Ann Shanley Email & Phone Number

As a Compliance Expert with professional experience at the 4th largest bank in the United States, I have enhanced federal regulatory reporting, audit, compliance, and risk mitigation programs in challenging environments related to banking, retirement services, securities, mutual funds, and transfer agencies. I am very passionate about my work and thoroughly enjoy the challenge of synthesizing and presenting complex legislations and regulations into understandable components, which have been leveraged by General Counsel, ERISA leadership, Chief Audit Officer, and Board of Directors. I have also successfully demonstrated my ability to facilitate change management and build consensus among internal clients and external agencies. The skills that I have honed in various institutions are transferable and reflect adaptability, and I am looking for a similar challenge in the future.Specialties: FINRA Series 6, 26 and 63 licenses; liaison with federal regulators, auditors and chief financial officers; due diligence; Employee Retirement Income Security Act (ERISA); Internal Revenue Code (IRC); Securities and Exchange Commission (SEC); Anti-Money Laundering (AML); Know Your Customer (KYC); Office of Foreign Asset Control (OFAC) procedures and screening; American Society of Pension Professionals & Actuaries (ASPPA) presenter

Listed skills include Aml, Securities, Compliance Audits, Kyc, and 46 others.