Summary
Overview
Work History
Education
Skills
Certification
Work Availability
Timeline
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Maria A

AML Compliance Analyst
Edmonton,AB

Summary

Highly accomplished, astute, and diligent Legal Professional with over 8+ years of experience in working with clients from technology, banking, compliance, AML, and financial services. An innate ability to grasp and use advanced technology to update on latest worldwide development in legal processes/regulations. Proficient in defining procedures and legal guidelines of preparing legal documents and drafting contracts, effectively managing complex legal cases and legal matters. Visionary leader and motivator with collaborative style of working to resolve conflicts and focus the team on goals; deliver high quality solutions that optimize efficiency and effectiveness.

Overview

8
8
years of professional experience
1
1
Certification

Work History

Conflicts, Compliance & Risks Analyst

GowlingWLG
Remote
01.2022 - Current
  • Developing search strategies, conducting, reviewing and thoroughly analyzing conflict of interest reports with respect to new clients, new mandates, potential lateral hires, and firm responses to RFPs. Assess conflicts compliance with relevant rules of professional conduct and the firm’s own conflicts policies. Drafting waivers and coordinating the implementation of ethical screens.
  • Studied Outside Counsel Guidelines (OCGs) and engagement letters executed by clients, referring OCGs to advise lawyers on restrictions, waivers, and potential legal and business conflicts.
  • Assessed customer risk profiles to determine the appropriate level of due diligence required.
  • Researched applicable laws, regulations, guidance documents related to AML compliance requirements.
  • Documented all research findings in a timely manner and maintained accurate records of transactions.
  • Provided training on AML compliance topics to internal staff members.
  • Responded promptly and accurately to inquiries from regulators concerning AML matters.
  • Simplified and enhanced due diligence on key personnel connections to vast corporate scaffolds and organizational structures to foster procedural fluidity, compliance, client relations, and overall business viability; escalated adverse news, PEP hits and sanctions on entities, key principals, and ultimate beneficial owners (UBOs) in strict compliance with FINTRAC and Law society guidelines and various standard operating procedures (SOPs).

Senior Paralegal & Compliance Analyst

Fort Law Office
Edmonton, AB
10.2021 - 12.2022
  • Conducted learning and development sessions for legal and administration staff to update on rules and regulations, case management systems, KYC and anti money laundering policies.
  • Monitored large wire transaction and obtained any missing information requested by the lender, lenders (banks credit unions, etc.) to ensure wires are submitted within the required timeframe and compliance is ensured.
  • Conducted due diligence investigations related to real estate deals.
  • Developed reports summarizing findings from AML and KYC reviews and investigations.
  • Analyzed client data from various sources including public databases and internal systems.
  • Prepared detailed documentation for all KYC reviews performed, including records of all customer interactions.
  • Interfaced regularly with senior management and legal counsel regarding progress on key initiatives.
  • Collaborated with external auditors during annual audits of AML and KYC compliance programs.
  • Reviewed customer documents to ensure they meet the Anti-Money Laundering and Know Your Customer requirements.

Senior Corporate Paralegal

Frederick & Company
Edmonton, AB
03.2020 - 09.2021
  • Drafted correspondence responding to inquiries from government agencies.
  • Provided legal advice on a variety of business matters to senior management team.
  • Managed litigation databases including discovery requests, responses and pleadings.
  • Drafted corporate documents such as minutes, resolutions, contracts, agreements and memoranda of understanding.
  • Developed corporate policies in accordance with applicable laws.
  • Reviewed, analyzed and organized legal documents for accuracy and compliance with applicable laws.

Associate Analyst

PwC
Toronto, ON
01.2018 - 02.2020
  • Collected, organized and input information into digital database.
  • Executed testing strategies to improve systems, databases and processing techniques.
  • Developed tracking tools to monitor progress against set goals.
  • Documented all research findings in a timely manner and maintained accurate records of transactions.
  • Reviewed customer identification documents for accuracy, completeness, and authenticity.
  • Completed in-depth reviews of audit reports, client actions and monitoring activities.
  • Participated in new client onboarding and contract renewal processes, conducting due diligence on contract performance and recommending adjustments to better meet client needs.

Regulatory Compliance Specialist

TD Bank
Ottawa, ON
11.2015 - 12.2017
  • Prepared detailed documentation for all KYC reviews performed, including records of all customer interactions.
  • Monitored customer accounts for suspicious activities and transactions based on established guidelines.
  • Reviewed customer documents to ensure they meet the Anti-Money Laundering and Know Your Customer requirements.
  • Identified potential issues related to AML and KYC compliance in accordance with applicable laws and regulations.
  • Collaborated with other departments to ensure accuracy of customer data across systems.
  • Maintained fraud analysis models to improve functionality of company systems.
  • Liaised with leadership to discuss customer activities and trends that implicated potential money laundering or terrorist financing.
  • Identified, assessed, and reported any suspicious or unusual activity related to anti-money laundering.

Education

Master of Arts - International Trade & Foreign Investment

University of Ottawa
Ottawa, ON
10.2016

Skills

  • Customer Communication
  • Trend Analysis
  • Contingency Planning
  • Attention to Detail
  • Compliance Review
  • Transaction Verification
  • Due Diligence
  • Reports, Writing & Documentation
  • Data & Policy Analysis
  • Audits & Controls
  • iManage (DMS), SharePoint, Lotus Notes, Team Connect
  • MS Office (Word, Excel, Outlook, PowerPoint, OneNote, Access)
  • Google Drive, Spreadsheets, Email, Presentations/Slideshows, Database Management, SPIN System, Unity-Conveyancer, Legal Files, LDD, Clio, FACTIVA, Intapp-Open, Aderant, KIRA
  • Compliance knowledge
  • Project coordination
  • Google Workspace
  • Analytical and Critical Thinking

Certification

  • ACAMS: Certified Anti-Money Laundering Specialist (CAMS) (In progress)
  • Member – Association of Certified AML Specialists – ACAMS
  • AML Essentials: Anti Money Laundering, KYC and Compliance, UDEMY
  • AML Compliance in Practice: Suspicious Activity Reports, UDEMY
  • Risk & Compliance Management, International Association of Risk and Compliance Professionals
  • Coursera: Data Analysis and Effective Business Presentations with PowerPoint

Work Availability

monday
tuesday
wednesday
thursday
friday
saturday
sunday
morning
afternoon
evening
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Timeline

Conflicts, Compliance & Risks Analyst

GowlingWLG
01.2022 - Current

Senior Paralegal & Compliance Analyst

Fort Law Office
10.2021 - 12.2022

Senior Corporate Paralegal

Frederick & Company
03.2020 - 09.2021

Associate Analyst

PwC
01.2018 - 02.2020

Regulatory Compliance Specialist

TD Bank
11.2015 - 12.2017

Master of Arts - International Trade & Foreign Investment

University of Ottawa

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Maria AAML Compliance Analyst