EUGENE M. CATES
Newport
Summary
Results-driven financial services professional skilled in enhancing regulatory compliance and operational processes. Demonstrated success in risk identification and workflow optimization, delivering impactful reporting to senior leadership. Strong collaborator with a proven track record of implementing scalable solutions across business units.
Overview
19
19
years of professional experience
Work History
Associate / Business Analyst II
JP Morgan Chase
Wilmington
2018.03 - 2022.10
- Analyzed large datasets and internal processes to identify risks and recommend best-practice improvements.
- Designed new processes, SOPs, and action plans across multiple business units.
- Automated workflows using macros and Power Query, streamlining processes to minimize manual effort.
- Produced accurate reports, metrics, and status updates, managing distribution schedules to enhance communication.
- Partnered with control officers to streamline communication services and LOB-level controls.
- Defined QC/QA processes, evidence standards, and retention metrics; reported results to CORE.
- Coordinated CORE tests, documenting findings to support compliance and operational improvements.
- Administered SharePoint access, permissions, and file structures.
Associate Compliance Officer
JP Morgan Chase
Wilmington
2015.02 - 2018.03
- Performed quality assessments of control test workpapers, validating evidence and addressing identified gaps.
- Developed test procedures to streamline processes and identify compliance risks.
- Monitored KPIs and redesigned processes to improve productivity.
- Collaborated with leadership to assess challenges and implement effective long-term solutions.
- Produced reports and metrics with full accountability for accuracy and distribution.
- Controlled SharePoint access and organized file structures to enhance document management.
Associate / Business & Reporting Analyst
JP Morgan Chase
Wilmington
2013.10 - 2015.02
- Supervised team of two, coaching and developing skills to enhance performance.
- Led team meetings to improve communication and reporting protocols.
- Investigated inquiries from FINRA, SEC, and CBOE; communicated findings to stakeholders for informed decision-making.
- Revised Reg K and EBS procedures; coordinated DOI and Electronic Blue Sheets processes.
- Collaborated with regulatory bodies to identify procedural gaps and develop remediation strategies.
Associate Compliance Officer
JP Morgan Chase
Wilmington
2013.05 - 2013.10
- Investigated suspected money laundering, terrorism financing, and drug trafficking activities to mitigate legal and financial exposure.
- Coordinated meetings with AML teams, external institutions, and regulatory agencies to enhance collaboration and ensure compliance with regulations.
- Conducted enterprise-wide searches of account holder transactions to identify potential compliance risks.
Senior Workforce Analyst
JP Morgan Chase
Wilmington
2008.05 - 2013.05
- Coordinated scheduling for 5,000 call center agents across 8 sites and multiple time zones to optimize coverage.
- Analyzed call volume patterns to align staffing levels with demand.
- Collaborated with Operations, Training, Telephony, Forecasting, and Recruiting to effectively address and resolve coverage issues.
- Used TCS databases to track requests and adjust schedules.
Internal Quality Review Specialist
JP Morgan Chase
Wilmington
2005.10 - 2008.05
- Conducted case file quality reviews across multiple departments to ensure compliance and accuracy.
- Updated Home Equity Loan Fulfillment Center on procedural changes to maintain operational standards.
- Created training materials and conducted new-hire training.
- Analyzed loan status and production output weekly to identify trends and inform decision-making.
- Oversaw operations of the HELFC escalation hotline, addressing customer inquiries and issues.
Financial Service Representative
River City Federal Credit Union
San Antonio
2004.04 - 2005.10
- Processed consumer loan applications, credit reports, and account openings while ensuring strict regulatory compliance.
- Provided high quality customer service and notary services, enhancing client satisfaction.
- Managed member accounts and processed transactions efficiently.
- Provided financial guidance to members on loans and savings options.
- Developed training materials for new staff onboarding processes.
Education
Bachelor of Science - Cyber and Data Security Technology
Skills
- Data analysis
- Regulatory compliance
- AML investigations
- Risk assessment
- Data governance
- Process improvement
- Workflow optimization
- Business process mapping
- SOP creation
- Cross-functional collaboration
- Attention to detail
Timeline
Associate / Business Analyst II
JP Morgan Chase
2018.03 - 2022.10
Associate Compliance Officer
JP Morgan Chase
2015.02 - 2018.03
Associate / Business & Reporting Analyst
JP Morgan Chase
2013.10 - 2015.02
Associate Compliance Officer
JP Morgan Chase
2013.05 - 2013.10
Senior Workforce Analyst
JP Morgan Chase
2008.05 - 2013.05
Internal Quality Review Specialist
JP Morgan Chase
2005.10 - 2008.05
Financial Service Representative
River City Federal Credit Union
2004.04 - 2005.10