Andrew C. Email & Phone Number

New York, NY, US

Frankfurt Am Main, Hessen, DE

London, GB

• Managed and conducted BSA/AML program independent assessments focusing on governance, 314(a), transaction monitoring (TM), Suspicious Activity Reports (SAR), Know Your Customer (KYC), and sanctions programs..
• Responsible for creating engagement pursuit plans; activities included defining scope, assumptions, risks, deliverables, and timelines to create pricing.
• Subject matter advisor and manager of buy-side due diligence reviews for Virtual Asset Service Providers (VASP). Reviews focused on target companies Know Your Customer, TM, and sanctions programs with reports providing.
• Managed a team of 6 throughout a multiyear correspondent banking AML lookback. Provided training and coaching for the broader project members while conducting quality assurance (QA) reviews on request for information.
• Responsible for managing user acceptance and post-release testing of two TM case management tools. Managed the creation of end-user documentation, desktop manuals, and training.

• Financial Crimes Compliance Consultant for the following companies:-SQA America Consulting-Treliant Risk Advisors-Industrial Bank of Korea-K2 Intelligence-Barclays
• Developed a comprehensive compliance review program that utilized industry best practices, FFIEC requirements and proprietary SQA tool sets to allow banks to attest compliance with DFS NYCRR Part 504.
• Wrote a compliance test plan for an FRB-mandated OFAC program review of a global bank to assess the private and commercial banking compliance operations and systems of 5 international branches and a central processing.
• Completed control-based testing on KYC & Sanctions functions within corporate and commercial banking, focusing on trade finance controls. Testing included process walkthroughs, risk-based sample reviews and creation of.
• Reviewed and dispositioned trade finance alerts by comparing various trade finance documents (Letters of Credit, Letters of Guarantee, Invoices, Offer Sheets, Bills of Lading) to determine if the applicants.

• Conducted quarterly testing of customer files to ensure that transaction monitoring, risk rating, CIP, KYC, CDD, EDD, and Negative New Screening was current, accurate, and completed according to internal procedures &.
• Assessed the effectiveness of the Bank’s sanctions screening system’s fuzzy logic settings; conducted backtesting and provided a report to branch management, resulting in increased filter fuzziness.
• Evaluated KYC onboarding, transaction monitoring, and case management system request for proposal (RFP) responses while determining approximate project timelines based on vendor assumptions. Reports for qualifying.

London, New York, US

London, GB