Alan Masters Email & Phone Number

Washington, Dc, Us

Jacksonville, Fl, Us

- Drive the execution of compliance with the enterprise’s Export Controls compliance program for adherence to the United States Department of Commerce Export Administration Regulations- Manage annual Export Control regulatory compliance training program for approximately 13,000 employees. - Develop and maintain governance documents in accordance with enterprise compliance standards.- Maintain variance of < 10% for work completed by line of business and compliance group. - Perform control self-assessments on process flows, controls and procedures for Export Control functions to reduce risk and audit findings.

Jacksonville, Fl, Us

- Served as the Compliance Liaison to payments lines of business (Prepaid, Debit, Credit, Merchant, Loyalty) to drive Corporate Compliance directives.- Managed annual regulatory compliance training program for approximately 5,000 employees. - Developed governance documents in accordance with enterprise compliance standards. - Performed control self-assessments on higher risk lines of businesses to reduce audit findings. - Drove the execution of the enterprise’s Export Controls compliance program.

- Managed the Enterprise Risk Management, Compliance, Bank Secrecy Act departments and Internal and Compliance Audit functions of a holding company and a state chartered financial institution in Texas and Colorado.- Maintained relationships with regulatory agencies to ensure Safety and Soundness, Holding Company and Consumer Compliance Exams were completed timely and efficiently.- Ensured all regulatory exam and audit matters were appropriately addressed to ensure closure of any open items. - Directed the holding company and bank’s Audit Committees, providing quarterly updates on audits, annual scopes, assessments and remediation plans. - Provided monthly and quarterly Risk, Compliance, Bank Secrecy Act, and Audit data to the Holding Company and bank’s Board of Directors. - Served as a lead on the holding company’s Security Advisory Group to drive implementation of and monitor controls around Information Security and Cyber Security risks. - Maintained the organization’s Enterprise Risk Management program by identifying effectiveness, efficiencies and deficiencies through operational data reviews, business unit interviews, and process document reviews. - Managed the enterprise’s Vendor Management Program from initial due diligence through ongoing monitoring.

Dallas, Texas, Us

- Developed and maintained the bank’s compliance policies, procedures and training content for the general operations of the Compliance Program and its related activities preventing illegal, unethical and improper conduct. - Served as a member of the Regulatory Comment Committee and Product Development Committee to ensure the bank’s products were aligned with any new or updated regulations. - Managed the Fair Lending, Community Reinvestment Act and Home Mortgage Disclosure Act reporting functions, exams and audits to ensure accuracy of information and timeliness of requested data. - Managed the annual compliance training program to ensure completion and regulatory needs and requirements were met.

Austin, Texas, Us

- Oversaw risk management and compliance functionalities within organization.- Ensured adequacies with banking regulatory compliance standards during development and implementation of products.- Managed internal information security program to ensure organization meets security and operational standards appropriate to Statement on Auditing Standards No. 70.

Chicago, Illinois, Us

- Managed a team of over 100 employees and contractors on a national Bank Secrecy Act / Anti-Money Laundering project which concluded after a one year period.- Managed the development of compliance projects, project planning and implementation of projects focusing on a successful end result by maintaining awareness and communication.

Austin, Texas, Us

- Executed financial institution consumer compliance testing of financial institution related regulations which included a review of policies, procedures, monitoring and training programs to assess risk levels within the organizations.- Met with senior management to recommend compliance program enhancements, reducing possibilities for violations or monetary penalties.

OPERATIONS / COMPLIANCE SPECIALIST- Implemented and monitored Bank Secrecy Act database for submitting Currency Transaction Reports to consistently maintain compliance and accuracy.- Trained employees for job functions, such as, performing teller transactions, opening new accounts, processing loan applications and how to recognize sales opportunities.- Developed organizational system and action plan to ensure that the branch would receive an excellent audit from organization's Internal Audit group and to maintain in compliance.