Ashley Gwyn
AML Investigator | Transaction Monitoring | Enterprise Financial Crimes Compliance | Quality Assurance
- Role
- Lead Institutional Investment Operations Specialist Wells Fargo Securities at Wells Fargo
- Location
- Charlotte, NC, US
- LinkedIn followers
- 500 followers
About Ashley Gwyn
Dynamic and highly dedicated quality control analyst with 10 years of experience in…
Experience
Lead Institutional Investment Operations Specialist Wells Fargo Securities
Apr 2016 — Present · Charlotte, NC, US
Assists with the implementation and maintenance of WFS risk-based compliance program to ensure adherence to relevant regulatory requirements, and corporate policies.Performs QC for new customers onboarded by WFS CDD Onboarding Team (BAU).Manage approval timing of our Accelerated Account Opening (AAO) Onboarding Population.Compile various risk-based analyses and control reports (Metrics, Aging Tasks Report).Compile deck for weekly CIB CDD governance meeting with upper management, financial crimes partners, and various stakeholders.Act in an advisory role, completing initial review of any customers to determine if further escalation to Financial Crimes team is required for EDD, High HRAs, PEP, FinCEN exceptions; and/or approvals or reviews of other complex accounts/relationships or documentation.Assists with RCSA testing and walkthroughs for QC function/procedures.Participates in Beneficial Ownership Working Group as WFS representative to stay abreast of upcoming changes, if any, to corporate FinCEN policies. Spearheaded DEI team newsletter initiative August 2020; distributed quarterly.Helps team members find commonalities & similarities that might establish unrealized and/or unexpected connections with one another.Trained alongside the Financial Crimes Risk Management QC analysts in London, Nov \'18 - Dec \'18, to become proficient in AML/KYC specific to EMEA region (Onboarding & Periodic Review)- Trained ~ 10 KYC analysts on Wholesale CDD Standards, procedures, & systems- Brought 100% of QC process back to US for our WFS US team to own.
Education
The University of North Carolina at Chapel Hill
Bachelor of Arts - BA, Psychology
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