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.
- Tableau
- Microsoft Excel (Advanced)
- Microsoft Powerpoint (Advanced)
- Microsoft Word (Advanced)
- Agile Project Management
- Agile Product Owner
- Data Manipulation
- Data Visualizations
- Certified Anti-Money Laundering Specialist (CAMS)
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
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
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
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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School Attended
- SUNY At Albany
- SUNY At Albany
Job Titles Held:
- Compliance Monitoring & Testing Vice President
- Compliance Monitoring Vice President
- Senior Restructuring Associate
- Financial Management Officer
Degrees
- Master of Public Administration
- Bachelor of Arts
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