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Dawn Asbury CAMS
Information Security Consiltant
Cleveland, OH, United States
Details
Experience:
Information Governance for Hard Copy Records. Works as a Third-Party Engagement Manager for Key's hard copy storage vendor. Assists on electronic storage data projects.
2020 : Present
KeyBank
Information Security Consultant
Review regulatory requirements, international watch list, specially designated nationals list.
Participates in the review of Key OFAC policy, risk reviews and self- testing
Manage and review of blocked accounts and customer notification of blocked or rejected items
Responsible for high country analysis, BIRA review and assessment of filtering systems and vendors.
Conduct OFAC screening analysis on new relationships, existing relationships, transactions including wire transfers, international Automated clearing house (ACH), letters of credit, and documentary collection.
Manages the OFAC questions and assistance mailbox, OFAC reporting and communication and metrics reporting
Participates in merger integration and administrative support
Writes and reviews department level processing procedures
1995 :
KeyBank
OFAC Analyst
Team Leader – Financial Intelligence Unit
Review data received from vendor filters and customers to screen clients for Patriot 326, OFAC, Req O, Req W, Hotfiles and fraud cases
Interact with internal and external clients to obtain missing information and documentary evidence required to reasonably identify the client
Analyze documentary evidence received to determine authenticity and adequacy
Ensure reporting timeline are met, ensure the accuracy of government reporting
Manages the daily operations of the Customer Identification Unit
Serve as backup to direct manager and primary contact for applicable regulations, working closely with the CIU management and Corporate Compliance to ensure risks are sufficiently mitigated
Ensure staff follows procedures and meets service level agreements to minimize expose for potential losses.
Perform daily random audits of staff work to ensure procedures and service levels are being followed.
Provide leadership and empower staff to continuously review and suggest changes to enhance productivity and streamline procedures
Acts as the primary liaison between CIU and the Lines of Business to proactively identity and address issues.
Team Lead/Supervisor -ATM Accounting
Promoted to Team Lead in 2010, Manage a staff of 9 associates, Serve as backup to direct manager
Establish work flow assignments a sound and productive work environment.
Responsible for developing, coaching, evaluating and motivating staff by conducting one on one meetings and annual reviews
Conduct and facilitate staff meetings
Understand ATM rules and regulations to protect the bank against losses
Provide and participate training to current and new associates
Submitted and implemented a number of Continuous Improvements resulting in Risk Mitigation, Service Level Improvements, Quality Improvements, and Cost Savings
Maintain up to date knowledge of departmental guidelines and corporate policies and procedures regarding compliance and privacy
2012 : 2015
KeyBank
Team Lead multiple roles
Provide daily Cash, Stamp and Deposit balancing
Perform research , analysis and resolution of settlement exceptions in a timely manner
Accurately assess customer disputes, post financial transactions to assigned accounts
Work with Lines of Business on exception resolution and help identify root cause of issue
Contribute to process improvement projects and initiatives
Maintain working knowledge of various systems but not limited to Hogan, View Direct, KAPS, CDW, AWS – Star Station, ADH, Gasper and Microsoft Office
Effectively interacts with third party vendors such as Brinks and Loomis and Key Centers to resolve cash out-of –balance items
Supervisor – CIX Maintenance
Manage a staff of 10-15 associates responsible for Debit Card Operations and Private Banking Maintenance
Successfully found creative ways to retain low stress levels and promote positive attitudes.
Conduct and facilitate staff meetings
Ensure adequate quality control practices are followed
Lead transition of in-house merger
Develop plans to optimize department processes and procedures
Ensure all Service Level Agreements are met
Developed professional working relationships with the Line of Business
Consistently provided Continuous Improvement ideas which were implemented
Continually met and exceeded management expectations
2006 : 2010
KeyBank
Accounting Specialist & Supervisor
Analyst II – Internal Process Control
Performed and analyzed account reconciliations
Ensured accurate and timely reporting to respective departments
Reconciliation include, but not limited to General ledger accounts, DDA accounts, box locations, and depositories
Analyzed reconciling items to ensure resolution timely resolution
Cross – trained to be able to back up all functions within the department
Specialist IV – Judgment Processing
Maintained and processed all specialty orders, Temporary Restraining Orders, Summons to Trustees, Seizure Warrants, levies and garnishments with a high decree of accuracy.
Assisted management with department projects
Maintained excellent communication skills when communication with various levels of internal and external clients, including government agencies, attorneys, courts, and Key Lines of Business
Strong written and verbal communication
Continually met and exceeded management expectations
Promoted and coordinated numerous department morale boosting events including an Employee Incentive Program
2006 : 2008
KeyBank
Analyst II – Internal Process Control & Specialist IV – Judgment Processing,
2020 : Present
KeyBank
Information Security Consultant
Review regulatory requirements, international watch list, specially designated nationals list.
Participates in the review of Key OFAC policy, risk reviews and self- testing
Manage and review of blocked accounts and customer notification of blocked or rejected items
Responsible for high country analysis, BIRA review and assessment of filtering systems and vendors.
Conduct OFAC screening analysis on new relationships, existing relationships, transactions including wire transfers, international Automated clearing house (ACH), letters of credit, and documentary collection.
Manages the OFAC questions and assistance mailbox, OFAC reporting and communication and metrics reporting
Participates in merger integration and administrative support
Writes and reviews department level processing procedures
1995 :
KeyBank
OFAC Analyst
Team Leader – Financial Intelligence Unit
Review data received from vendor filters and customers to screen clients for Patriot 326, OFAC, Req O, Req W, Hotfiles and fraud cases
Interact with internal and external clients to obtain missing information and documentary evidence required to reasonably identify the client
Analyze documentary evidence received to determine authenticity and adequacy
Ensure reporting timeline are met, ensure the accuracy of government reporting
Manages the daily operations of the Customer Identification Unit
Serve as backup to direct manager and primary contact for applicable regulations, working closely with the CIU management and Corporate Compliance to ensure risks are sufficiently mitigated
Ensure staff follows procedures and meets service level agreements to minimize expose for potential losses.
Perform daily random audits of staff work to ensure procedures and service levels are being followed.
Provide leadership and empower staff to continuously review and suggest changes to enhance productivity and streamline procedures
Acts as the primary liaison between CIU and the Lines of Business to proactively identity and address issues.
Team Lead/Supervisor -ATM Accounting
Promoted to Team Lead in 2010, Manage a staff of 9 associates, Serve as backup to direct manager
Establish work flow assignments a sound and productive work environment.
Responsible for developing, coaching, evaluating and motivating staff by conducting one on one meetings and annual reviews
Conduct and facilitate staff meetings
Understand ATM rules and regulations to protect the bank against losses
Provide and participate training to current and new associates
Submitted and implemented a number of Continuous Improvements resulting in Risk Mitigation, Service Level Improvements, Quality Improvements, and Cost Savings
Maintain up to date knowledge of departmental guidelines and corporate policies and procedures regarding compliance and privacy
2012 : 2015
KeyBank
Team Lead multiple roles
Provide daily Cash, Stamp and Deposit balancing
Perform research , analysis and resolution of settlement exceptions in a timely manner
Accurately assess customer disputes, post financial transactions to assigned accounts
Work with Lines of Business on exception resolution and help identify root cause of issue
Contribute to process improvement projects and initiatives
Maintain working knowledge of various systems but not limited to Hogan, View Direct, KAPS, CDW, AWS – Star Station, ADH, Gasper and Microsoft Office
Effectively interacts with third party vendors such as Brinks and Loomis and Key Centers to resolve cash out-of –balance items
Supervisor – CIX Maintenance
Manage a staff of 10-15 associates responsible for Debit Card Operations and Private Banking Maintenance
Successfully found creative ways to retain low stress levels and promote positive attitudes.
Conduct and facilitate staff meetings
Ensure adequate quality control practices are followed
Lead transition of in-house merger
Develop plans to optimize department processes and procedures
Ensure all Service Level Agreements are met
Developed professional working relationships with the Line of Business
Consistently provided Continuous Improvement ideas which were implemented
Continually met and exceeded management expectations
2006 : 2010
KeyBank
Accounting Specialist & Supervisor
Analyst II – Internal Process Control
Performed and analyzed account reconciliations
Ensured accurate and timely reporting to respective departments
Reconciliation include, but not limited to General ledger accounts, DDA accounts, box locations, and depositories
Analyzed reconciling items to ensure resolution timely resolution
Cross – trained to be able to back up all functions within the department
Specialist IV – Judgment Processing
Maintained and processed all specialty orders, Temporary Restraining Orders, Summons to Trustees, Seizure Warrants, levies and garnishments with a high decree of accuracy.
Assisted management with department projects
Maintained excellent communication skills when communication with various levels of internal and external clients, including government agencies, attorneys, courts, and Key Lines of Business
Strong written and verbal communication
Continually met and exceeded management expectations
Promoted and coordinated numerous department morale boosting events including an Employee Incentive Program
2006 : 2008
KeyBank
Analyst II – Internal Process Control & Specialist IV – Judgment Processing,
Company:
KeyBank
Spoken Language:
English
About
I have twenty plus years in the financial service industry which includes two years in AML as an OFAC Analyst and seven years as a Supervisor/Team Lead. My personal traits include dependability, accountability, dedication, teamwork, and attention to detail
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