Jamila Serrant

• Uphold FINRA regulations by inputting, analyzing & mitigating 30 complaints daily.
• Review employees emails via E-review/Compliance Manager with 100% accuracy rate.
• Conducted EDD on high-risk clients.
• Proven expertise in blockchain analytics and KYC processes.
• Investigate complex financial crimes, increasing high-quality SAR filings by 25%.
• Reduced transaction anomalies by 20%.
• Conducted thorough due diligence on customers to assess risk levels. 100% accuracy rate with evaluating client profiles to determine their risk category.

• Identify risk trends. Report loss data (PNL), RCSA, scenario analysis.
• Issue evaluation & Ops Risk Metrics and Risk identifiers.
• Monitor & analyze operational risk trends with 100% accuracy rate.
• Perform training to business units per Operational Risk key risk indicators.
• Enhanced risk algorithms boosting detection rate.
• Identify and manage improvement projects & key risk indicator.
• Ensure client data is up to date and correct per policy guidelines.
• Collaborated with regulatory bodies for policy updates.
• Specialize in securities-based lending (SBLCs)/GAP processes & metrics.

Increase revenue via new business by 20%.

• Identify budget delinquencies.
• Developed strategic responses for potential financial discrepancies.
• Serve as a liaison between operating units to resolve day-to-day administrative, risk and audit escalations.
• Assist head of administrative staff to ensure state compliance requirements are met & Manage internal Auditing Projects.
• Diligently manage quality assurance and vendor credit issues.

• BSA and FINRA Policy & Procedure: Perform financial analysis for cross-segments of PWM.
• Perform Business Continuity Management & Disaster Recovery for the United States region with 100% accuracy.
• Reduced positives by 25% in report reviews.
• Manage employees across Business Divisions within PWM.
• Provide/track monetary approvals for financial transactions with a 15% improvement.
• Executed regulatory reports with 98% accuracy.
• Monitor Information Technology (IT) desk.
• Enhanced emergency reporting strategies by 20% in one year.
• Manage internal Auditing Projects (Including KYC Remedial Project), Enterprise Data Management & Reference Data.

• Oversee structure finance trades, derivatives and complex derivatives structured products, UCC searches and analysis.
• Perform credit risk for alternative funds reducing time by 30%.
• 100% accuracy assessing risk as it applies to credit worthiness.
• Perform financial modeling and enterprise valuation to assess debt overall capital structure.
• Develop compliance framework.
• Project Assignment: Required to develop, maintain and implement policies and procedures to ensure compliance with l940 Act (Hedge Funds).
• Ensured 100%accuracy with internal Audit review.
• Review business required marketing materials & financial reports for departmental approvals with 100% accuracy.

• Forecast and monitor market trend with 30% improvement.
• Perform new business loss for forecasting & tracking to reduce the unit’s delinquency and created 20% false positive reduction.
• Perform credit and financial statement analysis.
• Identify and address credit risk deterioration and work with Institutional Recovery Management/IT to remedy findings.
• Monitor financials, covenants, collateral and insurance requirements as well as obtain waiver approvals.
• Responsible for Operational Risk Management (AML, KYC, MIS & Fraud Investigation).
• Tracked and maintained external on-line database on a daily basis.
• MIS and Pipeline support/Marketing & Sales Marketing Review and escalation process with 30% improvement rating.

• Provide Administrative & Technical support for Trust Officers with 15% improvement rating.
• Chosen to perform special project derivatives.
• Performed underwriting ad-hoc reporting, calculations to meet SLA standards & prepare new income forecasts for Executive meetings with 20% improvement.
• Liaison with internal and external parties relevant to Trust deliverables.
• Minimize tax liability by 15%.