Mark S. DeVaughn | 302-354-1909 devmsd3@yahoo.com

PROFESSIONAL PROFILE Enthusiastic professional with a BA in Criminal Justice and over 10 years of experience in the

financial industry both private and public sector Possess strong written and oral communication skills working well individually or in a

collaborative setting Adept at researching and processing data for comparative analysis Self-starter with a high degree of integrity and a proven track record of excellent customer

services Familiarity with government regulations pertaining to AML including (BSA, KYC, OFAC, and

USA Patriot Act)

Skills/ToolsWorld Check, Halo, SAR writing (Lookback), BSA/AML compliance, SAR Writing, BSA, EDD, BSA, Patriot Act, 314(a)/314(b) recommendations, PEP regulations, BSSU inquiries, Client Onboarding, Triage escalated cases, Wires, Actimize, QuickScreens, Citismart Mainframe, Citiscreens, Eclipse, Lexis Nexis, SAR Database, FDR/Rumba, Attachmate Mainefraime, IBM Cognos, Conflict Management, ERP systems, CRM systems, KYC, Public Speaking, Future Planning, SharePoint, AML review and management, offshore, Communicator, MS Office (Word, Access, Excel (V-lookup H-lookup), PowerPoint, Eagle, Class, Class-ED, Artiva, CARES, Experian, Accurint, FNI, , Dunn and Bradstreet, Marketing, Telemarketing, Credit & Risk Analysis, Low & Mid-level Fraud Clearance, Skip Tracing, Filemaker Pro, Mainframe, OnDemand, NCIS, Bank Statement Viewer, Reviewing High Risk accounts especially pertaining to cash intensive businesses, Large Reportable Transactions, Wires, HRG and structuring, Ensuring CTR filing requirement, File Explorer.

PROFESSIONAL EXPERIENCEK2 Intelligence (Green Key Resourcing) Manhattan, NY Senior AML Investigator (Consulting) June 2015 to Present

Promote alerts to cases that may require drafting of Suspicious Activity Reports in compliance with established regulatory guidelines and time frames

Conducted data gathering activities including document review and supervision and quality control of data entry activities

Perform various duties that include, but are not limited to, transaction look backs, KYC file remediation projects, AML gap assessments, AML compliance monitoring, customer identification programs and AML training and the review and preparation of SARs.

Prepare client communications and reviewed with senior level management

Huntington Bank (Contractor) Columbus, OH Senior AML Compliance Analyst May 15 - Jun 15

AML compliance monitoring, customer identification programs and AML training and the review and preparation of SARs.

Managed caseload of investigations, performed analysis, followed up and worked cases from beginning to completion

Collect and examine financial statements and documents to assist in identifying unusual transaction patterns. Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.

Managed caseload of investigations, performed analysis, followed up and worked cases from beginning to completion according to bank AML procedures and policies. Investigations were generated from sources which include: MANTAS system generated alerts, Branch Referrals, 1st Level reviewer escalations, Senior Management escalations, Government sources (e.g. Subpoenas, 314 (a), Client-On boarding and Maintenance and Transaction monitoring referrals.

Documented and reported investigation findings and prepared case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc). Responsible for communicating with internal and external entities, members of the sales team and other Citigroup AML monitoring units.

KPMG (Mastech contractor) Philadelphia PAAML Senior Transaction Monitoring Look-back Analyst Feb 2015 - Mar 2015

Assist a variety of financial institutions in addressing Bank Secrecy Act (BSA), Anti-Money Laundering (AML), and sanctions compliance matters

Provide support for financial services or AML compliance initiatives at the direction of the national AML industry leader or leadership team

Maintain an awareness of current market place issues and stay up-to-date with emerging regulatory requirements and guidance

Support senior associates and managers in the execution of engagements, continually delivering high quality work, and assist in preparing accurate and timely invoices for clients

Assist in the development of reports, training materials, policy and procedural documents and create and maintain high quality engagement work papers

Interact with clients in order to develop and maintain positive working relationships

Citigroup (Advantage xPO) New Castle, DE Senior Compliance AML Investigator (Consultant) Sep 2014 - Nov 2014

Document and report the investigation findings and prepare case files for review (e.g. media search results, copies of statements/checks, results from internal system searches etc.)

Responsible for communicating with internal and external entities, members of the sales team and other Citigroup AML monitoring units.

Collect and examine financial statements and documents to assist in identifying unusual transaction patterns.

Conduct research over available Bank systems, the Internet and Databases consistent with the resolution of investigations.

Write and file Suspicious Activity Reports (SAR) and recommend relationship retention or termination; track account closures as required.

Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues.

Document all research and analysis conducted in the Case Management System. Follow-up with additional Point(s) of Contact (POC) as needed to identify additional information in support of the case.

Liaise with other FIU units, Advisory, Business Compliance teams, CSIS, FIU Legal, GIU, and Law Enforcement.

Conduct Cross Sector reviews among multiple Citi business lines. Triage cases and identify items appropriate for Senior Management escalation.

May provide direction to more junior staff.

JPMorgan Chase & CO       Newark, DE AML Compliance Analyst    Mar 14 –Aug 14

Perform daily customer account reviews to identify potentially suspicious activity Completely and accurately document steps taken through the investigation process Filter Branch referrals to identify prospective ML/TF activity  Work with internal groups to ensure consistent understanding of ALM requirements  Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as

broader functional `knowledge Compile all information for Suspicious Activity Reports (SAR) filing Promote alerts to cases that may require drafting of Suspicious Activity Reports in compliance

with established regulatory guidelines and time frames Effectively obtain information and assistance from appropriate law enforcement agencies, peer

banks, and other external groups on AML issues and cases

Self- Employed Day Trading- Forex Jan 13- Jan 14

Technical and Fundamental analysis for risk management in Foreign Exchange Market Evaluate historical data charts to determine key entry and exit strategies Utilize technical tools including: Bollinger bands, MACD, RSI, SMA, EMA and Japanese

Candle sticks

Visalus Director –Network Marketing Feb 12-Oct 12

Social networking–developed leads for potential sales and team recruitment utilizing Facebook, developed relationships for referral base through local businesses

Managed direct sales promoting health and physical benefits Conducted group presentations informing clients of products and services

Sallie Mae/Department of Education Newark, DE Claims Aversion Charge-Off/Private Late Age Collector Jan 10-Jan 12

Contact and counsel customers on the various repayment options and the benefits of making payment on their loan to prevent

Secure a commitment from customers to resolve the existing delinquencies and ensure future timely payments to protect corporate assets.

Maintain an in-depth understanding of student loans and servicing processes. This includes understanding the rules and regulations pertaining to student loan servicing.

Make system updates accurately. Record comments clearly, succinctly and professionally. Retain a performance rating of 90% of the department average of dollars resolved per hour,

every month

PA Treatment & Healing Williamsport, PA Alternative Education Program Teacher’s Aide Nov 08- Dec 09

Assisted in juvenile probation weekend wilderness program Taught electives and assisted in facilitating a safe learning environment for At-risk-youth Provided mentoring, tutoring, conflict resolution and daily supervision as needed

Universal Systems Technology Solutions Dumfries, VA/ Okinawa, Japan Senior Systems Analyst Sep 05-Aug 06

Conducted corporate compliance trainings to Overseas’ employees ensuring their comprehension of federal regulations.

Beta tested USMC’s paperless invoicing system Team lead on Paperless Invoicing Implementation Team Conducted executive presentations to all staff & personnel for client sites: Lead instructor for computer base training sessions for all new and active users Analyzed active business practices for problem identification, software specification,

documentation, testing, client training and solution deployment in accordance with DoD, OFAC, CTR and BSA policies standards

US Marine Corps Quantico, VA Sr. Financial Management Analyst Jul 01-Jul 05

Prepared financial progress reports and statistics to identify/prevent fraud, waste and abuse of resources: including Government Purchases Cards program and Nextel Blackberry account

Maintains internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators

Executed all duties pertaining to maintenance, monitoring, reconciliation and preparation of official accounting records(general ledger control, related cost accounting, & oversight monitoring duties)

Compiled financial data and estimates for budget formulation Analyzed variances between the budget plan and actual budget execution through source

documentation review Recorded financial data to support budget execution and program analysis

EDUCATION

Lycoming College Williamsport, PA Jan 06B.S., Criminal Justice

Strayer University Online Jun 05Diploma Network Security