Nina M Spain
About Nina M Spain
Nina M Spain is an AML Compliance Analyst with extensive experience in compliance roles across various financial institutions. Currently employed at Wedbush Securities, she specializes in transaction surveillance and remediation project due diligence.
Work at Wedbush Securities
Currently, Nina M Spain serves as an AML Compliance Analyst at Wedbush Securities in Los Angeles, California. She has held this position since 2021 and has accumulated three years of experience in this role. Her responsibilities include conducting monthly surveillance of transactions to ensure compliance with regulatory standards. She also reviews and maintains FinCEN 314(a) reports, which are essential for tracking potential money laundering activities. Additionally, she creates desktop procedures for various workflow processes within AML Compliance, contributing to the overall efficiency and effectiveness of the compliance team.
Previous Experience in Compliance Analysis
Nina M Spain has a diverse background in compliance analysis, having worked at several financial institutions. Prior to her role at Wedbush Securities, she worked at USAA as a Compliance Analyst for four months in Texas from 2020 to 2021. In this capacity, she assisted with training sessions for the Chief Compliance Officer and the AVP of AML Compliance, focusing on Wealth Management and Capital Markets. Before USAA, she was employed at Aerotek - Valley Bank as an Online Account Review Specialist for two months in 2019, and at JPMorgan Chase & Co. as a KYC Associate for eleven months from 2014 to 2015 in the Greater New York City Area.
Education and Expertise
Nina M Spain studied at the Borough of Manhattan Community College, where she achieved a degree in Liberal Arts and Sciences, General Studies and Humanities. Her educational background provides a strong foundation for her career in compliance and regulatory analysis. She possesses extensive experience in remediation project due diligence reviews across varying risk levels, specializing in Anti-Money Laundering (AML), Bank Secrecy Act (BSA), and the USA PATRIOT Act. This expertise is crucial for her current role, where she ensures adherence to compliance standards.
Key Responsibilities in AML Compliance
In her current role as an AML Compliance Analyst, Nina M Spain is responsible for managing and maintaining the CDC Equifax (Negative News) spreadsheet. She utilizes internal systems to clear alerts and coordinates with Financial Advisors to address compliance issues. Her work involves conducting thorough surveillance of transactions and ensuring that all compliance measures are met. By creating desktop procedures for workflow processes, she enhances the operational efficiency of the AML Compliance team, ensuring that best practices are followed in line with regulatory requirements.