Kathleen Sheehan
Semora
Summary
Results-driven BSA Supervisor skilled in regulatory compliance, performance evaluation, and team leadership. Proven track record in transaction analysis and conflict resolution, fostering a productive work environment that enhances team performance. Reliable and trustworthy.
Overview
25
25
years of professional experience
Work History
BSA Supervisor
East West Bank
Houston
04.2021 - 02.2024
- Reviewed transactions for accuracy and adherence to regulations.
- Oversaw daily operations to ensure compliance with banking policies.
- Facilitated team meetings to discuss goals and operational improvements.
- Provided guidance and direction to subordinates regarding job duties and responsibilities.
- Managed team of 6-10 employees, ensuring high productivity and quality standards were met.
- Developed strategies to improve team performance and productivity.
- Addressed and resolved interpersonal conflicts within the team, maintaining a harmonious work environment.
- Maintained positive working relationship with fellow staff and management.
- Monitored employee productivity to provide constructive feedback and coaching.
- Complied with company policies, objectives and communication goals.
- Maintained accurate records of employee performance, attendance, leave requests, and disciplinary actions.
- Recruited, hired, trained, mentored, coached, evaluated, and terminated staff as necessary.
- Collaborated with other departments to coordinate workflow processes between teams.
- Conducted weekly meetings with team members to discuss upcoming tasks and project deadlines.
- Tracked progress on projects and provided timely feedback to staff members.
Sr QC BSA Analyst
East West Bank
Houston
08.2015 - 04.2021
- Completed day-to-day duties accurately and efficiently.
- Participated in meetings with managers to discuss progress and address any concerns regarding work.
- Ensured compliance with applicable regulations by providing feedback on changes needed within existing processes or procedures.
- Provided regulatory compliance training to employees.
- Maintained positive working relationship with fellow staff and management.
- Oversaw quality control to identify inconsistencies and errors in work.
KYC Analyst II
JPMorgan Chase
Houston
02.2014 - 08.2015
- Coordinated with internal teams to gather necessary information for investigations.
- Reviewed and updated KYC records to maintain regulatory compliance and accuracy.
- Identified and escalated suspicious activities to the appropriate compliance unit.
- Reviewed customer documents and information to ensure compliance with KYC regulations.
- Tracked regulatory changes related to AML and KYC requirements.
- Coordinated with internal departments to resolve discrepancies in customer data.
- Participated in regular training sessions to stay up-to-date on industry trends.
- Provided guidance to junior analysts during complex investigations.
BSA Analyst
Community Bank Systems Inc
Oneonta
11.2011 - 02.2014
- Work through monthly BSA report.
- Analyzing accounts for activity in violation of BSA regulations to include calling branch personnel for specifics on the questionable transaction.
- Writing violation reports as needed.
- Completing initial in depth reviews for High Risk customers.
Compliance Analyst
Wilber National Bank
Oneonta
09.1998 - 11.2011
- Analyzed compliance policies to ensure alignment with regulatory standards.
- Monitored internal controls to identify compliance risks and recommend improvements.
- Conducted audits of documentation to verify adherence to compliance regulations.
- Reviewed and updated compliance procedures based on current laws and regulations.
- Supported management in preparing reports for regulatory agencies and stakeholders.
- Maintained accurate records of compliance activities and audit findings for review.
- Reviewed and monitored compliance with applicable laws, regulations, and policies to ensure compliance with regulatory requirements.
- Maintained an up-to-date knowledge base of all relevant laws, regulations, guidelines, and industry standards.
- Reviewed company policies against best practices to better understand level of compliance.
- Pursued continuous learning opportunities regarding latest compliance and procedural changes.
- Monitored changes in legislation that could affect the organization's operations.
- Collaborated with various departments within the organization to develop effective solutions for ensuring ongoing compliance.
- Participated in meetings with external auditors regarding audit results related to compliance matters.
- Completed in-depth reviews of audit reports, client actions and monitoring activities.
- Performed periodic reviews of existing processes and procedures to identify areas of improvement in terms of compliance standards.
- Conducted research on laws, regulations, and industry trends related to the organization's operations.
- Drafted reports outlining findings from investigations into non-compliance incidents.
- Conducted detailed audits of internal systems and processes to ensure compliance with regulatory standards.
- Ensured effective communication of compliance policies and procedures throughout the organization.
- Analyzed data to identify potential areas of compliance risk and recommend improvements.
- Participated in industry forums and workshops to stay informed on compliance best practices and emerging trends.
- Coordinated internal compliance review and monitoring activities to ensure adherence to laws and regulations.
- Maintained detailed database of compliance data, activities and actions taken.
- Supported internal and external auditing teams conducting impartial compliance reviews.
Education
Associate of Applied Science - Paralegal Studies
Center For Advanced Legal Studies
Houston, TX02-2013
Skills
- Regulatory compliance
- Team leadership
- Performance evaluation
- Conflict resolution
- Transaction analysis
- Quality control
- Employee mentoring
- Problem solving
- Time management
- Workflow coordination
- Effective communication
Affiliations
- Volunteered to create tax returns for low income individual
- Volunteered with the local food banks
- Volunteered for local financial literacy in the elementary school
Veteran
- 12.9 years active duty in the United States Air Force maintaining a very high security clearance for the duration of my active duty. Conducted briefings and training.
Timeline
BSA Supervisor
East West Bank
04.2021 - 02.2024
Sr QC BSA Analyst
East West Bank
08.2015 - 04.2021
KYC Analyst II
JPMorgan Chase
02.2014 - 08.2015
BSA Analyst
Community Bank Systems Inc
11.2011 - 02.2014
Compliance Analyst
Wilber National Bank
09.1998 - 11.2011
Associate of Applied Science - Paralegal Studies
Center For Advanced Legal Studies
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