DJUANNA N. KENNEDY
821 Jersey Avenue, Apt. 3G, Elizabeth, NJ 07202 • Mobile: (908) 313-0338 • E-Mail: firstname.lastname@example.org
Citigroup, New York, NY
Vice President, Institutional Client Group (“ICG”), Risk Management Policy
• Work with risk partners to build consensus, write and update 9+ policies and product standards to reduce credit risk, improve reporting/data quality and develop best practices.
• Analyze credit transactions daily and discuss Basel II, loan loss reserve, asset quality ratio impact and documentation, ratings and facility set-up issues to incorporate into product standards and create guidelines.
• Supervise up to 6 team members by managing policy releases and announcements from writing to developing training presentations to a wide distribution across the firm;
• Advise risk, businesses, legal, finance, program managers, operations and other risk partners on policy interpretation and senior management business initiatives to clarify controls and ensure adherence;
• Partner with technology in review of business requirements, project plans and communicate status updates to senior management on a quarterly basis which resulted in successful completion of 7+ projects;
• Maintain tracking of policy exceptions and interface with internal audit quarterly and assist with external audits by providing required information to regulatory bodies (e.g. OCC, FED, FSA & FCIC).
• Manage Credit Officer (“CO”) and Senior Credit Officer (“SCO”) appointment process by reviewing documentation, tracking information and working with risk partners to expedite appointments.
• Distribute legal lending and investment securities limits from call report quarterly to raise awareness and promote adherence to regulatory and concentration limits across firm;
• Assist in the hiring selection process by reviewing resumes and interviewing potential applicants for 3 full-time positions within the group;
Assistant Vice President, Institutional Client Group (“ICG”), AML Compliance
• Conducted enhanced due diligence reviews on clients using internal systems and commercial databases to ensure adherence to Know Your Customer (“KYC”) regulatory standards to mitigate franchise risk;
• Worked with relationship managers and other compliance partners daily to perform high risk assessments by conducting research and reviewing documentation to provide recommendations for account openings;
• Managed the 314(a) search request process by implementing process improvements, working with 16+ Businesses and the Global AML division to meet strict deadlines and submit regulatory search requests;
• Monitored an average of 50 client transactions/alerts daily using the Mantas account monitoring system to detect potentially suspicious activity;
• Resolved corrective action plan by coordinating the AML training remediation of 1500+ employees and meeting deadline;
• Assisted with development of online AML training module for firm covering key regulatory issues and themes (e.g. USA PATRIOT Act, Bank Secrecy Act, Suspicious Activity Reporting & Terrorist Financing);
• Provided feedback and observations of in-country and sector RCSAs on quarterly basis; compiled AML Regulatory Requirements Inventory (“RRIs”) as requested;
• Reviewed and reported AML news items, federal proposed rule making and developments to manager using regulatory and media outlets on a daily basis (e.g. OCC, FINRA, OFAC & SEC).
Morgan Stanley, Jersey City, NJ
Analyst, Global Wealth Management Group (“GWM”), Compliance
• Provided advisory support to 500+ retail branches regarding registration and pre-hire procedures to assist with managing operational risk and reduce regulatory exposure;
• Gathered, analyzed and processed pre-hire paperwork for 80+ registered and non-registered individuals on a monthly basis using Salesforce to streamline process and reduce turnaround time;
• Handled coverage for Manager of Pre-Hire group when needed by answering 20+ phone calls and emails daily from the branches;
• Worked with senior management, risk department, legal and human resources daily when reviewing documentation to provide approval for the on boarding of financial advisors and recruits;
Assistant, Global Wealth Management Group (“GWM”) Compliance Policy
• Edited regulatory notices as requested and managed quarterly policy and procedure revisions to the manual in Word to meet tight deadlines;
• Compiled, organized and tracked high volume of information in Excel and Access from 16+ branches for regulatory examinations;
• Assisted with the compliance hotline weekly regarding market surveillance, branch inspections and no solicitation restriction inquiries by routing calls to appropriate area heads.
Lexis Nexis, Newark, NJ
Media Metrix, San Francisco, CA
ABC Radio Networks, New York, NY
Sales & Marketing Coordinator
Seton Hall University, South Orange, NJ, Master of Business Administration, Finance, December 2008
Syracuse University, Syracuse, NY, B.S., Communications Management, August 1998
Proficient in Microsoft Word, Excel, Access, PowerPoint, Outlook, Adobe Acrobat Professional, Nuance Pdf, SharePoint