ANTHONY EMILIO

348 Bay 10 St.

Brooklyn, N.Y. 11228 646-269-8047 (cell)
Email: BonCamin30@aol.com

Professional History

JP Morgan Chase: 4/22/ 200 9 - 10/23 2009- Senior Consultant

• Senior Consultant. KYC Analyst: Completed as much information as possible in reference to

the “Know Your Customer” process, through the review of previous (i.e. old) KYC forms
on file and validation/verification of existing information. Edited the data when necessary
while providing supporting documentation in the physical KYC file, including full
implementation of the CIP (Customer Identification Program) by utilizing internal and
external sources such as: Internet search including Entity’s own web site, Secretary of
States websites (Certificate of Registration, Certificate of Incorporation, Articles of
Association, IRS 990 form, Audited Financial statements, etc).
• The Customer Identification Process included a” mission statement”, company history,
directors names, contact information and address

• The process review for both individual and wholesale Institutional accounts included, search
of relevant news, suspicious, fraudulent, and/or/criminal activity engagement, via the
PCR/RDC tools (Preventive Crime Research and Regulatory Data Co).

Washington Mutual Bank: 2008 – 2008

• Work with a group of 25 senior consultants to implement and perform divisional

Surveillance’s function for AML (Anti Money Laundering) process review for both
individual and wholesale Institutional accounts. Direct experience working with various
AML surveillance systems, including: BSA Reporter, CMT, Search-space, Hogan and
other supporting analytical databases. Investigative process includes:
• Investigate and monitor customers' account’s activity, including tracing funding sources,
unauthorized trading, excessive trading, trace wires, etc. Prepare Investigative
narrative/report and recommend a SAR, No SAR action. Identify supporting
documentation for SAR filing.

Deutsche Bank (2004 – 2008)

Senior Consultant, Private Banking & Wealth Management Division

• Responsible for all phases of KYC (Know Your Customer) files remediation
process.
• Augment or otherwise enhance the relevant anti-money laundering data maintained in
 customer’s files; this data could be related to customer identification records, source of
wealth, anticipated account activity or any number of other topics.
• Identify missing, insufficient or stale dated documentation. Contact relationship
managers and
provide them with schedules of missing information and documentation for each of their
assigned clients.

• Work with a group of 5 to 10 senior consultants to implement and perform divisional

Surveillance’s function for AML (Anti Money Laundering) process review for both
individual and wholesale Institutional accounts. Direct experience working with various
AML surveillance systems, including: BSA Reporter, CMT and other supporting
analytical databases. Investigative process includes:
• Investigate and monitor customers' account’s activity, including tracing funding sources,
unauthorized trading, excessive trading, trace wires, equity security transfers, banking
and capital markets activities. Manage, track and immediately report suspicious activity
to RM's and liaise with compliance management team. Identify and prepare supporting
documentation for SAR filing.
• Work with project management team to develop and enhance existing processes to
include recommending account profile and risk tolerance changes as well as work to
develop a list of rules to better monitor the existing account base.

State Street Bank (2003 – 2004)

Manager (VP), Global Securities Lending Operations

• Conducted daily Trade Support and Product delivery management (Settlements, Loans,
Returns, Collateral maintenance, Corporate Actions events, Mark to Market, Third Party
Lending, Reconciliation, etc.), while coordinating with borrowers and clients
conversions/novations, from Deutsche Bank Book of business to State Street, including
securities and cash collateral transmissions' movement.

Deutsche Bank (1999 - 2003)

Manager (VP), Domestic
Securities Lending Operations

• Built a progressive career path, advancing to a position with responsibility for a team of 23
Operations specialists, including 4 unit managers.
• Responsibilities included: Trade Support, Settlements, Clients' Sales Process, Third Party
Lending Support, Proof & Reconciliation, Tech Support/Operation liaison. Institutional
clients’ Credit/Operational Risk review, mitigation and resolution, transactions
monitoring/investigation, Compliance review of all ad hoc (Not-straight through)
processing.
• Operations' Manager. Responsible for all aspects of the Domestic Product Delivery/Trade
Support unit, including: Settlements, Cash/Assets Collateral maintenance, Proof and Control
activities, Coordination with Custody Income and Corporate Action groups for the
 collection, update and reconciliation of related payments for both Government &
Corp/Equity products.
• Handled customer queries regarding claims, collateralization, coupon interest, etc., for both
Custody and Trust clients.
• Created a US Government and Corp/Equity Product Delivery team to support a $60 billion
Domestic loan volume outstanding,
• Designed internal Mark to Market (BSL/GSL) methodology. The new process
implementation resulted in staff reduction by 2 FTE's, and relevant decrease of the number
of cash differences.
• Re-engineered the Securities Lending core system to help eliminate duplicate entries. The
enhanced process largely reduced Lender's vs. Borrowers' discrepancies.
• Modified and enhanced the Corp/Equity Mark to Market process to satisfy the proper daily
collateralization levels.
• Designed and developed a new Corp/Equity Loan Return process to accommodate a 100%
increase in transactional volume.
• Prepared and developed a “gap analysis” report, Ops procedures & controls for the
NationsBank/Boatmen’s book of business conversion as well as for the Deutsche
Bank/Bankers Trust conversion.
• Acted as liaison between S/L Ops and Technology Support unit for all Trade Support related
Tech productivity initiatives.
• Acted as the unit's "Business Continuity Plan" coordinator, as well as the unit's Systems
Security Administrator
• Coordinated all clients' conversions/novations, from Deutsche Bank to State Street,
including securities and cash collateral transmissions' movement.

Bankers Trust Company (1970 – 1999)

Assistant Treasurer /Manager, Domestic Securities Lending Operations,
(U.S. Equities & Corporate).

• Managed Securities Lending Domestic Corporate Bonds & Equities' Operations.

• Established additional controls and facilitated workflow within several operational groups to
handle 150% increase in transactional volume.
• Designed and implemented operational procedures to facilitate growth of departmental
revenue, from $12MM in 1985 to $23MM in 1989.

Unit Supervisor
Supervisor, Domestic Securities Lending Operations (U.S. Equities & Corporate)

• Managed U.S. Corporate Bonds & Equities Operations' processing.

• Developed and implemented internal Product Delivery operating procedures.

Operations Specialist, Securities Administration Unit/Securities Lending Division

• Administrator for 25 domestic clients (banks) across the country. Managed administrative
and clerical functions. Supervised 12 staff members.

Operations Specialist, Securities Clearance Unit,

• Devised computerized commission charges and bond processing. Resolved customer queries
•

SKILLS/SYSTEMS
Microsoft Word, Excel, PowerPoint, Internet Explorer, BSL, GSL, POLARIS, AIMS,
Prime

LANGUAGES
Fluent in Italian, basic Spanish

AWARDS
Five time Excellence Award winner for extraordinary job performance
Entrepreneurial Award for designing and implementing cost saving initiatives

EDUCATION
Computer Programming Diploma - Albert Merrill School, New York, N.Y. 1974
Robert Morris Association Seminars, Roundtables on Securities Lending: New York,
Nashville, Boston, New Orleans, Boca Raton, etc.

Bankers Trust Company/DB Training Programs, New York, N.Y. Computer Skills;
Presentation Skills; Writing Skills

References available upon request