AEOI Regulatory Solutions Department -Lead Alternatives Regulatory Liaison Support the reduction/elimination and regulatory risk through accurate and timely reporting and enhanced due diligence on customer accounts Act as a tax/information reporting specialist to execute the FATCA/CRS advisory/rollout, Systems conversions/roll outs Implemented appropriate procedures/controls to ensure consistent compliance with Information Reporting and FATCA/ CRS requirements Identified and participated in process re- engineering and redesign to achieve better controls, compliance and efficiency Ensure tight controls over owned processes to include key controls Review, validate and process W-8 and W-9 tax forms and related documentation according to IRS Chapter 3, chapter 61, Section 3406 and FATCA regulations as well as Self Certifications per CRS regulations. Contributed towards departmental requirement to adhere to strict regulatory and Compliance requirements, per IRS Expand the business by increasing client base, product offerings, and efficiency Manage relationships with the existing client base Coordinate with the sales team to drive new business Align the technology development queue with business priorities Contribute to the business plan for each product and metrics for success, execute it and analyze outcomes

Responsible for leading 2 Offshore Production Teams (FATCA team and KYC team - Patriot Act Certification/311 Notices) - Setting milestones, providing guidance. Filtering issues up to the Global team and various other forums and workstreams while cascading Global level guidance and policies.  Quality Assurance of FATCA classification for all withholding certificates (W-8BEN, W-8BEN-E, W-8ECI, W-8EXP, W-8IMY, and W-9) of new client onboarding and existing clients, perform Beneficial Owner Analysis, and liaise with production and internal/external stakeholders including KYCS, Compliance, Corporate Tax and Client/Relationship Managers to ensure FATCA/KYC regulatory compliance. Ensure compliance regarding Client Onboarding with Tax/FATCA and all related AML/KYC regulatory policies. Updated processes and procedures to reflect process improvements in FATCA/KYC compliance requirements. Certify compliance, operational risk controls in accordance with HSBC or regulatory standards and policies; and optimize relations with regulators by addressing and resolving any issues. Performed testing/implementation related to system modifications including the recent FATCA regulations as it relates to Tax Reporting and transitioning remediation profiles onto new platform.  Monitored daily transactional activity for any reportable transactions and made required NRA and Backup withholding to satisfy liabilities.  Preparation of Monitor/IRS audits and tax reporting/withholding.

• Managed daily operations of 50+ clients and 25+ caregiver, while supervising an office staff of 3 at a Non-Medical Home HealthCare Agency for the elderly providing Companionship, Home Health Aides, Personal Care Attendants, Live-In Care, Homemaking and Transportation Services.• Oversaw administrative operations of patient accounts and billing procedures in healthcare setting with heavy focus on maximizing revenues, reimbursements and collections from third party payers.• Governed all aspects of key accounts by identifying health service needs and cultivating these relationships. Develop and deliver presentations to key decision makers and secure client agreements.• Managed external audits and conducted internal audits for both clients and employees and assured compliance with Department of Health and Homecare regulations and Quality Assurance requirements.• Prepare, present and monitor all necessary reports to effectively monitor outcomes and evaluate client account status. Make recommendations and implement appropriate modifications as necessary.

Advised sales with client on-boarding ultra-high net worth recruits and assisted throughout the whole process to final doc execution through reviewing and processing all managed account documentation within various portfolio management products/programs. Proactively managed all programs through trade verification and reconciliation and also daily review of administration reports used to identify and investigate cash and position breaks, new account establishments, account maintenance, monitored margin positions /disbursements/ journals, and billing for various fee-based products. Worked closely as a liaison to the UBS Branches and outside Investment Managers to provide feedback, resolve issues and concerns in the account setup, analysis of investment strategies and performance of current portfolios, proposed asset allocation and implementations. Processed high-volume managed account terminations and processed billing refunds for managed accounts. Created daily reports of accounts to ensure proper coding, tracking, and checking for accuracy. Performed testing and provided input on Investment Solutions Toolset proprietary application. Compiled IT initiatives in tracking data on outstanding documents into several different reports and provided operational risk reporting analysis monthly to senior management. Utilize multiple applications in order to assist customers efficiently and in a timely manner. Multi-tasking, listening, inputting data, probing and providing solutions while navigating screens and system applications.

Researched and investigated international client data and documentation to review validity of claimed withholding Tax status for the Beneficial Owner on W-8BEN and W-9 tax forms and setting up each withholding system coding accordingly for a Tax Remediation project in compliance with the Patriot Act/KYC procedures. Executed and accelerated documentations requests for new accounts and existing Relationships with expiring W-8BEN/W-9 Tax documents and transferred data to excel spreadsheet for the BSA Compliance Officer. Assisted in identifying compliance risk and ensured that proper controls, procedures, processes are in place to mitigate these risks. Reviewed KYC profiles to comply with UBS KYC policies, including legal documents and photo ID`s.

Verified through due diligence procedures international client tax documentation to confirm appropriate tax withholding status for interest and dividend payments for the corresponding beneficial owner. Collaborated with Burt, Staples & Maner/PricewaterhouseCoopers in the successful execution of in-house computer system (GPRS) for high-volume evaluations of non-resident alien accounts W-8BEN and W-9 tax forms for a Tax Remediation project. Performed quality control reviews and reports using Excel and internal computer systems. Established leadership role in the training and supervision of new employees. Interfaced with senior management to ensure documentation was accurate for audits.