Experience

Classified

• Canada
• Executive Offices
• 1 - 100 Employee

• Screening Research Analyst

  • Aug 2022 - Present

  • Investigate client-submitted individuals/companies using Google and open sources to determine various types of risk, including sanctions, compliance, operational, business, and political risks. • Conduct research, compile, and securely deliver risk reports to clients tailored to their specific regulatory requirements, such as customer due diligence/enhanced due diligence and regulatory reporting. • Conduct risk management investigations and reporting tasks in addition to analyzing financial performance and addressing money laundering concerns. • Contribute to thought leadership projects by conducting research, creating, and presenting materials, including blog posts, sales, and marketing content, and supporting documents on different aspects of financial crime. • Develop country risk profiles and produce client-focused summary reports by analyzing macroeconomic data, corruption levels, sanctions information, and governance characteristics. • Provide professional and prompt service to fulfill all client requests and interactions. Show less



FINRA

• United States
• Financial Services
• 700 & Above Employee

• Senior Investigator, Market Investigations

  • Dec 2021 - Jun 2022

  • Conducted reviews and investigations of possible violations of FINRA rules and federal securities laws with moderate supervision. • Demonstrated ability to handle increasingly complex and high-risk investigations.• Demonstrated and continued to develop a functional understanding of relevant FINRA rules, federal securities laws, and markets and trading.• Demonstrated competency in the investigative techniques utilized in the surveillance areas.• Analyzed increasingly complex information and trading activity for indications of potential violative activity.• Conducted interviews of registered and associated persons, investors, company management, and others, and participated in on-the-record testimony when necessary.• Utilized technology competently for data collection, information analysis, and case file management.• Compiled and organized information from a variety of sources to be used in the development of investigations.• Identified situations in reviews and investigations that may present significant regulatory issues or impact other FINRA business units.• Presented accurate and increasingly comprehensive investigative findings (orally and in writing) to management and other internal or external constituents in an organized, concise, and timely fashion.• Communicated and collaborated professionally and effectively with colleagues, management, FINRA members, and outside parties.• Volunteered for and participated in activities beyond usual investigative responsibilities. Show less

• Investigative Analyst (Contractor)

  • Jun 2020 - Nov 2021

  • Reviewed Arbitrator applications to determine any discrepancies in criminal & background checks.• Conducted in-depth research and analysis on a wide range of entities and organizations.• Investigated legal and reputational risk applicants posed to FINRA and used independent judgment to identify applicants that required escalation to the Associate Director.• Performed in-depth searches of court records, research databases (CLEAR, LexisNexis), and the internet (social media) to ensure that applicants provided all required disclosures to FINRA.• Accessed, harnessed, and leveraged Open-Source Intelligence (OSINT) as data sources for analysis. • Used independent judgment and expertise to identify information that merited disclosure.• Reviewed motions to vacate awards and other legal documents and investigated allegations. Show less



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Investigative Analyst

  • Dec 2019 - May 2020

  • Created and maintained various in-house databases, filing, and records management systems. • Conducted comprehensive research using computer-based tools, including reviews of media sources, public records databases, and open-source information. • Mined social media and search warrant returns for corroborating background evidence. • Analyzed documentary evidence, including financial and social media records, to develop coherent understanding of the details of the case. • Collected and analyzed data relevant to specific unit investigations and cases. • Monitored significant cases, summarized case details, and prepared briefing reports for use by others. Show less



Dow Jones

• United States
• Online Media
• 700 & Above Employee

• Intelligence Analyst

  • Aug 2015 - Dec 2019

  • Conducted extensive data mining, document, and open-source research as needed, using a broad range of tools and resources. • Reviewed and monitored activities in the country or region assigned; assessed trends which might affect the political and counter-terrorism situation and the political impact of intra-regional issues such as refugees, drug control and natural resources. • Conducted comprehensive internal and open-source research on individuals, entities, and vessels. • Analyzed geopolitical issues • Assisted Special Lists Manager in implementing and maintaining information for Dow Jones' Risk & Compliance Watch list and Alert program. • Conducted internet research, mostly on foreign language websites. • Accessed, harnessed, and leveraged big data Open-Source Intelligence (OSINT), multimedia, and social media as data sources for analysis. • Analyzed data and synthesized key findings. • Conducted link analysis and identified connections or associations. • Researched, analyzed, and updated individual and entity information listed on various law enforcement lists issued by government bodies/regulators around the world. • Performed regular checks on existing records for data quality purposes. • Examined various key principles and subject companies from around the world in Factiva, LexisNexis, Bloomberg, TLO, SEC records and other media sources, including negative media. • Coordinated with Law Enforcement when necessary for assistance with investigative research. Show less



Standard Chartered Bank

• United Kingdom
• Banking
• 700 & Above Employee

• Credit Risk Officer

  • Jun 2015 - Aug 2015

  • Performed credit exposure investigations, generating reports based on client documentation. • Researched/reviewed documentation, analyzed policies, and updated documentation. • Provided direct support to the Regional Chief Credit Officer. • Performed credit exposure investigations, generating reports based on client documentation. • Researched/reviewed documentation, analyzed policies, and updated documentation. • Provided direct support to the Regional Chief Credit Officer.



IESI

• Iselin, NJ

• Data Analyst

  • Mar 2015 - Apr 2015

  • Filtered/cleaned data, and reviewed computer reports, printouts, and performance indicators to locate and correct code problems. • Updated and deleted data from system, following company protocol, and ensured service files followed company standards. • Interpreted data and analyzed results via statistical techniques (SQL) to provide ongoing reports. • Assisted with a data clean-up project, going into a database, and transferring route information into other fields using Tower 6. • Filtered/cleaned data, and reviewed computer reports, printouts, and performance indicators to locate and correct code problems. • Updated and deleted data from system, following company protocol, and ensured service files followed company standards. • Interpreted data and analyzed results via statistical techniques (SQL) to provide ongoing reports. • Assisted with a data clean-up project, going into a database, and transferring route information into other fields using Tower 6.



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• Enhanced Due Diligence Analyst

  • Nov 2014 - Feb 2015

  • Conducted investigations into suspicious or unusual transactions occurring in investment bank, retail brokerage, and trust businesses. • Investigated surveillance alerts generated on institutional, retail brokerage, and trust business. • Reviewed information, and assessed risk of customer, documenting correct risk ranking or escalating to management if risk ranking was deemed outside of standards. • Compiled research into standardized reports, forwarding to review for accuracy of findings. • Summarized and communicated derogatory and/or criminal information in written form. • Documented analysis and risk determination because of enhanced due diligence performed. • Investigated, documented, and analyzed background information on firm’s prospective and existing clients through public record databases, including negative and social media. • Conducted specialized research to determine disposition of any open records. Show less



Aerosoles: Corporate Office

• Edison, NJ

• Data Analyst

  • Jul 2014 - Sep 2014

  • Analyzed and manipulated Master Data via Excel and SQL, generating complex pricing data. • Followed up on missing data for Master Data sets, ensuring consistency, correctness, and on-going maintenance of master data elements across the business. • Generated pricing reports and entered merchandising information into Excel Spreadsheets • Analyzed, manipulated, stored, tracked, and managed electronic data, documents, and assets in Oracle ERP. • Identified new processes in reports, spreadsheets, graphs, etc. for the proper implementation of corrective and preventative actions for correcting Master Data errors. • Created, identified, and interpreted trends/patterns in complex data sets using Excel. • Analyzed and manipulated pricing data using Pivot Tables, V-lookups, SQL, and Macros. Show less



FSA

• United States
• Government Administration
• 400 - 500 Employee

• Data Analyst

  • Oct 2013 - Jan 2014

  • Organized/managed documents • Supported DEA’s Asset Forfeiture Unit, analyzing/compiling confidential documents/records. • Responsible for maintaining time sensitive documents, adhering to strict deadline procedure which required precise attention and tracking. • Provided management of DEA case files pertaining to seized property from criminal activities. • Received petitions, claims, and process sharing requests, and extracted data from agency data base for management and program reports utilizing Microsoft Access and CATS (Centralized Asset Tracking System). • Established/maintained files, reconciled inconsistencies, prepared declarations, and created notices/advertisements. • Verified case files and case tracking systems, maintaining internal status information on the disposition of all forfeited assets. • Assisted lead analyst/officials in obtaining/collecting all documents and information to complete case files. • Obtained additional information from other investigative agencies/databases as necessary. Show less



New Jersey Juvenile Justice Commission

• Trenton, NJ

• Data Analyst

  • Jan 2013 - May 2013

  • Aided agency Research and Evaluation Unit in actualizing components of a research project that evaluated crucial JJC initiative known as the High-Risk Juvenile Offender Reentry and Family Strengthening Program, funded by the Federal Office of Juvenile Justice and Delinquency Prevention. • Conducted descriptive data analyses, and analyzed/manipulated Master Data with SQL and SPSS, following up on missing data. • Identified new processes in reports, spreadsheets, graphs, etc. for proper implementation of corrective and preventative actions for correcting Master Data errors. • Ensured consistency, correctness, and on-going maintenance of master data elements. • Reported on select research findings regarding service initiative, including relevant outcomes. • Assisted in design of data collection instruments and surveys • Gained key knowledge of the service initiative undertaken by AltantiCare Behavioral Health (ABH), a facility that offers high-quality classified health services, including: visiting ABH program in Atlantic City and conducting structured interviews with ABH administrators and staff. • Analyzed existing project data using SPSS, working with Research and Evaluation Unit staff to examine key aspects of implementation (e.g., services provided). Show less