Anthony Abruzzo
- Role
- Senior Consultant Financial Services at Capco
- Location
- New York, NY, US
- LinkedIn followers
- 500 followers
About Anthony Abruzzo
A financial services professional with over 20 years of experience in various sectors of…
Experience
Senior Consultant Financial Services
Nov 2020 — Present
Project Manager with a team of 20 consultants assisting a multinational investment bank and financial services company in reviewing ultra high net worth high-risk clients for BSA/AML risk. Clients include, but are not limited to, Personal Holding Companies, Foreign Financial Institutions, and Politically Exposed Persons. Reviews are performed as part of an annual periodic review to update client profiles and ensure accuracy of KYC information and efficacy of documentation on file. Review client transactional data and assess alignment with expected activity and source of wealth narratives. Screen clients for potential negative news and OFAC ramifications and, when found, mitigate or escalate concerns as necessary. Project Manager for 2 US domestic banks responsible for a team of 4 Alert Clearing Analysts and performed QC/QA analysis of acknowledged alerts. Review escalated cases and file SAR\'s as applicable. Perform lookback SAR reviews and report the analyzed data with the client partners and stakeholders for potential remediations of inaccuracies found. Home Mortgage Disclosure Act (HMDA) reporting analyst and QC for several US banks. Captured and reported loan types, financials, demographics, spread ratios and other data points specific to HMDA guidelines.
Skills
- Investment Banking
- Dodd-Frank
- Prime Brokerage
- Sifma
- Capital Markets
- Equity Derivatives
- Customer Service
- Operations Management
- Nj Life and Anuuity Producer's License
- Customer Relations
- Ofac
- Project Planning
- Sis
- Nasdaq
- Anti Money Laundering
- Word
- Settlement
- Fixed Income
- Series 63
- Derivatives
- Client Onboarding
- Dtc
- Securities Regulation
- Finra
- Middle Office
- Process Improvement
- Series 7
- Problem Solving
- Equities
- Aml
- Powerpoint
- Risk Management
- Compliance
- Bonds
- Audit
- Customer Service Professional
- Operational Risk
- Trace
- Trading
- Microsoft Office
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