed DU/LP findings on loans. ∙ Processed residential conforming, non-conforming, Alt-A, and sub-prime loans (in-house and brokered out). ∙ Opened and closed accounts for personal and business clients. ∙ Traveled extensively throughout the state, including very rural place to immediately close deals. OTHER WORK HISTORY U.S. Security Association, Inc. New York, NY Commercial Security Agent 10/12-Present ∙ Provided protection to commercial and industrial premises, safeguarding their physical assets, personnel and clients. MSG Corporation New York, NY Guest Relations Associate 10/12-Present ∙ Escort patrons to seats and respond to various inquiries regarding show schedules and venue. NYC Department of Parks New York, NY Administrative Assistant 2/12-8/12 ∙ Compiled statistical information and assisted with completion of related reports for Executive Director. Placement Pros Security Company San Francisco, CA Asset Protection Specialist 1/11-1/12 ∙ Inspected, adjusted and operated high tech security systems and equipment to monitor and protect corporate campus and physical assets. Radio Shack Flushing, NY Assistant Manager 11/04-11/05 ∙ Directed a retail staff of 5 responsible for the efficient, seamless operation of store with $2M in inventory and annual sales of $2.5 million. BAR STATUS & PROFESSIONAL AFFILIATIONS American Academy of Financial Management Practicing Law Institute Alameda County Bar Association Charles Houston Bar Association ACTIVITIES Youth Literacy Program Legal Service for Prisoners with Children HONORS Second Chance Scholar Certificate of Excellence Award Springfield Gardens, NY 11413 Cell: 718-269-8090 E-mail: email@example.com Re: Manager, Risk Exposure & Compliance Management Dear Sir/Madam: Please accept the attached résumé pursuant to being considered for a position with your firm commensurate with my qualifications and focus in compliance management. After leaving Minnesota in 2010, I relocated to California where I pursued my Master’s degree in Law for one and a half years and built on my skills in compliance by acquiring an expanded arsenal of knowledge related to Anti-Money Laundering, Compliance Law, Asset and Risk Management. Then family matters called me back to New York in early 2012. Because those family commitments occupied most of my time, I was only able to pursue part-time employment. Now that those issues have resolved themselves, I am able to devote my full attention and technical knowledge to a position in Compliance Operations management. I am confident that the consistent, efficient and knowledgeable manner in which I assume responsibility, achieve all objectives, identify and facilitate enhanced corporate profitability by mitigating risk, negative public opinion, regulatory sanctions and revenue loss will effect an immediate and positive contribution to your organization. As reflected in my résumé, I have had over 8 years' experience reducing investment and mortgage firms' risk, mitigating exposure and enforcing compliance ranging from responsible lending and sensible borrowing, broker license compliance, adherence to federal brokerage mandates, consistently monitoring account trade transactions (i.e., timeliness, margins, etc.), analyzing insider trading restrictions, and establishing information technology failsafes and remote electronic backup to protect the risk of lost data. Additionally, I am a Certified AML Consultant, and have completed an M.S. in Law with a concentration in compliance-related studies. I look forward to discussing my background with you and exploring how my qualifications would meet your needs. In the interim, thank you for your consideration. Sincerely, Alamin Abdul-HakimEnclosure
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