Bruce Marshall Email & Phone Number

Toronto, Canada

• Managing the Annual AML Risk Assessment process;
• Leading the delivery on automation and ongoing enhancements to AML/KYC onboarding, screening and transaction monitoring programs;
• Managing and adjusting transaction monitoring rules and alerts to meet nanopay’s risk appetite;
• Facilitating periodic assessments of money laundering and terrorist financing risks, assess the design effectiveness of controls, providing independent review and challenge of risk and self-assessment results;
• Leading technology and process initiatives to optimize centralized AML processes for improved risk management and efficiency;
• Providing advisory support in the areas of AML, sanctions, bribery, and corruption;

Toronto, Ontario, Canada

• Gathered requirements for Transaction Monitoring projects in Antigua, the Bahamas, Barbados, the Cayman Islands, the Dominican Republic, Guyana, Jamaica, Mexico, Trinidad and Tobago, and the Turks and Caicos Islands to.
• Developed the Currency Display Requirements in Oracle case management module supporting a fix to display currency that the transaction was posted in, as well as the local currency to populate the value that the.

Toronto, Ontario, Canada

• Repair logic for deduplication in SWIFT wires, to close a gap which allowed transactions to be processed without Transaction Monitoring, which prevented transactions from being missed through the monitoring process.
• Developed and implemented requirements for initial Transaction Monitoring project (MVP1) for Oracle.
• Shaped initial critical data elements spreadsheet and process flows for AML Transaction Monitoring projects, allowing for an understanding of the relevant data elements required for monitoring, as well as, how those.
• Solicit, develop, and build requirements for Mortgage Transaction Monitoring; Wealth Management Transaction Monitoring; DPRK Transaction Monitoring; Remote Deposit Capture; and STR Filing Module.
• Remote Deposit Capture Project – Subject Matter Expert leading requirements gathering for Transaction Monitoring.

• BMO Wires Risk Assessment Project – reviewed Primary and Secondary Wire Message creation, modification and approval Applications from a process, technology and user perspective to assess risk vulnerabilities and gaps..
• BMO Wires Transaction Monitoring AML Project –- developed requirements for the monitoring of wire transactions from FED, SWIFT and Internal sources. Work included Country Code logic for all message parties, data.
• BMO External Alerts AML Project ––– created Requirements for the importing of Alerts from external sources into the Alert management and distribution solution.
• BMO Management Control Reports - AML Project –– developed requirements based on the Business need to be able to track from Alert to SAR/STR and SAR/STR to Alert(s) as measured by time, user who worked the item and user.
• BMO Balance and Control - AML Project –created requirements to comply with a Regulatory requirements to demonstrate Transaction Monitoring
• BMO MICR Line read Transaction Monitoring AML Project –created requirements and co-designed solution to use MICR line data to create reports to monitor deposit instruments to credit cards.

• BMO AML Project – created requirements and sourced data to enable the building of a Single Client View platform to contain all clients’ information from all book of record systems for AML review and oversight. Built.
• BMO AML Project – developed requirements for the consolidation of data (Big Data) to meet Regulatory time sensitive AML needs by moving Watchlist screening results, Teller, Wire, ATM, POS, Lending and Capital Markets.
• CIBC AML Project – created requirements for a new platform to allow for outsourcing AML investigation work.
• BMO Electronic Wire Process Program Review – reviewed Technology, Operations and Business readiness to deliver the BMO Electronic Wire Process Program and provided a leadership report highlighting risks and recommended.
• Training Development for the Capco North American Financial Crimes Centre of Excellence – designed and created training material for Financial Crimes Overview, AML / KYC, Fraud and Trade Surveillance for use throughout.

• Responsible for business process analysis, design and mapping of Item Processing and Second Level Support operation transition from Ally USA to Ally Canada including ongoing process monitoring, maintenance and.
• Developed and tested the Cheque and Item Processing streams including changing the processes for engaging the Direct Clearer (Scotia) and set up direct delivery of Cheques to Symcor as part of new streamlined processes
• Identified issues to be mitigated, designed and developed processes and governance model for Anti Money Laundering (AML) for Ally Financial Canada and ResMor Trust.
• Participated and/or lead working groups in time sensitive and challenging environments, comprising of key stakeholders (i.e. Directors, VP’s, senior managers) from across the organization (Business segments.
• Identified change management implications of transition ( communications, skills development, process changes, technology changes) and developed and/or executed plans to address identified
• Documented concise business requirements to close 50,000 customer accounts in bulk providing clear direction to technology on requirements and priorities. Worked collaboratively with RBC Technology, Architecture, and.

• Recommended the use of partner Point of Sale terminals to accept all forms of payment for donations, allowing the Canadian Red Cross to access 100% of payment options versus the previously available 16%.
• Reduced administrative costs for fundraising by 20%; increased the geographic reach of fundraising efforts; and increased the percentage of customer contributions by over 100% at project completion.

• Analysed gaps, developed test cases, and managed meetings for Truncation and Electronic Cheque Presentment (TECP)
• Created new, client-centric products and led trainings for up to 30 in various Banking business units.
• Developed and led the Credit Card Convenience Cheques product, generating $143M in new annual revenue.

• Collaborated on major projects in Cheque Imaging, Cheque Processing, and Cheque Exceptions ensuring subject matter expertise and accuracy was provided throughout various stages.
• Reviewed methodologies, tracked new products, and provided training for all new products to Banks and internal users.
• Participated in designing a product to electronically move American cheques in real time through the US clearing system, which saved the client >$100M annually.

Canada

• Responsible for the growth of the broker portfolio including the recruitment and acquisition of quality brokers with contracts that were specific and appropriate to the Broker.Exceeded growth numbers in:o Total number.
• Championed an internal team referral strategy, proactively tipping the team focus from a service to relationship based approach.
• Recognized as an industry expert who was frequently sought out as a coach to the relationship management Sales force.
• Achieved an “exceptional level” performance rating (top 5% in the organization) in first year on the job.
• Pioneered change with the launch of new branding which allowed for the segmentation from other distribution channels including all the business requirements, gap analysis, and testing.

• Responsible for planning, leading, documentation of, and delivering the startup and initial growth of this unique third party distribution channel for term investment instruments.
• Responsibilities included end to end leadership and SME of the Full Life Cycle of Cheque and development of processes to manage all cheque payments as well as the development of a 2 year business plan for senior.
• Created processes for managing incoming cheques and payments for a new third party distribution channel
• Achieved annual revenues of $2.55MM against an industry standard of $800M.
• Directed the development and implementation of 7 new products which contributed to approximately 20% of the firm’s revenue ($510M).
• Lead the exponential growth of this fledgling start up group from a small industry player to the second largest in Canada (moved from number 20 to number 2).

• Exceeded targeted acquisition of new brokers by 33% (200 versus 150) in a single year.
• Exceeded sales target of $50MM by 50%; was the top performer on the team with over $75MM in sales.

Montreal, Quebec, Canada

• Responsible for a range of functions in an area that was new to the Operations environment. This included drafting processes, testing processes, providing expertise, and assisting in expediting the transition of.
• Wrote operations procedures for Margin Trading.
• Provided expertise for the settlement of Money Market and Foreign Exchange deals.
• Upgraded skills with Options Trading courses - Chicago Mercantile Exchange.
• Performed job functions at an exceptional level throughout tenure.

Canada

• Responsible for a wide variety of functions within the Treasury environment at both the National trading desk and as co-head of a regional trading desk.

• Developed an in depth knowledge of all functions associated with Branch banking