SHAWN J MOORE   	
sjmcbm@msn.com
781-799-5838

Senior Consultant with 27 years experience in Quality Control, Trust Operations, Corporate Actions, Dividend Reconciliation, Custody, Non Custody, Fixed Income, Hedge Funds, Mutual Funds, Derivatives, Transfer Agent, Compliance (AML/CFT, KYC, CIP, BSA E-Filing & SAR Drafting) and Broker/Dealer Operations and Regulations (Reg. T, Rule 15c3, etc.). 

MAJOR ASSIGNMENTS 

MoneyGram, Dallas, TX
Team Lead AML/US Government Reporting
01/2012 – 03/2012

Leading a team of Analysts, who are Transaction monitoring Domestic and International High risk consumers. We are analyzing transactions to SAR or clear.
BSA E-Filing of SAR’s. Technology: CRM, Visualizer, Cognos, BSA E-Filing, Lexis-Nexis and other Internal Proprietary applications.

Citibank, San Antonio, TX.
KYC/CIP/AML
9/11 – 12/11

Backlog KYC/CIP/EDD and AML Transaction Remediation for High risk accounts. E-CADD, NAM, Concierge, Work Station, Lexis-Nexis and other Internal Proprietary applications.

HSBC Wilmington, DE
AML/BAU/HIGH RISK
5/11 - 9/11

AML/BAU project. Involved research to determine whether to put 100K alerts per month on watch, SAR, or no further action. Systems used were NORKOM, World Check, Lexis-Nexis, KYC Data base, and other proprietary systems.

JP Morgan Chase N.Y., N.Y.                                                                   
AML/KYC/CIP Hedge Fund Analyst/Quality Control
12/10 – 5/11

Hedge Fund Remediation. KYC, Hedge Fund Quality Control. Conducting client's detailed background checks and obtaining all the necessary Know Your Client's documentations to assess client's identity and risks of money laundering, terrorist financing and financial crime. AML transaction monitoring. Analyzing and researching all Correspondent Banks for both foreign and domestic transactions. Provided MIS reports.
Systems used are SKYC, Lexis-Nexis, World Check, RDC and other proprietary systems.

Deloitte/JP Morgan Chase Newark, DE                                                        
AML/KYC/CIP Hedge Fund Analyst/Quality Control
9/10 – 11/10

AML/KYC/CIP, Hedge Fund Remediation. Hedge Fund Quality Control. Conducting client's detailed background checks and obtaining all the necessary Know Your Client's documentation to assess client's identity and risks of money laundering, terrorist financing and financial crime. Analyzing and researching all Correspondent Banks for both foreign and domestic transactions. 

Wall St. Solutions Inc.                                                                                     
Boston, MA.
Trade Reconciliation
1/09 – 8/10

Reconciled Equity and Option positions. Reconciled Corporate Actions, Dividends and Interest. 

RSM McGladrey, Inc. Washington Mutual, San Antonio, TX                   
Risk Advisory and Forensics
BSA Quality Control
08/08 – 12/08         
                                       
Performed quality control on all AML, BSA, and OFAC related customer accounts. Operational oversight and the reviewing of drafts written by investigators for the recommendation of SAR or NO SAR., Analyzing all work: customer profile, Correspondent Bank deposit and withdrawal activity, CTR and counter-parties, to assess and critique the information provided prior to submission to the regulators. Also QC’d Financial Investigations unit and their subpoenas.

Ocean Bank, Miami, FL                                                                                 
AML/SAR Drafter
07/08- 08/08

Analyzing LookBack transactions, especially wires to and from Venezuela. Determined whether or not to draft SAR’s, Supplemental SAR’s or waive the case. Preformed QA investigations and identified illegal money centers in Venezuela for foreign currency exchanges and Correspondent Banks. Systems used were Prime, Jack Henry, E Vision, XPert AML, Metavante, Silverlake, Lotus Notes, MS Suite and Internet search engines.

BNY- Mellon Pittsburgh PA - Hedge Fund Remediation                           
04/08- 06/08 

We processed and reconciled Prime Broker accounts from their inception through their current activity for a system conversion. Systems used were a Global Prime, CMS, and Reconciliation Management System. These accounts were being scrubbed prior to conversion. 

North-Fork Bank/Capital One Bank, Melville, NY                                       
BSA Investigator
10/07- 04/08

BSA account reviews                                
Analyzing current and LookBack transactions, especially wires to and from high-risk country jurisdictions. Researching companies, conducting phone correspondence with branch managers to 
Obtain vital KYC/CIP (on boarding) information on the clients in question. Deciding upon validity of transactions, and the counter-parties to eventually close cases or draft SAR’s. Systems used were a proprietary alert tool, Lexis-Nexis, Homeland Tracker and Internet search engines.

Metropolitan Bank, New York, NY                                                                    
AML/CFT, KYC, BSA account reviews        
7/07- 9/07

Reviewing all Demand Drafts and wire transfers sent (CTR’S) from the bank headquarters in the Philippines to its New York branch. Analyzing and researching all companies involved in the transactions and determining whether to SAR or close the case.  Software used Lexis-Nexis, World Check, Prime, Gifts EDD and Internet search engines.

DPM-Mellon Somerset NJ - Hedge Fund Remediation                                
11/06-2/07 

Lead a team of consultants who investigated, researched and reconciled various trades including interest rate swaps, credit swaps, dividends and reconciled with the counter party or Prime Broker accounts from their inception through their current activity. We recommended action to be taken on the resolution of their NAV. These accounts were being scrubbed prior to conversion. 

DEUTSCHE BANK - AML /KYC/CFT– New York                                          
01/06-11/06

AML, BSA, KYC/CIP, CTR, CFT. Responsible for drafting SAR's and investigating and reporting suspicious money wire activities and demand deposits through Correspondent Banks. We investigated all entities and their counter-parties involved in these transactions. Systems used were case management tool, (CMT), Lexis-Nexis, Worldwide, Sales Force, and other web research sites. Review of each wire transfer or payment for potential fraud, money laundering patterns, and inconsistencies. 

Wachovia Securities                                                                                       
Consultant/Compliance
11/05-12/05

Act as liaison for Sarbanes-Oxley compliance, including preparing and maintaining list of key financial controls and supervising testing of those controls and certifications.

Wachovia/1st Clearing Corp.                                                                           
Lead Systems Trainer 
8/04-4/05   

We trained Sales assistants, Financial Advisor's, Trader's, and Operational Staff on Thomson's Smart Station and Beta Systems prior to a conversion and post conversion. We provided pre and post conversion trouble shooting for all Fixed Income and Equity products. 

Brown Brothers Harriman                                                                                
Senior Business Analyst
3/04-7/04

Worked in the systems unit to gather business requirements for a successful implementation of Stock Splits, dividends with and without due bills along with Corporate Spin-Offs for BBH's, Action World System. Set up test cases. Also assisted in the way these system's used this information to complete a Business System Design to further the implementation of those two actions. 

Citigroup – 111 Wall St N.Y. N.Y.                                                                          
Project Manager 
9/03-3/04

Worked with corporate trust, custody, non-custody and private banking reconciliation of Dividends, Fixed Income, P&I, Dir-Mortgage Backed, CMO's, Muni and Corporate Bonds. Settlement of all Government and Federal issues, Stock record, Corporate Actions (Voluntary and Mandatory processing of Tenders, Mergers, Warrant Exercises, Odd-lot offers, Rights offerings and submitting those elections to DTC and/or International Depositories), Derivatives and issued claims through their SEI Trust 3000 system. 
 
Equiserve - Jersey City, NJ / Canton, MA.                                                     
Project Manager of Corporate Actions, Domestic and ADR's                           
4/99-12/01

Managed multiple projects. Projects included hands on reconciliation of client's $65 Billion ADR Master Account (Citigroup), ESOP, ESPP, DRP, dividend reconciliation, post Conversion cleanup and Corporate Actions Dept.   Worked with Senior Management as a liaison to Citibank Corp to resolve client issues and strengthen the client relationship with my team as hands on manager. Tested and implemented the automation of CARS reconciliation system and process of Corporate Actions. I was an Interim Director for Corporate Action for four months as a consultant with 22 direct reports.  We also did a Mutual Funds conversion from Bank of Boston to Investors B &T.
 
Bank One/1st National Bank of Chicago                                                       
Project Manager, Global Corporate Trust
12/98 - 5/99

Managed a conversion team consisting of 12 direct reports & 190 indirect reports at 5 locations.  Created and managed a project plan, converted and consolidated tickler activities for FCNB, NBD and ANB.  Multiple systems were consolidated to the Account Control System.  
Equiserve – Jersey City, NJ / Canton, MA.                                                   
4/97 - 12/98 
Project Manager/Financial Analyst/ Stock Transfer and Corporate Reorganization

Developed a manual reconciliation process to balance the Pilot Program for DRS, (Direct Registration System) with DTC and the Stock Transfer System.  I recouped 13.5 million dollars of over-delivered securities.  Tested and implemented the automation of DTC reconciliation system and process. Reconciled and reconstructed Corporate Actions to recoup outstanding funds due Client Company in excess of $3.7 million. Reconciled and balanced a Post system conversion for Mutual Funds from AM Trust to SEI.   

Equiserve – Canton, MA.                                                                                 
Corporate Reorganization
1/96 - 4/97

I, Managed the operations of all the Baby Bell Odd lot buybacks. This included system testing and 20 processors and 30 mail clerks. I reconciled daily with DTC and Transfer Agent. Issued instructions for the successful delivery of securities to the street along with the calculated brokerage fees paid by DTC participants. Balanced and completed all projects on schedule.
  
Shawmut Bank/Fleet Bank                                                                               
Corporate Trust
4/96 - 9/96

Lead reconcilement team that ensured that Corporate Trust, DRIP, and Fixed Income were balanced and fully reconciled prior to converting from SEI Trust 3000 to AM Trust due to merger.  Reconciled all accounts post conversion.   
 
Financial Operations Group                                                                            
Project Manager/ Trust and Custody Relationship Manager/Client Relations
8/88 - 8/95

Developed and implemented the process to make 72,000 securities (Equities, Fixed Income, Baby bonds, Fractional shares and non-transferable securities) eligible for MSTC deposit in book entry. I interfaced with senior management at Smith Barney, Paine Webber and Merrill Lynch. I Increased MSTC monthly’s revenues by 600% and Trained client's staff.

Sanwa Bank, Domestic and International Desk

Reconciled and balanced multiple institutional trading accounts prior to start of NYSE trading.
The Boston Company, Treasury Department
I analyzed discrepancies in the general ledger. Identified, reconciled and recovered 2.2 million dollars from various trading errors.

The Bank of Boston, Mutual Funds, Corporate Trust, Fixed Income, DRIP, Stock Transfer, Tax Reporting and DTC
Evaluated, designed and staffed various projects including conversions and post conversions for Bond Master, SEI, AM Trust and other proprietary trust systems.

Swiss Bancorp                                                                                                  
Corporate Trust
4/88 - 8/88

I researched and reconciled aged FNMA, GNMA, CMO's and Fixed Income problems. I also processed daily transactions for dividends along with fixed income and variable rate accrued income instruments.
 
Bank of America                                                                                               
Corporate Trust
8/87 - 2/88

Reconciled the clearing of 30,000 trades on behalf of corresponding brokers, after post conversion discrepancies on the Master Net system and the ADP system.
 
1st Trust Company of St Paul MN                                                                 
Corporate Trust
12/86 - 8/87

Recovered 33 million dollars during post conversion clean up Equities, Fixed Income, and Derivatives.

Bankers Trust Company, Jersey City, NJ                                                      
Thrift Administrator
3/85 - 5/86

Processed all financial transactions for many 401(K) and ESOP Plans. Calculated monthly unit valuations.  Produced quarterly and annual reports utilizing the GTAS system.

International Fiduciary Trust Company                                                      
Operations Division Associate
12/82 - 3/85 

Coordinated research and reconciliation of DTC positions along with Federal Reserve Bank positions. 
 
Options Clearing Corporation                                                                              
Balancing Coordinator
10/81 - 12/82

Balanced option trades and generated next day reports to participating members.  Tested and implemented a same day delivery system. Verified corporate actions, for next day positions. 

Professional Affiliations
Securities Industry Association/Securities Operations Division
Cashier's Association of Wall Street Inc.
SIA Corporate Actions Division	

EDUCATION
California State University, Chico, CA, Major: Economics