Offering regulatory compliance consulting and testing. AML Model Validation; OFAC Optimization; NYS DFS504 Testing, Data Analysis, EDD. Large Commercial Loan Fraud Evaluation, and Financial Crimes Testing and Validation: Comprehensive review of loan documentation and analysis of bank statements that challenge and evaluate the possibility of fraud. Assess fraud indicators and anomalies and conduct in-depth extensive research when warranted. Prepare findings, summaries, and offer response actions. Provide complex AML Processes and Procedures Testing in response to MRA. Provide audit strategy, risk assessment, design, and implement controls. Providing consulting and SME services to area financial institutions and commercial banks for project leadership in the areas of financial crime, data analysis, controls creation and testing, anti-money laundering, client onboarding (CIP/KYC/EDD), Patriot Act, OFAC, SAR, and fraud detection and prevention. Ability to pivot to meet rapidly changing priorities. Experience working with big data.

Providing subject matter expertise in investigation, reporting, regulatory filing, data analysis, and risk mitigation in: financial crimes, fraud, banking and investment regulations.

Chief Compliance Officer: Global oversight of on-site compliance teams in operating and enhancing each company’s compliance program. Worked directly on-site and remotely with senior leadership to strengthen the firms’ legal and compliance efforts to manage and mitigate risk. Reviewed business initiatives and provided regulatory oversight. Monitored industry regulatory developments that impacted business and operational function for proactive and reactive measures that ensured cost-efficient regulatory integrity.▪ Established remediation plan(s), executed, and completed successful SEC regulatory infraction remediation(s)▪ Created, implemented, and maintained, as well as, reviewed, corrected, and enhanced written policies, procedures, and standards ofconduct for various types of financial institutions▪ ActedasSeniorManagementLiaisonforBoardofDirectorsandExecutiveTeams▪ Identified compliance-related gaps and advised correction to mitigate potential risk▪ Conducted annual 206(4)-7 and quarterly 38a-1 compliance reviews▪ Defined registration and regulatory calendars and executed filings (ADV Parts1 and 2, Form PF, D etc.)▪ Performed marketing materials review for SEC and FINRA compliance▪ Provided annual staff compliance Code of Ethics training and due diligence of 3rd party service providersRecognition: Business Development and Retention & Project Leadership

AML & KYC Audit Manager - Execution and robust tracking of the firm’s global independent testing mandates within KYC, AML,Rep. Risk, Third Party Oversight, Trust, and Remediation.• Partner with key AML stakeholders in Compliance Practices and QA and Testing teams to identify emerging issues and resolvesystemic issues affecting the global organization.•SubjectMatterExpertinAMLfortheteamandwithintheglobalnetworkforcommentaryonauditsforenhanceddevelopmentand relationship building within the AML management team• Participate in AML forums to offer critical commentary of pending, foreseeable, and conceivable events that impact the firm’s risk.

• BSA/AML Comprehensive Audit and Critical Regulatory Response - Oversight and execution of comprehensive audit of BSA/AML, KYC, Enhanced Due Diligence (EDD), OFAC, client on-boarding, and all other compliance issues and infractions proactively and during a time of regulatory review. Created compliance programs, and provided assessment and enhancement with recommendations. Extensive analysis and quantitative evaluation of risk; offering front-to-back asset management, control assessment & testing and forensic documentation analysis. Clients include: national banks, broker/dealers, hedge funds, non-bank residential mortgage lenders and originators, and non-bank financial institutions.• GRC & Critical Regulatory Response - Expert evaluation of regulatory review findings and response recommendations. Set and maintain procedural protocol, engagement work plans, time frames, budgets, and team selection. Providing regulatory support through proven risk remediation processes, compliance policy direction, and staff training. Expertise in transactional analysis (look backs). Noted for project oversight, team leadership, and successful communication for efficient and cost effective AML audit and remediation in cooperation with regulators.• AML & Fraud Subject Matter Expert(SME)• Initiated new business, expansion of services and maintained business retention through the creation and collaboration on new business proposals and promotional material.• Researched and analyzed emerging regulations with an emphasis on producing relevant and understandable communications and articles for internal and external publication.• Current Project Highlights: Audit completed on-time and under budget that has lead to three (+) additional projects estimating a total of $1MM in additional business.• Create and facilitate AML/Compliance Training for both in-house and client personnel. • Custody Audit for Regulated Investment Advisors (RIAs)

Consultant: Risk Professional with over 20 years experience in compliance, financial reporting, and risk management. Specializing in helping companies assess their AML and other compliance risks and develop critical and effective AML/Compliance Programs. CFE (Certified Fraud Examiner) CAMS (Certified Anti-Money Laundering Specialist)*BSA/AML Comprehensive Audit - Offering Compliance Program Creation, Enhancement and Assessment - serving all national banks, broker/dealers and hedge funds and non-bank residential mortgage lenders and originators in: comprehensive audit(s) with written report findings and recommendations. AML/Compliance training of personnel on regulatory issues and reporting, policy direction, and operational & IT implementation. Lead teams in extensive and comprehensive analysis and quantitative evaluation of risk; offering front-to-back asset management control assessment & testing and forensic documentation analysis.*Critical Regulatory Response - Expert evaluation of regulatory review findings, and response recommendations. Comprehensive audit of AML, KYC, Enhanced Due Diligence (EDD), client on-boarding, and all other compliance infractions during a time of regulatory review. Providing regulatory support through proven risk remediation processes, compliance policy direction, and staff training. Expertise in transactional analysis (look backs). Project oversight and team leadership for efficient and cost effective AML remediation in cooperation with regulators.

*AML/KYC - examination of account documentation for compliance accuracy and completeness. Focusing on historical trend analysis, AML transactional review, and the identification of key issues relating to risk, control, and the audit of asset management operations. *Forensic Accounting & Investigation - Established cross reconciliation and portfolio analysis that successfully established and reported findings for investment alignment within organizational guidelines and in compliance with regulatory parameters. “Break” investigation/resolution, risk analysis/reporting, and the development/improvement of the operational risk frameworks included staff oversight and training. Specific expertise: ad hoc research and forensic accounting to verify and/or retrieve lost data and system vulnerabilities.*Compliance & Internal Audit: Implemented the organizational plan and authored departmental policies comparing them with work flows and financial regulations (Dodd-Frank. SOX, FCPA, OFAC, BSA, etc.). Liaison to internal departments & external vendors to coordinate policies that monitored accuracy of financial documentation and true client financial position. *Developed practical internal audit approaches that included macro creation & reporting findings with action plans for resolution and risk prevention. SAS 70 filing experience.*Established operational efficacy through risk and quantitative analysis for asset management activities: account opening/closing procedures, shared custodial frameworks, account reconciliation, and client reporting. Ensured protective & corrective operational transaction entry and data accuracy with zero tolerance for risk. *Client, custodial, internal, and vendor relationships created, improved and maintained through an emphasis on understanding expectations, business frameworks, and time constraints. *IT Integration-End User Consultant: Modules for assessment, control testing, data integrity, risk scenarios, issues, action plans and UAT

* Managed teams in multi-channel operational support of internal, vendor, and client relationships. * Streamlined the reconciliation process of accounts with various custodial institutions utilizing data downloads and systemic comparison to highlight record breaks – ensuring accuracy and compliance for over 350 global and domestic accounts with values ranging from $500MM to in excess of 1B with 100% on time delivery. * Project lead in business disaster recovery for operational continuity.* Led the NAV team within Global Operations in the generation of performance based on net asset value. Supervised and maintained key custodial relationships. Managed critical process review and procedural adaptation in order to streamline information flow.

Managed operations of an institutional investment advisory firm; consisting of 20 investment managers and 55 sales and support staff, in multiple locations. Focus on trade support and reconciliation of approximately 186 institutional investment accounts and 720 private client accounts with a combined value of approx. $43 Billion. * Point-leader in operational-excellence with the establishment of policies and procedures manuals; overseeing the on-line trading system and reconciliation process for the Global Asset Management group. * Auditory review and reconciliation of approximately 15,000 private sector accounts with a combined asset value totaling $31 billion and 371 institutional and investment fund accounts with a combined asset value of $55 billion consisting of domestic and foreign equities; municipal, government and corporate bonds; short-term notes, CD’s, BA’s CMO’s, TBA’s, asset-backed; commercial paper and foreign currencies.* Reviewed accounts for performance accuracy against client specified benchmark indices for generation of reports to managers and clients. * AML transactional review to mitigate risk and exposure.* Systems integration: System analysis for the detection and prevention of malfunctions and reporting errors included: data feed and transactional coding errors for correction. * Strategist for crisis management solutions, which included: the coordination of departments, establishing action teams, and organizing creative work schedules for increased work productivity.* Coordinated and enforced SEC policies and developed corporate policies and procedures to ensure compliance.* Managed personnel for effective and efficient project execution.* Appointed Proxy committee Secretary to analyze firm positions regarding all shareholder and board proposals.* Reviewed quarterly SEC 13F filing to ensure accuracy.* Introduced automated analysis aids for the solicitation of new business.

Branch Office Operations Manager