Application- Vincent, David Resume 1-2015 David Vincent
1130 Seminole Road ( Atlantic Beach, FL 32233 ( (904) 422-3423 ( dvin711@yahoo.com
Areas of Expertise
Regulatory Compliance
Project Management
FinCen SAR Requirements
Business
Development
Anti-Money Laundering Practices
Financial Investigations
Operational Risk Mitigation
Relationship Management
Six Sigma Methodology
Education
Bachelor of Business Administration
– Finance University of Central Florida – Orlando, FL
Affiliations
City of Atlantic Beach, FL Charter Review Committee Member (04/2014 – 02/2015)
FINRA – Series 7 & 66 (01/2004 – 04/2014)
Beaches
Local Food Network – Board Member
Men’s Garden Club of Jacksonville
Boy Scouts of America – Pack 37
Professional Experience
CIT Group, Inc. – Jacksonville, Florida 2014 – Present
Global
Compliance
Analyst – Financial Intelligence Unit (April 2014-Present)
Assist with implementing and improving an effective Anti-Money Laundering program ultimately enabling CIT to become
a Systemically Important Financial Institution as defined by the Federal Government. Develop and implement processes and policies which adhere to the requirements of the USA PATRIOT
Act and the Bank Secrecy Act with the goal of maintaining satisfactory regulatory reviews and allowing the Firm to continue it’s significant pace of growth enterprise wide.
Bank of
America Merrill Lynch – Jacksonville, Florida 2003 – 2014
Global Wealth and Investment Management
Financial Advisor – Practice Management Development Program (February 2013-April
2014)
Worked with mentors and managers to develop a pipeline of affluent clients, identify client needs, develop relationships with existing and prospective clients, review investment
goals, prepare investment recommendations that align with client goals, and develop the business management skills needed to operate an optimal practice model.
Investment Solutions
– Client Onboarding Services
Operations Team Manager – Money Manager Services (January 2012-February 2013)
Responsible for ensuring the Service and Operations teams consistently provide
world-class service to 200 institutional money manager clients with more than $18 Billion in assets under management resulting in over $25 million in annual revenue to the Firm. Successfully
migrated the entire business to Jacksonville including facilitating the recruiting and training of eleven service and four operations representatives. Led a Six Sigma project team to
reduce the number of manual trades processed by the Mutual Fund Trading Desk at Merrill Lynch.
Financial Data Services, Inc
Senior Operations Analyst – UK Transfer Agency Dealing Team
(September 2009-January 2012)
Responsible for the UK equity trading desk. Created and enforced internal controls while maintaining trading and custodial relationships with offshore partners
representing more than £30 Billion in assets under management.
Specialist – Money Market Trading Desk (June 2008-September 2009)
Managed the daily functions of the Money Market Services
team. Designed, implemented and managed a manual process to support the rollout of a new feature of the Merrill Lynch Bank Deposit Program® allowing the team to enroll over $25 Billion
in the program within the first six months.
Analyst – Mutual Fund Trading Desk (October 2005-June 2008)
Responsible for ensuring accurate and timely execution of more than 240 million automated mutual fund trades and corrections
per year.
Merrill Lynch Insurance Group Services
Analyst – Annuity Claims and Financial Processing Team (March 2003-October 2005)
Verified and paid beneficiary claims associated with
the Firm’s proprietary annuities. Obtained Series 7 and Series 66 licenses. Completed the Merrill Lynch Six Sigma Apprentice Program.