Jay Anthony Damo Soriano

Jay Anthony D. Soriano Blk2 Lt15B Ph1 Madrid St. Vista Verde Executive Village Cainta, Rizal, Philippines 1900 Mobile No.: - E-mail Address:-CAREER OBJECTIVE To utilize my experience and my knowledge to benefit the organization. To identify and resolve operational and compliance issues arising during daily activities. Ensure the organization is following the set of regulatory standards in its operations and fix any deviations. AREAS OF EXPERTISE        Hedge Fund/Private Equity/Trusts/Reit/Crypto AML/CTF Accreditation/Onboarding Compliance Testing Know Your Customer/Customer Due Diligence Transaction Monitoring Suspicious Transaction/Covered Transaction Report        Regulatory Compliance Fraud and Complaints Compliance Training Consumer Protection Remittance Operation Signature/ID Verification Customer Service/Branch Operation WORK EXPERIENCE HC Global Fund Services – AML/KYC Analyst December 1, 2021 – Present - Reviews Subscription Documents/Contracts for various investment vehicles, including hedge funds, private equity, trusts, reit, crypto and others of Onshore (US) and Offshore (BVI and CYM) accounts. - Reviews KYC/AML supporting documents for accuracy and completeness. - Corresponds with clients and investors for missing subscription information. - Communicates with various teams, including fund administration and tax on various investor-related topics. - Performs sanctions, adverse media, pep screening, maintains and reviews OFAC search database, using World-Check. - Conduct wire verification of offshore accounts, and coordinate with various banks. - Performs redemption or withdrawals and conducts callbacks with investors. PayMaya Philippines Inc. - Senior Compliance Associate October 23, 2017 – October 11, 2020 - Develop, implement, and monitor the compliance program continuingly, taking appropriate steps to improve its effectiveness. - Monitor daily activities of accredited agents and tie-up partners to ensure their compliance with the laws and regulations, policies, and procedures. Conduct special investigations of such cases/complaints against them. - Oversee the accreditation, onboarding, delisting, change of business name, process as part of monthly/quarterly/annual reporting to the regulation. - Contribute as a subject matter expert for remittance processes, e-wallet features, and benefits, fraud cases, AML/CTF, KYC/CDD, compliance testing, consumer protection program. - Perform fraud analysis; check duplicate accounts; product abuse, and legitimacy of submitted required documents. - Implement the audit recommendations based on the cited findings. Monitor and follow through with the business units on the effectiveness of implementation. - Create and maintain documentation indicating issue tracking, escalation, and resolution. Via Philippines Travel Corporation - Remittance Supervisor December 1, 2016 – June 21, 2017 - Ensure the sound operational understanding and implementation of operational procedures are implemented. - Conduct compliance testing and training to sub-agents and team members. - Review sub-agent’s compliance program, observed deficiencies, prepare reports and make recommendations. - Serves as an active member in supporting the department’s growth and goals - Follow up on outstanding issues to other business units and recommendations. - Assist in reporting and registration of requirements to government regulators/authorities. Vantage Financial Corporation - Compliance Specialist May 25, 2015 – November 30, 2016 - Perform fraud and AML/CTF compliance training to branch and sub-agent - Conduct transaction monitoring analyzes data/trends, identify suspicious and unusual activity, prepare suspicious transaction reports/covered transactions report to regulation, and safekeeping of records. - Updates the compliance transaction monitoring program guide to include additional and applicable trends and patterns. - Complete fraud and AML/CTF cases investigation, handle and resolve complaints from customer/entity, conduct special audit/compliance testing depending on the compliance risk level of a branch/agents, verifications of documents, and close monitoring. - Reviews and evaluate operation practices following the policies, procedures, and regulations, which may expose the location or the company to risk. China Banking Corporation - Signature Verifier/Bookkeeper July 23, 2012 - February 14, 2014 - Supervise transactions of Tellers and Customer Relations Assistants - Verify the KYC/CDD process of customer relations assistants - Examine the authenticity of the client’s signature on documents such as, not limited to; withdrawal slips, remittances, checks encashments, checkbook requisition slips, letter of credits, fund transfer - Check, and validate ID submitted, required supporting documents. - Maintain and manage daily logs of the transaction and monitor safe keep checks in an organized manner. - Process the complete report of checks inward/outward clearing system - Implements internal control and other standard operating procedures related to signature verification and bookkeeping as set by the bank China Banking Corporation - Bank Teller September 1, 2008 - July 20, 2012 - Focus and demonstrate outstanding customer service, resolve customer concerns, and helped build customer loyalty. - Effective team member cross-selling bank products and services to customers at every opportunity to meet branch sales goals in regards to CASA accounts, loans, and insurance. - Mentor and coach new bank tellers on handling ATM and vault custodian, and ensure they are champion policy and procedure of branch operation - Knowledgeable of banking computer systems and various software programs (Kirchman Bankway System, Lotus Notes, Mosaic, and Finacle) EDUCATION 2004 – 2008 Centro Escolar University Bachelor of Science in Business Administration Major in Management 9 Mendiola St. San Miguel, Manila CHARACTER REFERENCE Available upon request DECLARATION I hereby declare that the above-said information is true and correct to the best of my knowledge and belief. Jay Anthony D. Soriano