DWAYNE NELSON
RBC Capital Markets
Toronto,ON
11
years of professional experience
Detail-oriented professional with 10+ years of progressive experience in the financial services Industry, specializing in Compliance, Enhanced Due Diligence (EDD), and risk management. Proven ability to conduct thorough investigations, analyze complex data, and collaborate with cross-functional teams to mitigate financial crime risks. Recognized for improving operational efficiency, ensuring compliance with regulatory requirements, and enhancing customer satisfaction through innovative problem-solving and communication skills.
Work History
Senior Tax Operations Analyst
5 Years 11 Months- Conduct enhanced due diligence (EDD) on high-risk customers, identifying suspicious activities and mitigating potential financial crime risks
- Optimize operational efficiency through process analysis, ensuring compliance with AML regulations, including FATCA, CRS, and QI requirements
- Provide expert guidance on tax documentation, respond to client inquiries, and resolve complex issues to ensure adherence to reporting deadlines
- Support management by generating and analyzing reports, leading to actionable insights for risk management and regulatory compliance.
Banking Advisor
2 Years- Performed complex AML investigations, focusing on identifying and reporting unusual and suspicious activities for regulatory compliance
- Conducted initial and periodic EDD reviews, ensuring the accurate assessment of customer risks and adherence to KYC requirements
- Collaborated with law enforcement and internal teams to share information and mitigate potential threats, enhancing the bank’s security posture
- Developed comprehensive reports for senior management, highlighting investigation findings and recommending corrective actions.
Audit Intermediate
1 Year- Assisted in developing and implementing AML policies and procedures, ensuring alignment with regulatory standards and reducing financial crime exposure
- Conducted detailed audits of financial records, identifying discrepancies and ensuring compliance with established regulations
- Supported the preparation and execution of tax audits, providing insights into potential risks and areas of non-compliance.
Tax Auditor
3 Years- Led audits by reviewing documents, conducting industry analysis, and identifying risks related to money laundering and other financial crimes
- Collaborated with law enforcement agencies on investigations, sharing information and contributing to successful AML efforts
- Analyzed taxpayer data to identify suspicious activities, ensuring compliance with AML regulations and risk mitigation strategies.
Education
Master of Science - Accounting And Financial Management
Investment Funds in Canada: Investment - Investment
Bachelor of Business Administration in Management Studies
Skills
AML Compliance & Investigations
Enhanced Due Diligence (EDD)
KYC and High-Risk Customer Management
Regulatory Reporting & Compliance
Internal Controls & Risk Assessment
Cross-Functional Collaboration
Leadership & Team Development
Proficient in MS Office Suite and specialized investigative tools
References
References available upon request.
Awards
2023 Year End Leadership Award Winner
Timeline
Senior Tax Operations Analyst
RBC Capital Markets
11.2020 - CurrentRead More
Banking Advisor
RBC Royal Bank
11.2018 - 11.2020Read More
Audit Intermediate
Ernst & Young Services Limited
08.2016 - 08.2017Read More
Tax Auditor
Tax Administration Jamaica
08.2013 - 08.2016Read More
University of London
Master of Science from Accounting And Financial Management
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Canadian Securities Institute
Investment Funds in Canada: Investment from Investment
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University of The West Indies
Bachelor of Business Administration in Management Studies
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