Kate Pentecoste is a senior compliance analyst in the New York office of Guidepost Solutions. Her experience includes transactional surveillance; financial crime compliance; SAR writing and procedures; and AML assessments, compliance and investigations. She is currently assisting with a compliance review for a blockchain technology company, which among other business lines runs a cryptocurrency exchange and custodies digital assets.
Ms. Pentecoste has extensive working knowledge screening financial customers and transactions using a variety of databases and system and manual alert tools such as Mantas, World Check, and Actimize, among others.
Previously, Ms. Pentecoste was a transaction surveillance group associate in the Financial Crime Compliance group at Goldman Sachs & Co. She focused on the disposition and documentation of alerts for prime brokerage, institutional, hedge fund, private wealth, and securities accounts relating to triggered journals, wires, and securities transfers. Her expertise includes leveraging private transaction documentation, Know Your Customer information, WorldCheck, letters of authorization, memorandums, and business documents to mitigate or escalate an alert. As a forensic associate, she also led investigations for its Insider Threat program, looking for potential employee misconduct relating to data leakage and loss of material nonpublic information. Her expertise in this area includes email surveillance, web log activity reviews, voice surveillance, and printed activity reviews.
Earlier in her career, Ms. Pentecoste worked in the Chief Administrative Office at JPMorgan Chase as an AML alerts analyst and investigator. She performed AML investigations for potential money laundering, terrorist financing, and other suspicious activity; efficiently conducted investigations and wrote suspicious activity reports (SAR) for all Branch Referrals and Mantas generated structuring alerts; collected and documented data for SAR history, Know Your Customer information and account/transactional data; and dispositioned and fully documented all alerts, including supporting data, analysis and rationale for disposition.