Amy Ruppeck Email & Phone Number

Castle Rock, Co, Us

Peak AML Solutions is a consultancy specializing in AML and fraud compliance for the financial services industry. Its services encompass strategy development, gap analysis, program effectiveness design, operational efficiency, and issue remediation. Peak AML Solutions, LLC helps financial institutions navigate the regulatory landscape and implement a risk-based approach to achieve optimal and efficient outcomes. With deep expertise in law enforcement investigations and extensive experience in remediating complex compliance programs, Peak AML Solutions is well-positioned to deliver substantial value to clients when retained.

Seattle, Washington, Us

Recruited to advise executive leadership and oversee BSA/AML/Sanctions (OFAC) and Fraud programs. Responsible for transaction monitoring review and enhancement, as well as oversight of the Suspicious Activity team. Managed the Know Your Customer (KYC) program, including enhanced due diligence, and led the sanctions program, Know Your Business (KYB) program, and consumer fraud program. Spearheaded strategic planning for current and future staffing to ensure scalability of the Financial Crimes Compliance team. Designed program strategies, established internal controls, and updated global policies. Led teams in remediation efforts and drove continuous improvement in compliance practices.

San Francisco, California, Us

Hired to lead strategy and build the Emerging Risk Program and Financial Crimes requirements and controls for The Private Bank and Asset Under Management Divisions. Managed Governance and Controls and expanded role to lead Exit/Sanctions and Enhanced Due Diligence, developing the risk program in tandem.

Denver, Co, Us

Concurrently manage 175 FTEs as Director of Global Due Diligence and Director of Global Anti-Money Laundering & Suspicious Activity Reporting Investigations Teams. Develop and implement policies, programs, operations, processes, IT, training, and awareness initiatives. Collaborate across functions and business areas to develop targeted solutions. Global Due Diligence (2016 to Present)Lead due diligence investigations for all life cycle events of agents and commercial clients. Ensure stakeholders are apprised of new/revised regulations, and that policies reflect the changes. - Completely eradicated aging alert queue within 6 months. - Saved $1.2 million annually by improving vendor product and processes within the team.- With no increase in budget, grew compliance team by 25 to meet workload demands. - Instituted and monitored KPIs to evaluate and improve programs and processes. - Fostered risk mitigation as Chair of Know Your Agent Compliance Committee.- Voting member/presenter, 3 Anti-Money Laundering committeesAML & SAR Investigations (2014 to Present)Manage the suspicious reporting queues of 10 countries. Develop and implement policies, operational procedures, programs, processes, training, and IT initiatives. Evaluate and resolve escalated issues across the organization.- Saved hundreds of thousands of dollars and improved efficiency by transforming the money order process from paper to digital. - Initiated and executed Lean process improvements that boosted operational efficiency 30%.- Improved productivity and morale year over year by creating and launching employee engagement programs.

Denver, Co, Us

Partnered with Thomas Reuters and international law stakeholders to launch global initiative. - Presented the initiative to the U.S. Senate staff that was working on legislation to help financial institutions build human trafficking prevention, identification, and reporting programs. - Improved criminal typologies in collaboration with law enforcement and non-profit organizations. - Trained company, law enforcement, and AML partners in criminal typology.- Identified suspicious transaction trends and developed prevention and reporting solutions.

Denver, Co, Us

Global Security Global InvestigationsBuilt, developed, and led the SAR program and reporting team. - Engaged business leaders across the organization in adhering to compliance initiatives.- Developed and strengthened relationships with law enforcement and industry leaders, facilitating legal procedures. - Met monthly with corporate executives and senior management to evaluate and improve suspicious activity reporting performance.- Instituted intelligence into the detection of criminal typologies, improving process accuracy. - Developed and conducted law-related training across the company.- Served as thought leader/Subject Matter Expert (SME)/presenter/ at industry and governmental conferences.

Investigated felony economic crime cases, including Securities Fraud, Colorado Organized Crime Control Act (COCCA), organized retail crime, and employee embezzlement. Point person between DA’s office and local, state, and federal law enforcement.- Enabled 27/27 Grand Jury convictions.- Recognized as Law Enforcement Officer of the Year.- Member, Critical Incident Response Team and Specialized Operations Group.- Developed and conducted training in economic crime, search warrants, and production of record warrants at the office’s New Detective Academy.

Patrol, Investigations, S.W.A.T., Hostage Negotiator, Critical Incident Response Team

Patrol