Erika Cruz

Operations Manager • Business Intelligence Analyst • Data Analyst • New York, NY, US

Team Building

Problem Solving

G-Suite

Attention To Detail

Analytical Thinking

Microsoft Outlook

Microsoft Office

Available for hire fromNegotiable

Full-Time Roles

Results-Driven Business Professional | Leveraging Compliance Expertise for Organizational Success

Results-oriented compliance professional with a Bachelor's degree in Business Administration and a strong background in KYC and AML. Experienced in conducting evaluations, analyzing risk factors, and ensuring compliance with regulations. Skilled in customer service, resolving complaints, and exceeding performance expectations. Proficient in data analytics tools and proficient in Microsoft Office Suite, Google Suite, Actimize, and LexisNexis. Strong problem-solving, analytical, and communication skills. Passionate about contributing to organizational success through compliance expertise and business acumen.

Projects

N/A

Work History

Compliance KYC Officer

Oppenheimer & Co.Sep 2021 - Present • 3 yrs 2 mos•Review and process KYCs submitted from the business for the Retail Private •Clients Business / Institutional Business in the proprietary KYC systems •KYC classifications can include individuals, corporations, foreign financial institutions, personal investment companies (“PICs”), trusts, limited liability companies (“LLC”), funds, private foundations and charities •Research clients to ensure completeness and accuracy of their KYC •Review and process KYC updates to existing clients KYC information •Maintain daily tracking logs for account restrictions •Notify the branches of upcoming restrictions •Complete KYC escalation forms for politically exposed persons (“PEP”) and clients with material adverse media for management approval •Liaise with the business daily to ensure smooth KYC processing •Provide guidance on complex KYC matters to the Business to meet regulatory requirements

Education

Columbia Southern University

Bachelor degree, Business Administration

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