Andrew F. Gilmore, Cfe, Cams Email & Phone Number

Charlotte, North Carolina, United States

Charlotte, North Carolina, United States

Charlotte, North Carolina Area

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.

Charlotte, North Carolina Area

Charlotte, NC

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

Wayne, PA

• 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’.
• 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

Greater New York City Area

• 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.
• 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..
• 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.

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.

Global Operations & Administration – Institutional Accounts

*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.

Net Asset Value Operations

* 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.

New York, NY

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.

New York, NY

Branch Office Operations Manager

Ba, Political Science - Prelaw

Post Graduate Courses - Labor And Industrial Relations