Alec Regitsky Email & Phone Number

New York City

- Lead compliance department & changes to policies/processes around sanctions, AML, & CTF.- Acting secretary for risk management committee alongside CFO, COO, & General Counsel to align procedures with SOC II audits.- Product manage in-house onboarding portal & BI reporting / dashboards. - Create agile stories for implementation into live & future technology products.- Oversee vendor relationships with third party data service providers.- Perform diligence or led team that ran diligence on ~1300 companies & funders participating in marketplace making trade finance transactions.Key Achievements: - Introduced automation of annual AML and FCPA training.- Increased value of assets traded over the LQX marketplace by 150% YoY.- Processed $188B+ in cash management activity with no losses/defaults. - Reduced administrative preparation leading to the SOC II audit by 75% over last year by establishing a risk mgnt framework including a risk mgnt committee that identified major control gaps & mitigation strategies.- Led the design & launch of an onboarding portal designed to register suppliers into supply chain finance facilities in days rather than months. In the first year, fully onboarded the Latin American scrap metal supply chain of a major aluminum manufacturer, as well as portions of its US & African supply chains.- Improved efficiency by 5X by leading the administration & supplier communication of Supply Chain Finance programs using the Onboarding Portal.- Co-led the Business Intelligence development team & supported the design of complex/unique dashboards & reports.- Enabled client managers to regain ~eight hours of work/week through the creation of a Core Reporting Engine automating the generation/distribution of data reports to customers to replace the manual process.- Saved $20K+ annually and maintained scrutiny of processes by adjusting the risk and compliance strategy to match new company strategy and streamlining due diligence processes.

Greater New York City Area

- Contracted data service vendors and integrated products into compliance process.- Led activities of a team of compliance associates identifying, verifying, and screening new customers to identify money laundering and terrorist financing risks (risk assessment) and monitored existing customers for changes in those risks.- Developed and facilitated annual company-wide Anti-Money Laundering training.Key Achievements: - Introduced an anti-money laundering policy to bring a risk-based approach to customer onboarding.- Spread the review process of entities across the month instead of a three-hour administrative process at the beginning of each month enabling quicker response to alerts and reduced human errors by converting the watchlist and adverse media monitoring tool from a monthly batch process to a real-time alert system. - Decreased the budget for monitoring expenditures by 62% through oversight of the vendor search and tools for the real-time alert system.- Blocked multiple attempts by Russian entities and individuals to breach US sanctions by joining the platform following the initial wave of sanctions following Russia's invasion of Crimea, as well as two sanctioned Russian banks, blocked an attempt of metals company with indirect ownership by four sanctioned Russian companies/individuals from joining the platform, and rejected an offer by an international client to host a trade involving goods originating with a Jamaican subsidiary with indirect ownership by sanctioned Russian individuals. - Successfully completed a full audit of transactions and relationships on the platform within two business days following increased sanctions against Russia following their invasion of Ukraine, ensuring compliance in future transactions.- Designed enterprise-wide risk assessment in line with newly rolled out Singaporean regulation which surpassed regulators needs and was later used as the basis of the risk audit in the company's first SOC II.

Greater New Orleans Area

- Managed the registrations process including reviewing applications, conducting comprehensive background/entity searches, filing liens, and preparing new platform accounts.- Continuously monitored entities and individuals, analyzed results for material adverse findings, and recommended action to the Compliance Committee.- Designed and distributed new customer-facing and internal-use fillable forms.Key Achievements: - Introduced more robust and standardized new registration and monitoring processes of member funders, suppliers, and buyers without increasing the time it takes to run and analyze the diligence performed. The risk-based approach allowed for time to be spent on potential customers with higher risk profiles while decreasing the onboarding time for potential customers posing little to no risk.- Successfully uncovered an attempt of corrupt foreign nationals to join the platform through indirect ownership of a bank in a seperate jurisdiction.

New Orleans

Supervise the trading of all small to mid-sized companies on the TRE marketplace. Manage and delegate the review of trading companies’ quarterly financial statements. Design and update SQL queries for use in legal monitoring and analytic reporting. Run monthly legal monitoring of buyers, sellers, and individuals; examine, record, and respond to any risks discovered. Examine and resolve policy infringement caused by tax liens, name changes, legal filings, changes in management, or other potential liabilities.

New Orleans

The Receivables Exchange is an online marketplace for commercial receivables that helps businesses increase liquidity and drive down their cost of capital. Businesses post outstanding invoices on the Exchange, where a pool of institutional investors (including banks, hedge funds, asset-based lenders, and family offices) compete in real time to purchase them. Businesses can get as much as 98-99 cents on the dollar, on average, by selling receivables on the Exchange. Buyers (including banks, hedge funds, factors, ABLs and family offices) get direct access to a new, $17 trillion investable asset of B2B accounts receivable.

Master Of Science - Ms, Energy Policy & Climate

Bsm, Finance

Activities and Societies: Zeta Psi