Andrew Pfaff Email and Phone Number
Andrew Pfaff work email
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Andrew Pfaff personal email
With over 30 years of experience in the financial services industry, I am a seasoned compliance leader and risk manager with a talent for delivering innovative and effective solutions to complex regulatory challenges. I currently serve as the Head of Compliance Independent Assessment for the CBNA, Banking & International businesses at Citi.In my previous roles, I have led compliance programs and initiatives in areas such as personal trading, outside activities, financial crimes, client facing documentation, and employee compliance services. I have also used my expertise in compliance technology and operations, testing, and anti-money laundering to enhance the compliance culture and performance of the organizations I have worked with. I hold a Master of Business Administration from the Yale School of Management, a Bachelor of Business Administration from the University of Notre Dame, and a FINRA Series 14 compliance official qualification. My mission is to drive compliance innovation and excellence at Citi and beyond.
Citi
View- Website:
- citibank.com
- Employees:
- 10
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Managing Director, ComplianceCiti Sep 2020 - PresentNew York, New York, Us2023 - Present: Global Head of Compliance Independent Assessment for CBNA, Banking & International at Citi. Responsible for Compliance Independent Assessment programs (monitoring and testing) for CBNA, Investment Banking, Corporate Banking, Commercial Banking, and Citi’s International, Client, and Legacy Franchise organizations. 2020 - 2023: Global Head of Personal Trading and Outside Activities Compliance. Served as compliance risk manager for internal policies, procedures, and innovative technologies related to managing compliance risk in employee personal trading, private investments, outside directorships and outside business interests and other areas of firm-wide compliance.
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Executive Director, Compliance & LegalJpmorgan Chase & Co. Jul 2013 - Sep 2020New York, Ny, Us2018-2020: Global Program Manager - Legal Strategic Initiatives, Office of the General Counsel. Led the Legal Department's Client Facing Documentation strategy; rationalizing and automating legal templates for client facing documents across all of JPMorgan's business lines. 2016-2018: Head of Global Financial Crimes Compliance, Commercial Banking Division. Led the Commercial Banking division's AML / Sanctions compliance program with dual reporting into the bank's Global Head of Financial Crimes Compliance and the Commercial Banking Chief Compliance Officer. 2013-2016: Head of Global Personal Account Dealing and Registrations Compliance. Ran the bank's compliance program's for employee trading / investing and securities registrations. Owned the relevant global policies and the related compliance processes. -
Vice President, ComplianceGoldman Sachs Jul 2011 - Jun 2013New York, New York, UsCo-Head of Global Compliance Employee Services:Ran the Compliance functions and firm-wide programs that ensured compliance with insider trading regulations, securities registrations and licensing, conflicts of interest management, and anti-bribery and corruption controls for Goldman Sachs employees worldwide. -
Director, ComplianceBarclays Capital Jul 2009 - Jul 2011New York, Ny, UsHead of Central Compliance:Ran the Compliance functions and related projects that ensured compliance with insider trading and conflicts of interest rules, securities registrations and licensing requirements, and anti-bribery and corruption regulations for Barclays Capital employees globally. -
Director, ComplianceDeutsche Bank Aug 2006 - Mar 2009Frankfurt Am Main, Hessen, De2006 - 2008: Head of AML Surveillance Strategy & Projects: Developed AML surveillance strategy across lines of business, automated transaction surveillance and related processes, developed best practices, policies and procedures. Performed the duties of a senior AML officer; led financial crimes investigations, filed suspicious activity reports, and served as member of client escalation committees. 2008 - 2009: Head of Americas Compliance Operations: Managed the Compliance and Operations functions designed to mitigate financial crimes risk, insider trading, and conflicts of interest; as well as ensure proper registrations and licensing, and required regulatory disclosures for Deutsche Bank's North American securities businesses. -
Principal ConsultantMadison Consulting Group Mar 1997 - Aug 2006Jersey City, Nj, UsPrincipal - Financial Services Practice: Provided business, technology, and compliance advisory services to senior staff at leading financial institutions; focusing on strategy, operations, and financial crimes compliance issues. Established relationships with key decision makers, designed client solutions, managed staff and project economics on concurrent engagements, and orchestrated timely project completion. -
Operations ManagerAetna Health Plans Aug 1991 - Feb 1997Hartford, Connecticut, UsOperations Manager: Managed a team responsible for the physical intake and electronic scanning operation for incoming medical claims from policy holders. Ensured timely and complete input and processing of claims information, to facilitate claims payments. Internal Consultant: Member of Aetna Health Plan's Corporate Internal Consulting Group. Led process diagnostics, analytics, and improvement projects on behalf of the company's division heads. Information Systems Analyst: Wrote business and technical specifications, developed software, and performed systems maintenance for the suite of technologies that supported Aetna Health Plan's Flexible Spending Account product.
Andrew Pfaff Skills
Andrew Pfaff Education Details
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Yale School Of ManagementOperations Management And Marketing -
University Of Notre DameManagement Information Systems
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Finra Series 14Compliance Official
Frequently Asked Questions about Andrew Pfaff
What company does Andrew Pfaff work for?
Andrew Pfaff works for Citi
What is Andrew Pfaff's role at the current company?
Andrew Pfaff's current role is Managing Director Compliance @ Citi | Risk Management.
What is Andrew Pfaff's email address?
Andrew Pfaff's email address is an****@****zon.net
What schools did Andrew Pfaff attend?
Andrew Pfaff attended Yale School Of Management, University Of Notre Dame, Finra Series 14.
What skills is Andrew Pfaff known for?
Andrew Pfaff has skills like Risk Management, Aml, Financial Services, Securities, Banking, Capital Markets, Strategy, Hedge Funds, Management, Asset Management, Investment Banking, Financial Institutions.
Who are Andrew Pfaff's colleagues?
Andrew Pfaff's colleagues are Daniel Gerard, Jiayi Sun, Rahul P, Asha Dogra, Aurelio M., Chuck Cavanaugh, Jingyi Huang.
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