Charles Burns Email and Phone Number
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Dynamic compliance and risk management professional with extensive experience in compliance monitoring, risk management, and regulatory compliance across various financial services institutions. I have a proven track record in leading high-performing compliance teams, management, team building, and employee development. My robust understanding of industry regulations, including SEC, NFA, CFTC, OCC, and FINRA, and my expertise in anti-money laundering (AML), Know Your Customer (KYC), and the Bank Secrecy Act (BSA), positions me as a strategic leader in compliance.Throughout my career, I've been recognized for excellence in project leadership, process improvement, and developing and implementing compliance policies and procedures. I excel in fostering strong relationships with regulators and stakeholders, ensuring adherence to global compliance standards while driving operational efficiency and reducing risk.Areas of Expertise:Trade Monitoring | Sales & Marketing Review | Investment Guidelines Monitoring | Regulatory Audits | Compliance & Risk Management | Retirement Products | OFAC & FinCen Compliance | Patriot Act & Code of Ethics (COE) | Securities Exchange Commission (SEC) | National Futures Association (NFA) | Commodity Futures Trading Commission (CFTC) | Office of the Comptroller of Currency (OCC) | FINRA & Anti-Money Laundering (AML) | Suspicious Activity Reports (SARs) | Bank Secrecy Act (BSA) & Know Your Customer (KYC) | Exchange-traded Funds (ETF) | Federal Reserve Board (Regulation – T) | New York Stock Exchange Regulations (NYSE)
Pgim
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Compliance ManagerPgim Sep 2023 - PresentNewark, NjIn my role, I lead and manage a team of Compliance Analysts and Associates, ensuring alignment with the firm's policies on personal securities trading, gifts and entertainment, and conflicts of interest. I assessed associates' skill levels, identified areas for improvement, and designed targeted training programs to address deficiencies, thereby enhancing overall development and proficiency. I oversaw the translation and coding of compliance rules and investment guidelines into the system, conducted forensic testing, analysis, resolution, and documentation of trade errors, and monitored the activities of registered representatives to ensure adherence to Broker-Dealer requirements and company standards. I collaborated with regulators, auditors, and business unit management to facilitate regulatory exams, inquiries, and audits, developed, implemented, and maintained comprehensive compliance policies and procedures, and supervised the administration of regulatory filings, including Form ADV, Form PF, FINRA-related filings, and client certifications. Additionally, I provided support to global associates across the North American, European, and Asia-Pacific regions.
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Director, Global Regulatory RelationsMorgan Stanley Jul 2021 - Aug 2023New York, Ny, UsAs the Director of Global Regulatory Relations, I provided centralized oversight of the firm's supervisory activities and related developments globally, with a focus on regulatory reviews, examinations, and continuous monitoring activities. I established and maintained open, cooperative, and constructive relationships with the firm's regulators, ensuring that the Board, the Enterprise Regulatory Oversight Committee, Senior Management, and relevant stakeholders were kept informed of regulatory relationship matters within the Enterprise Risk Management framework. I led the Global Regulatory Relations Group's operational framework across the UK, Asia, Japan, and USA regional teams, managing the status of exam findings and reporting. Additionally, I supported the execution of regulatory response and remediation processes, including remediation project tracking and reporting. -
Senior Compliance AnalystPrudential Financial Mar 2017 - Jun 2021Newark, New Jersey, UsAs a Senior Compliance Analyst at Prudential, I monitored portfolio investment guidelines, researching potential trade violations to ensure compliance. I ensured that portfolio trades complied with regulatory and contractual requirements and served as the liaison for resolving legal and regulatory interpretation issues within the asset management business. I screened the personal trading, emails, and social media of employees for Code of Ethics violations. Additionally, I reviewed marketing advertisements and literature to verify their alignment with licensing requirements in applicable US and non-US jurisdictions.I assisted with regulatory filings, including Form ADV, South Korean Business Report, and NFA Filings, and managed document production for regulatory exams, inquiries, and audits. I created new procedures and maintained existing Standard Operating Procedures, executed in-unit test plans for various business functions, and led the integration of Axonify, a web-based training platform. This involved collaborating with Legal and Senior Management to revitalize compliance training, resulting in process improvements and maximized employee training opportunities. I also assisted with developing and implementing compliance-related training and enterprise-wide strategic initiatives, serving as the primary point of contact for the Training Program. In addition, I evaluated associates skill levels, focused training plans on deficiencies and reinforced associate's development and training. -
Sr. Margins Analyst / Financial FraudMetlife Jan 2007 - Jan 2016New York, Ny, UsAs a Senior Margins Fraud Analyst, I audited 250 accounts weekly to identify and address risk issues related to corporate actions and mutual fund compliance. I assisted trade support with daily account reconciliation for trading, sundry, and firm house accounts, ensuring compliance with Federal Reserve Board (Regulation-T), NYSE, Corporate Actions, AML regulations, and internal monetary policies by screening daily activities of cash and margin accounts. Leading Project Magellan, I utilized Complexity Value Stream Mapping to enhance quality and productivity while reducing market risk and exposure to MetLife by assessing and redesigning workflow. I achieved a 98% daily processing workflow completion rate. I also assisted in the recruitment, onboarding, and development of new employees and managed staff in accordance with program specific workflow.Additionally, I led Project Eldorado, a transformational initiative that converted the MetLife clearing platform from Pershing to National Financial Services. This project simplified process lead-time, increased capacity, and optimized resource utilization, completing the project in 2 years, outperforming the projected 3-year timeline. For my efforts, I was awarded the Star Employee Award for outstanding commitment and service and received the Project Eldorado Plaque for consultation and assistance. -
Fraud AnalystMorgan Stanley Jan 2004 - Jan 2007New York, Ny, UsIn my role as a Fraud Analyst, I monitored account activity to ensure compliance with AML regulations and US Patriot Act. I drafted and reviewed SARs. I verified and processed check and ACH disbursements on stolen, lost, blocked, and closed accounts. I reviewed wire transfers and checked writers for BusinessScape and Active Assets Accounts. I also worked on Project BusinessScape, where I streamlined the check signature verification process from Active Asset Accounts to BusinessScape, producing a more efficient analysis and approval process for branches and clients. I reduced unnecessary process complexity through Value-Add Analysis.
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Retirement Plans ProcessorAig Sunamerica Sep 2002 - Jan 2004New York, Ny, UsIn my role as a Retirement Plans Processor, I applied contributions to all retirement and non-retirement accounts according to clients’ instructions. I completed requests for fund exchanges and redemptions. I conducted Initiated Transfer of Assets (TOA) for external financial institutions. I also addressed incoming and outgoing wire transfer on accounts. I reviewed loan requests, repayments, RMDs and other IRA-specific calculations on behalf of clients. I itemized and consolidated house accounts (Check, ACH and Direct Deposit accounts). I developed and executed plans for servicing new products as introduced or acquired, including training staff members, achieving satisfactory ratings on all annual internal and external audits. I participated in the establishment of policies pertaining to design, administration and service of all Broker Dealer product offerings, resulting in system improvements that allowed department to continue exceeding established deadlines and workflow process.
Charles Burns Skills
Charles Burns Education Details
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Hampton UniversityBusiness Management
Frequently Asked Questions about Charles Burns
What company does Charles Burns work for?
Charles Burns works for Pgim
What is Charles Burns's role at the current company?
Charles Burns's current role is Experienced Compliance and Risk Management Professional | Strategic Leader in Regulatory Compliance and Fraud Prevention | Proven Track Record in Financial Services.
What is Charles Burns's email address?
Charles Burns's email address is ch****@****ial.com
What schools did Charles Burns attend?
Charles Burns attended Hampton University.
What skills is Charles Burns known for?
Charles Burns has skills like Fraud, Anti Money Laundering, Leadership, Risk Management, Troubleshooting, Time Management, Fraud Investigations, Check Fraud, Credit Card Fraud, Customer Service, Sar, Deadline Oriented.
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