Seasoned Compliance Officer with over five years of experience in trade surveillance at large financial institutions. Expert in surveillance control lifecycle management, and more specifically, tuning for optimal alert output. Adept in data manipulation and creating data visualizations to help senior management make insightful quantitative decisions. On the hunt for ways to optimize processes that deliver the most business value.
Skills
Tableau
Microsoft Excel (Advanced)
Microsoft Powerpoint (Advanced)
Microsoft Word (Advanced)
Agile Project Management
Agile Product Owner
Data Manipulation
Data Visualizations
Education
SUNY At AlbanyAlbany, NYExpected in 12/2011 ā āMaster of Public Administration:Financial Regulation - GPA:
SUNY At AlbanyAlbany, NYExpected in 05/2010 ā āBachelor of Arts:Political Science - GPA:
Certifications
Certified Anti-Money Laundering Specialist (CAMS)
Work History
Indian Health Service - Compliance Monitoring & Testing Vice President Lockport, NY, 03/2019 - Current
Lead all optimization projects focused on improving the effectiveness of trade surveillance parameters, thresholds, design, and output by partnering with members of data analytics and IT development teams
Identify and apply trade surveillance tuning and IT solutions, which have reduced program-wide false positive rates by more than 50% year-over-year and unproductive alert volumes on select surveillances by 99%
Manage annual testing plan to validate over 650 NASDAQ and internal trade surveillance controls
Develop automation of manual trade surveillance testing designed to assess and validate current thresholds
Use Tableau and data visualizations to help senior management make data-driven decisions based on trade surveillance program Key Performance Indicators (KPI) such as false positives, productivity, and escalations
Lead global biweekly meeting with senior management to discuss proposed changes to trade surveillance controls
Draft, review, and implement global surveillance testing policies and procedures
Conduct global training sessions and organize on-the-job training for new hires
Goldman Sachs & Co - Compliance Monitoring Vice President City, STATE, 09/2015 - 02/2019
Investigated suspicious trading activity generated by surveillance systems, internal escalations, and regulatory inquiries and escalated matters to management for potential Suspicious Activity Report (SAR) filings
Analyzed and reported global surveillance metrics to senior management
Conducted ad-hoc investigations raised by inquiries from law enforcement, including Department of Justice (DOJ), Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), and Financial Conduct Authority (FCA)
Identified and implemented enhancements to surveillance logic, systems, workflow, and reports
Collaborated with technology teams and project managers to strategize and conduct surveillance testing
Led efficiency projects utilizing Robotic Process Automation (RPA) and Alteryx for data analytics
Determined how new rules, regulations, and policies impact surveillances and develop corresponding solutions
Deloitte - Senior Restructuring Associate City, STATE, 09/2012 - 08/2015
Designed and implemented due diligence processes on multiple workstreams to effectively distribute over $3 billion to general unsecured creditors of the largest bankruptcy in history
Supported senior management with industry research to identify new business development opportunities
Army National Guard - Financial Management Officer City, STATE, 01/2012 - 08/2020
Served as Commander of 14th Financial Management Support Detachment
Managed over $80 million in transactions while complying with U.S federal banking regulations
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