Esther Balassiano

Miami 33131 Phone: (617) 669 -1469 Email: Ebalassiano11@gmail.com

LinkedIn: www.linkedin.com/in/EstherBalassiano

Professional Summary:
Highly qualified risk, compliance, quality assurance and control professional with 8+ years of direct
financial services experience. Expertise includes alternative investments, mutual funds, insurance; business
operations experience and wealth management services including individuals, trusts, and correspondence
review according to Federal regulatory guidelines.

SKILLS
Professional Skills: Axentis, Prime, KYC Platform, LexisNexis RiskWise, Worldcheck, NAO tool, E-tool,
Citrix, Thomson Municipal Market Monitor (TM3), Multi-Currency Horizon (MCH) and Macro.
Language Skills: Fluent in English, Arabic, and French.

EXPERIENCE
STATE STREET CORPORATION
Compliance Quality Assurance & Control Officer

Boston, MA
10/2011-Present

Perform Quality Assurance (QA) reviews for all compliance related issues in the company. Track the
issues and execute due diligence functions to ensure compliance with all Federal Regulations.
Examine existing policies and procedures to ensure that quality assurance are measured.
Coordinate meeting with different department to evaluate the design of QA processes. Ensure the
processes are designed effectively and successfully.
Review all associated policies, procedures and the QA Manual for accuracy and completeness on an
annual basis.

Senior Risk &Compliance Oversight

Developed strong working relationships with all Business Unit Managers, Business Unit Team
members, PMO and AML Compliance Team to facilitate discrepancies.
Supported compliance and provide guidance to staff to ensure routine problem solving and issues
resolution is resolved timely and appropriately documented.
Performed ongoing AML Account/Client Oversight by working collaboratively with the business unit
to ensure that outgoing communications are meeting regulatory requirements.
Coordinated ongoing AML risk reviews with the compliance team on pending cases, requirements, and
complex accounts.
Specialized in assisting, directing and training the business unit to utilize the KYC platform. Ensured
all requirements and questions are responded to before being submitted to the compliance team in
order to eliminate the back & forth involved with pending cases, prioritization and remediation
requests.
Educated the Business Unit on the new regulatory requirements performed on new accounts.
Communicated issues and resolutions to the AML officer. Provided open labs to assist with all
questions. Monitored the performance of business units, proposed improvements and assisted them in
meeting target dates.

AML Compliance Oversight Manager

Managed the oversight team of the AML first line of defense, the processer and the client, ensured all
reconciliation processing is performed in accordance with the procedure.
Monitored the process handled by the processer team and ensuring all reconciliation processing is
performed in accordance with the procedure.
Acted as key AML first line of defense for client/account on-boarding by verifying the appropriateness
and completeness of KYC/CIP documentation for new accounts.
Performed PEP/Sanction Screening and track/resolve any cases that arise as a result of these screens.
Tracked any Suspicious Activity Monitoring and ensure timely resolution.
Supervised the review of new high-risk accounts & escalation memos, and verified all documentation
is in place.

Information Classification: Limited Access

SAMET & COMPANY, P.C.

Tax Accountant

Chestnut Hill, MA
1/2011-10/2011

Analyzed financial statements of client corporations and major transactions that occurred during the
year to provide assurances that the information is properly reported to IRS.
Prepared individual, C. Corporation, S. Corporation and Partnership return (Form 1065).
Consolidated bookkeeping entries and journal entries to adjust the general ledger.
Managed Accounts Payable function including entering bills and deposits to QuickBooks.

THOMSON REUTERS
Research Analyst

Boston, MA
12/2009 - 1/2011

Worked closely with brokers to facilitate discrepancy tracking to ensure data integrity.
Researched bond credit ratings and customized municipal bond market data reports for clients.
Managed monthly factor checks.

BROWN BROTHERS HARRIMAN & CO.

Financial Reporting Analyst

Boston, MA
5/2006 8/2009

Prepared and reviewed the accuracy of quarterly, semi-annual, and annual financial reports of mutual
funds, utilizing time management skills to complete them within strict deadlines.
Participated in the preparation of budget and forecast reports in accordance with client-specified
criteria.
Specialized in the preparation of monthly mutual fund expense worksheets.
Managed audit requests and supplied documentation to auditors to verify financial data.

Client Services Representative

Acted as a dedicated resource to meet mutual fund groups day-to-day investment management needs.
Responded to client inquiries and assisted in resolving all issues that arose in order to meet and exceed
world-class standards of operational excellence.
Evaluated and verified the validity of transactions and price movements that impact MF Net Asset
Value.

EDUCATION
NORTHEASTERN UNIVERSITY
B.S., Business Administration with a concentration in Finance and Accounting.

Boston, MA