FINANCIAL SERVICES PROFESSIONAL WITH EXTENSIVE

INDUSTRY TRACK RECORD AND SKILLS

BARRY O'DONNELL ESQ.
444 EDGAR RD ELIZABETH, N.J. 07202
908-527-0213 910-795-8191( MOBILE)
bo506402@westpost.net

SUMMARY
Financial Services and Compliance Professional with extensive experience as a co
nsultant, executive and staff employee in banks and brokerage firms. As a AML co
mpliance consultant, I have been a project supervisor, team leader, analyst, and
investigator, and SAR writer while as a staff employee have been a compliance o
fficer at broker-dealers, branch manager and prior to my business career was an
IRS agent and attorney. I have a through knowledge of financial transactions, A
ML compliance, the BSA, a strong record of meeting regulatory deadlines from the
Federal Reserve, FINRA, SEC and the IRS. I know how to prepare and write report
s including Sirs in a clear, logical and detailed manner. I am an experienced us
er of transaction analysis software programs like NorKom, CMS, Searchspace, Micr
osoft Office applications like Excel and Word, internet research tools like Worl
d Check, the OFAC data base and Lexis-Nexis, and several case management systems
. While a team player with excellent communication and strong decision making sk
ills, I can work independently as well.

CAREER PROGRESSION

COMPLIANCE CONSULTANT POSITIONS 8/05 - 4//2010

Evoluz Consulting- Consultant/Analyst NY, NY (1/10-4/15/2010 )
Providing legal, financial planning, tax advice to clients of this firm includi
ng conducting KYC, AML
Investigations, reviewing trading activity for this Latin American
client based firm. This was consulting position performed on an as needed basis
during the tax filing season.
The Doyle Group (Northern Trust) OFAC Analyst/Investigations, Jersey City NJ ( 8
/09-10/09)
Analyst and investigator of OFAC/AML cases utilizing the Actimize alert system;
made recommendations as to disposition of funds; made SAR recommendations
American Express -Analyst (AML/Credit Card Fraud), NY, NY (10-08-12/08)
reviewed accounts and financial transactions of American Express credit card hol
ders; reviewed transactions for AML and KYC concerns; made SAR recommendations
Standard Chartered Bank- Analyst/ Team Leader/SAR Writer on AML/KYC-BAU, (4-08-8
/08)
Used NORKOM 6 Alert & Tracking System to identify, analyze, and report AML/KYC;
made recommendations as to case disposition including clearing and closing case,
recommending further review or making a SAR recommendations; revised SAR record
ing template.
Washington Mutual-AML/KYC Analyst/Investigator, Seattle, WA (8/08-10/08)
Analyst and investigator of financial transactions; trading activity utilized KP
MG case management system( an updated version of SearchSpace ; made recommendati
ons regarding entities and transaction that alerts were generated as to AML and
KYC issues; recommended and wrote SARs.
Leafstone Financial (UBS)-AML/KYC- Global Wealth Brokerage and Banking, NJ (3/08
-4/08)
Consulting analyst in money laundering prevention group; reviewed high network a
ccounts; analyzed investment transactions; all trading activity in equities and
options, reits etc; reviewed KYC information; reviewed and analyzed all trading
activity and all transactional data to insure compliance with all regulatory req
uirements. UBS used a variation of Searchspace which generated alert on account
activity. After analysis made recommendations as to disposition of case: clearan
ce, further review or SAR.
IPSA International (Dresdner Kleinwort)-Project Supervisor; AML Lookback, NY, NY
(4/07-1/08)
Utilized KPMG case management system for review and analysis of accounts and tra
nsactions that were generated by the alert system ; supervised sixteen analysts;
reviewed analysts' recommendations regarding case disposition including clearin
g ; reviewed and prepared SARs; acted as liaison with KPMG quality assurance tea
m and consultants and bank management.
Leafstone Financial (UBS) Analyst/Team Leader/Review Team/SAR Preparer, NY, NY (
4/06-3/07)
Analyzed and reviewed KPMG management system cases; wire transfers and trading a
ctivity reviewed analyses and recommendations of the AML/KYC teams; prepared and
wrote SARs for major AML Lookback Project
Standard Chartered Bank - Analyst-Team Leader, Case Manager, Jersey City, NJ(2/0
6-4/06)
Used NORKOM Alert & Tracking System to identify, analyze, and report AML/KYC iss
ues, alerts generated by system were then cleared or subject to further action i
ncluding writing of a SAR. As a team leader I analyzed reviewers' case recommend
ations. I provided BSA/AML training to new hires
AmSouth Bank-Consultant of AML/KYC/BAU/Look Back/SARs, Birmingham, AL (7/05-1/06
)
Analyzed and investigated high risk accounts and all trading activity in equitie
s, options, fixed income and utilizing SearchSpace; conducted AML/KYC investigat
ions; prepared reports and made recommendations as to case disposition

Staff Positions:
XCU CAPITAL, CARLSBAD, CA 7/04 - 6/05
V.P. of Compliance Credit Union- Broker Dealer
* Developed risk-based account and transaction monitoring leading to reduced fra
ud and regulatory exposure.
* Insuring firm in compliance with all NASD rules including Rules: 3012, 3013, a
nd 314 and state insurance regulations.
* Developed exception reports to monitor all representatives.
* Contracted with former NASD auditor to establish an independent auditing progr
am.
* Reviewed and approved all advertising.
* Enforcement of continuing education program for all employees and representati
ves.
* Worked with IT department to implement new trading alert system (Protegent) an
d created new exception reports to monitor and supervise all trading programs an
d account activity including equities, options. Fixed income and insurance produ
cts resulting with increased compliance to FINRA rules and regulations.
* Helped develop (design and implementation) of internal controls to insure comp
liance of all financial operations with industry standards and regulatory requir
ements.
* Reviewed and implemented the firm's AML program and Email Surveillance.
* Revised new account applications, and redesigned new disclosure policy and for
ms annuities.
* Reviewed and rewrote firm's written supervisory procedures.
* Reviewed and approved all option account applications and trades.
* These revisions all resulted in increasing compliance and a satisfactory FINRA
audit.
* Represented firm in arbitrations and mediations.
* Conducted audit of firm's 60 branches. Supervised 4 person staff.
* Board of Directors brought in new CEO)
J. P. TURNER & CO., LLC, JERSEY CITY, NJ 5/03 - 7/04
Compliance Officer
* Responsible for all branch compliance issues, including surveillance of 40 equ
ity brokers. reviewed all option accounts and trades.
* Enforced AML and KYC and OFAC program in branch.
* Filed SARs, prepared monthly management reports and provided compliance traini
ng to brokers.
M.A.C. SERVICES - NEW YORK, NY 1/02 - 5/03
Partner:
* Partner/Staff/Analyst for this Public Accounting and Financial Planning Firm.
Firm provided accounting, investment and tax
* Services to the Latin American and Irish American community in NYC. The firm e
xceeded the standards of the PCAOB
DATEK ONLINE BROKERAGE SERVICES -JERSEY CITY, NJ 9/99 - 1/02
Compliance Officer
Analyzed and responded to regulatory inquiries relating to the company's trading
and back office operations. Including options, equities, bonds and mutual funds
. Participated in the development of the firm's AML, KYC and overall compliance
program. Gave compliance, AML, and KYC training to employees.
Charles Schwab & Co. Compliance Officer/ Senior Registered Representive
As a compliance officer, I analyzed and drafted reports and responded to regulat
ory inquiries concerning sales practices and trade disputes. As audit coordinato
r, prepared local branchs for internal and NASD audits and investigations. As br
anch representative worked with clients to provide investment advice and financi
al planning. Placed trades in equities and options, bonds and other fixed income
products and mutual funds. Gave seminars on investing and mutual funds to prosp
ective clients.

PREVIOUS EXPERIENCE
Prudential Insurance, Newark, NJ (Contract Position) Attorney / Class Action
Insurance Fraud Litigation
Internal Revenue Service ~ Field Agent/Revenue Officer
EDUCATION
Rutgers University School of Law, Newark NJ - 1998, Juris Doctor
Oklahoma State University, Stillwater, OK - Graduate Study & Teaching Fellowshi
p Political Science.
Oklahoma State University @ Durant, OK - B. A. Political Science & B. A. Histor
y

TECHNICAL SKILLS
NORKOM, Actimize, Search Space, KPMG: CMS Alert Database, Mantas, Atchley, Host
/Hogan, Debtor Discovery ,Choicepoint Lexis-Nexis, Westlaw, Edgar, NASD Web CR
D, Lotus Notes, Microsoft Office Products: Word, Excel,
MEMBERSHIPS/LICENSURES
Association of Certified Anti-Money Specialists
National Society of Compliance Professionals (NSCP)
Securities Industry Association (SIA) NASD Series 7, 63, 24 (Expired)

~ Further career details, and exceptional references, are available on request

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