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William Durand, CAMS
Assistant Vice President - Regulatory Global Notification Team | Global Information Security Threat Management Group at Citi.
Fort Lauderdale, FL, United States
Details
Education:
Associate of Arts and Sciences (A.A.S.)
Business Administration and Management, General
Broward College
2001 : 2004
Associate of Science (A.S.)
Accounting
Centro Contable Venezolano
1997 : 1999
Accounting and Business/Management
Universidad 'Santa María'
1995 : 1999
Business Administration and Management, General
Broward College
2001 : 2004
Associate of Science (A.S.)
Accounting
Centro Contable Venezolano
1997 : 1999
Accounting and Business/Management
Universidad 'Santa María'
1995 : 1999
Experience:
•Driving the Customer and Regulatory Notification Process (CRNP) to ensure sound review of Security Incidents in accordance with all applicable law.
•Supports, develops and implements control-monitoring program across multiple businesses to proactively identify control risks and self-identify issues for remediation.
•Coordinate enhanced review of customer information with Legal, Compliance, Information Security Officers and Business representatives in support of policies and procedures, to evaluate and prepare comprehensive reports.
•Manage and build partnerships across the businesses and key functional support areas within Legal, Compliance, Information Security officers and Business areas.
•Manage relationship and coordinate deliverables for internal and external (regulatory) exams, reviews, and audits.
•Planning strategies to ensure that Mexico’s incidents comply with our process and procedure regarding customer and regulators notifications.
•Participation on the process of accepting new regulations.
•Conduct meeting with BISO, Legal, SIM, CSIS, and/o Business in order to meet with the regulation requirements especially Mexico and LATAM.
•Reviewing and updating Global SIM Notification Team guides.
•Providing Customer and Regulatory Notification Process, Risk Exposure Assessment, and General
Data Protection Regulation (GDPR) training and presentation.
2018 : Present
Citi
Assistant Vice President- GSNT | Global Information Security Threat Management Group
•Review and update compliance program including KYC, monitoring, investigation reporting and training.
•Review and close alerts generated by AML monitoring system.
•Escalate cases to investigations when unusual activity is observed.
•Perform comprehensive investigations and compose narrative for Suspicious Activity Reports (SAR).
•Responsible for interacting with Account Officers to request necessary information from customers in order to assess unusual activities in a timely manner.
2017 : 2018
Continental National Bank
Compliance Consultant
•Reviewed policies and procedures to ensure applicable laws of the Bank Secrecy Act (BSA), the USA Patriot Act, and Office of Foreign Assets Control (OFAC), and self-regulatory global organizations rules.
•Reviewed appropriate programs for KYC, CDD, CIP, EDD, monitoring and testing the effectiveness of internal controls to deter, detect, and resolve potential compliance issues globally.
•Provided answers and supporting documentation through Online Audit Manager System to complete audit reports
•Reviewed Risk Assessment control for existing and new clients.
•Reviewed the oversight of activity monitoring transaction and file a SARs for unusual activities.
•Reviewed AML Training Program for all level of employees.
2016 : 2017
L&B Resources, LLC
Compliance Consultant
•Conducted Global investigations that involve high risk clients with accounts in more than one jurisdiction, a substantial multi-jurisdictional nexus, or involve complex transactional and client account patterns.
•Review proposed entity or individual activity using a customer case container. Tasked with conducting research, documenting investigations, preparing Investigation Reports including Suspicious Activity Reports (SARs) to recommend relationship retention or termination.
•Executing assessment procedures as prescribed; opening triage cases for all matters upon which an assessment is performed; determining that an investigation is or is not warranted; Guaranteeing completeness and consistency in the assessments
•Reduced case investigation cycle time through the development of automated tools within Microsoft applications, which collect customer demographics in an automated fashion. Analyze and assess research results and conduct complex data analysis
•Conduct research and review all supporting documentation as part of an escalation, to obtain and understand the information applicable to the entities/activity in the case and to document that effort. Identifying trends or typologies of incoming referrals to the Unit
•Adhering to the Bank Secrecy Act’s set of laws, regulations, and procedures intended to prevent criminals from disguising illegally obtained funds as legitimate income.
2015 : 2016
Citi / GIU Global Investigation Unit
Compliance Consultant
•Reviewed and approve/reject all customer’s profile for IWM to ensure quality and consistency in the KYC program.
•Reviewed narratives to determine consistency between Source of Wealth, Net Income, and Net Wealth.
•Reviewed and performed cash flow, EDD, World Check and investigations for PEP, and other high risk account.
•Supported and assisted the IWM team in coordinating all the required approvals for the Customer’s Client Risk.
•Reviewed corporate documentation to determine customer ownership with complex corporate structures.
2015 : 2015
SunTrust Investment Services, Inc.
Compliance Consultant
•Supports, develops and implements control-monitoring program across multiple businesses to proactively identify control risks and self-identify issues for remediation.
•Coordinate enhanced review of customer information with Legal, Compliance, Information Security Officers and Business representatives in support of policies and procedures, to evaluate and prepare comprehensive reports.
•Manage and build partnerships across the businesses and key functional support areas within Legal, Compliance, Information Security officers and Business areas.
•Manage relationship and coordinate deliverables for internal and external (regulatory) exams, reviews, and audits.
•Planning strategies to ensure that Mexico’s incidents comply with our process and procedure regarding customer and regulators notifications.
•Participation on the process of accepting new regulations.
•Conduct meeting with BISO, Legal, SIM, CSIS, and/o Business in order to meet with the regulation requirements especially Mexico and LATAM.
•Reviewing and updating Global SIM Notification Team guides.
•Providing Customer and Regulatory Notification Process, Risk Exposure Assessment, and General
Data Protection Regulation (GDPR) training and presentation.
2018 : Present
Citi
Assistant Vice President- GSNT | Global Information Security Threat Management Group
•Review and update compliance program including KYC, monitoring, investigation reporting and training.
•Review and close alerts generated by AML monitoring system.
•Escalate cases to investigations when unusual activity is observed.
•Perform comprehensive investigations and compose narrative for Suspicious Activity Reports (SAR).
•Responsible for interacting with Account Officers to request necessary information from customers in order to assess unusual activities in a timely manner.
2017 : 2018
Continental National Bank
Compliance Consultant
•Reviewed policies and procedures to ensure applicable laws of the Bank Secrecy Act (BSA), the USA Patriot Act, and Office of Foreign Assets Control (OFAC), and self-regulatory global organizations rules.
•Reviewed appropriate programs for KYC, CDD, CIP, EDD, monitoring and testing the effectiveness of internal controls to deter, detect, and resolve potential compliance issues globally.
•Provided answers and supporting documentation through Online Audit Manager System to complete audit reports
•Reviewed Risk Assessment control for existing and new clients.
•Reviewed the oversight of activity monitoring transaction and file a SARs for unusual activities.
•Reviewed AML Training Program for all level of employees.
2016 : 2017
L&B Resources, LLC
Compliance Consultant
•Conducted Global investigations that involve high risk clients with accounts in more than one jurisdiction, a substantial multi-jurisdictional nexus, or involve complex transactional and client account patterns.
•Review proposed entity or individual activity using a customer case container. Tasked with conducting research, documenting investigations, preparing Investigation Reports including Suspicious Activity Reports (SARs) to recommend relationship retention or termination.
•Executing assessment procedures as prescribed; opening triage cases for all matters upon which an assessment is performed; determining that an investigation is or is not warranted; Guaranteeing completeness and consistency in the assessments
•Reduced case investigation cycle time through the development of automated tools within Microsoft applications, which collect customer demographics in an automated fashion. Analyze and assess research results and conduct complex data analysis
•Conduct research and review all supporting documentation as part of an escalation, to obtain and understand the information applicable to the entities/activity in the case and to document that effort. Identifying trends or typologies of incoming referrals to the Unit
•Adhering to the Bank Secrecy Act’s set of laws, regulations, and procedures intended to prevent criminals from disguising illegally obtained funds as legitimate income.
2015 : 2016
Citi / GIU Global Investigation Unit
Compliance Consultant
•Reviewed and approve/reject all customer’s profile for IWM to ensure quality and consistency in the KYC program.
•Reviewed narratives to determine consistency between Source of Wealth, Net Income, and Net Wealth.
•Reviewed and performed cash flow, EDD, World Check and investigations for PEP, and other high risk account.
•Supported and assisted the IWM team in coordinating all the required approvals for the Customer’s Client Risk.
•Reviewed corporate documentation to determine customer ownership with complex corporate structures.
2015 : 2015
SunTrust Investment Services, Inc.
Compliance Consultant
Company:
Citi
Years of Experience:
24
Spoken Language:
English, Spanish
Skills
Banking, Credit, Customer Service, Data Analysis, Due Diligence, Financial Accounting, Financial Analysis, Financial Services, Investigation, KYC, Law Enforcement, Loans, Microsoft Office, Research, Retail Banking, Risk Management, Training
About
Highly accomplished Financial Compliance with over 17 years of banking experience combined among several Operation and Compliance departments. More than 9 years of experience conducting investigations related to Suspicious Activity Reports (SAR’s) and compliance programs to ensure the International Standard Regulation of Bank Secrecy Act, Anti-Money Laundering and Terrorism Financing. Adept at devising tactical plans for internal controls engagements, providing careful formulation, and monitoring corrective action plans. Committed individual with strong attention to detail and team management abilities.
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