SUMMARY OF QUALIFICATIONS
Experienced financial professional with hands-on experience collecting and analyzing large
amounts of financial data using multiple data sources, then making recommendations based on
the analysis. Detail and deadline oriented, strong analytical, research and problem solving skills;
completes complex tasks with minimal guidance. Proficient with using Word, Excel, Outlook,
Power Select and PowerPoint systems, ACS, NSCC, DST, TA2000, AWD, and QuickBooks
State Street Corporation, Boston MA April-September 2016
Anti-Money Laundering / KYC Analyst
• Used independent judgment, provides accurate documentation of entity
• Conducted project reviews of case files, tracking logs
• Using internet search tools including LexisNexis, World-Check etc. to analyst
• Reviewed data on template and input to platform system
• Draft detailed reviews of the investigations performed in order to determine action to be taken
• Confirmed timely resolution of work assignments by organizing
• Maintained detailed records on clients for second-level review with internal customers
• Worked knowledge of AML KYC procedures and regulatory requirements including BSA and
USA Patriot Act
MFS Investment Management, Boston Area MA March 1997-July 2015
Senior Operations Analyst (2007-2015)
• Reviewed fund level reporting to identify changes in portfolio assets which may have resulted
from large dollar transactions or suspicious Mutual Fund trading activity.
• Assisted in review of suspicious Mutual Fund trading activity on an account level while elevating
cases to Fund Monitoring Manager.
• Administered policies and procedures regarding mutual fund trading activity and communicate
with appropriate internal parties when transactions appear suspicious.
• Participated and/or lead projects regarding frequent or excessive trading, late trading, and short
term trading fees.
• Maintained a Watch List which includes MFS accounts that may have suspicious trading activity
• Communicated with MFS shareholders, Broker Dealers, and Plan Sponsors as appropriate
when a transaction is not compliant with MFS Policies and Procedures.
• Assisted in coordination of cancellation of transactions that are not compliant with MFS Policies
• Reported suspicious trading data on a daily, weekly, monthly, and annual basis to the Fund
• Ensured all monitoring meets department control objectives and evidence of review is readily
• Reviewed short term trading reports to evaluate systems validity with regard to fee taking correct
any processing errors, and coordinate with control to ensure omnibus accounts are taking
• Assisted in preparing for and managing internal and external audits.
• Provided feedback to Manager regarding current and potential issues affecting department.
• Identified and facilitates implementation of workflow improvements.
• Participated in special projects related to department goals as requested.
• Participated in cross-training initiatives to assist overall department objectives.
Anti-Money Laundering Analyst (2010-2015)
• Accurately reviewed possible AML activity generated from FinCEN, OFAC and CIP requests
against MFS database
• Reviewed Cash Equivalent tracking reports to ensure investments made using certain types of
cash equivalents are coded in accordance with Compliance policies
• Analyzed system-generated reports reflecting suspicious activity, based on predetermined
transaction thresholds and reports such to the MLR/Compliance
• Served as a resource to divisional management on AML reporting and related issues
Quality Assurance Control II & III (1997-2007)
• Reviewed, processed and verified transaction items created to ensure quality metrics are met
• Monitored trades utilizing the Estimate and Nice systems to minimize financial exposure due to
• Communicated with Operations, Communications and management to resolve financial
• Mentored, trained and aided in the development of quality assurance representatives
The First Data, Boston MA February 1993-March1997
Processing Representative II & III
• Reviewed incoming requests to determine the intent of the requester and examined supporting
legal documentation for completeness and accuracy
• Wrote correspondence letters for beneficiary, date of birth, unsigned, lost or post dated checks
to validate or request corrected information.
• Processed a variety of complex financial and non-financial transactions including:
1.Handled multiple types of redemptions, transfers, exchanges and transfer of assets
2.Established new accounts and deposited checks as requested by shareholders.
• Maintained a variety of shareholder accounts, updated broker/dealer information.
• Performed switch exchange transactions for broker/dealers.
• Initiated outbound calls to shareholders or brokers to verify information and clarify requests.
• Updated records to ensure accurate account information.
• Received incoming calls from shareholders or broker/dealer representatives regarding account
CCA of New England, Boston MA January 2012-Present
Assisted with Special event activities for community
Account Payable / Receivable (2012-2015)
Assisted accounts payables and receivables as well as account reconciliation and posting to the
general ledger and working in QuickBooks
Shanghai University, China