- A versatile and successful risk and compliance professional with extensive experience in combating financial crimes. Subject matter expert in regulatory compliance, anti-money laundering, terrorist financing, sanctions, PEP screening, transaction monitoring and reporting, investigations, and banking regulations. Proven track record in implementing strategic solutions to ensure compliance with Federal and State laws and regulations, internal policies and procedures, as well as industry best practices.
● FinCEN, FFIEC, OCC, FDIC, CFPB, NYDFS
● Bank Secrecy Act/USA PATRIOT Act
● CIP/KYC/CDD/EDD
● OFAC and Global Sanctions Screening
● Transaction Monitoring and Investigations
● Suspicious Activity Reporting (SAR)
● Risk Assessments
● Project Management and Leadership
● Policies and Procedures
● Metrics, KPIs, and Committee Reporting
● Training
● Audits and Exams
● On-boarding and Periodic Reviews
● Quality Assurance
Cleveland, TN, 07/2018 - Current
- Built, planned, and oversaw the CCFG Quality Assurance Program.
- Enhanced CCFG regulatory and compliance framework which included drafting, implementing, and maintaining policies and procedures.
- Coordinated all CCFG related internal & external audits, credit and compliance reviews, and FED and State Asset Quality and S&S examinations including planning and streamlining the process.
- Instinctively secured a strong and optimal relationship with key stakeholders, auditors, compliance department and regulators.
- Successfully promoted a forward thinking and impactful compliance culture exemplified through proactive and strategic initiatives, self-identifying areas of improvements, and achieving gold standard results.
- Sustained frequent and effective communication with Senior Management.
- Prepared credit, loan operations and regulatory compliance risk assessments.
- Directed and spearheaded projects.
Saint Johnsbury, VT, 05/2015 - 07/2018
● Revitalized and lead the transaction monitoring , OFAC customer screening, FinCEN 314(a) compliance processes for the US Branch
● Transformed the BSA/AML Program by authoring, implementing, and maintaining policies and procedures
● Conducted investigations for potential fraud, suspicious transactions, and sanctions violations
● Acted as the SME and liaison for matters pertaining to US Sanctions and regulations
● Represented the US Branch at the Global Markets Unauthorised Trading Risk Monitoring Forum, Payment Screening Governance Forum, and Fund Transfer Regulations Governance Forum
● Prepared BSA/AML and Sanctions and RMA risk assessments
● Interfaced with Internal Audit and regulators for Safety and Soundness exams
● Steered and delivered remediation related to quality assurance, audit, and regulatory exam findings and recommendations
● Served as Corporate Secretary for US Regulatory Compliance and Financial Crimes Committee
● Designed and provided quarterly US Top Risk report to the Group Compliance Committee
● Developed and presented annual and targeted training to the US based staff
Olathe, KS, 07/2013 - 05/2015
● Conducted surveillance and monitoring of correspondent banking relationships and activity
● Investigated and assessed AML surveillance alerts
● Reviewed and analyzed transactions for suspicious patterns
● Executed AML testing, remediation, and model validation for KYC/AML related applications
● Performed due diligence reviews including negative/adverse media screening
● Identified and investigated potential red flags and keywords associated with sanctioned countries and entities, sensitive industries, PEPs, high risk geographies, internal watch lists, and unusual transaction details and patterns
● Managed internal watch lists ensuring efficient and effective transaction monitoring
City, STATE, 02/2011 - 05/2012
- Completed enhanced due diligence reviews of high risk customers and relationships in various sectors, e.g., NGOs, SPFs, PEPs, Private Banking, MSBs, and correspondent banking.
- Performed periodic maintenance reviews of high-risk clients.
- Reviewed escalations of potential hits, e.g., CIP discrepancies, internal watch lists, OFAC sanctions lists, negative news, PEP, etc.
- Served as an AML compliance SME.
- Partnered with key stakeholders to discuss suspicious patterns and/or trends, resolve issues, and effect procedural and/or policy related enhancements.
- Identified potential risks affecting reputation and client risk rating and provided effective solutions.
- Prepared narratives for suspicious activity reports (SARs) when required.
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Resume Overview
School Attended
- ACAMS
- University of Rochester
- University of South Florida
Job Titles Held:
- Vice President
- Risk and Compliance Officer
- Financial Crimes Compliance Officer
- Anti-Money Laundering Analyst
Degrees
- Bachelors of Science
- Bachelors of Science
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