- Performed compliance testing results of all business units with the respective regulations, client contracts and operational adherence’s
- Performed compliance check for the vendor management team with regards to due diligence reports, OFAC check, Evaluation of W9 forms, CFPB check, and BBB check
- Worked closely with Compliance Managers from different Business Areas and identified the risks and their severity
- Prepared details reports stating the effectiveness of compliance controls to determine whether the risk controls are operating as intended and published these reports to the Board of Directors, Executive Management and the BU
- Perform loan level due diligence reviews on residential loan pool acquisitions by; reviewing historical notes from servicing, to determine the current status of an asset to identify adverse findings and recommend potential drops.
- Consistently review third party services (valuation, fraud, compliance) to provide valuable input for loan decisions.
- Create detailed chronology report of events that lead to untimely claim submission by interviewing third party. Compile data and calculate timeframes of financial and legal document submission.
- Complied with regulatory requirements, including the Bank Secrecy Act, Anti Money Laundering, OFAC, USA Patriot Act, and HMDA
- Monitoring and surveillance of investment guidelines in Bloomberg AIM and Compliance checklists
- Post trade monitoring of investment guidelines and follow up on breaches identified
- Maintain compliance records, register and files
- Proactively enhance knowledge of new and changing regulations and industry best practices through self-education and by actively engaging with industry peers and associations.
- Collect, analyze, and process data for timely completion and filing of sales/use tax returns.
- Process tax returns and filings for assigned clients.
- Complete month end reporting.
- Maintained a professional relationship with clients.
- Supported Compliance with Regulatory requirements required by the US Patriot Act article 326 for the Seller Identification Program (SIP) by researching and analysing with documentary or non-documentary means.
- Work responsibilities include OFAC Sanctions Screening, Contract retention and documentation, PEP and Adverse News Screening, and KYC due diligence.
- Displaying/Exploding Parts BoM by applying T-Code.
- Seeking Vendor information for Parts by Vendor Pricing Report T-Code.