Andrew Pfaff Email & Phone Number

New York, New York, Us

2023 - 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.

New York, Ny, Us

2018-2020: 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.

New York, New York, Us

Co-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.

New York, Ny, Us

Head 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.

Frankfurt Am Main, Hessen, De

2006 - 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.

Jersey City, Nj, Us

Principal - 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.

Hartford, Connecticut, Us

Operations 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.

Master Of Business Administration, Operations Management And Marketing

Bachelor Of Business Administration, Management Information Systems

Compliance Official