Chris Benedict, J.D. Email & Phone Number

Minneapolis, Minnesota, United States

• Analyze transaction data and risk-based alerts to identify unusual financial and/or fraudulent activity, to include money laundering, terrorist financing, structuring, any other financial risk.• Subject matter expert on KYC, BSA, AML, CDD, EDD.• Review, test and implement compliance policies and procedures pursuant to Rule 206(4)-7 of the Investment Adviser's Act of 1940 including Credit, Best Ex, Cross Trade, Counterparty, New Issue Allocation, Form ADV and Performance Dispersion.• Interpret regulatory guidelines (e.g., SEC, ERISA, Investment Adviser Act of 1940 / Investment Company Act of 1940, and other laws as applicable), client investment agreements, legal documents, and policies & procedures.• Conduct Risk Assessments to monitor applicable SEC and ERISA regulations and proposed amendments as necessary to determine applicability to current policies and procedures and determine impacts and necessary revisions to current policies.• Utilize Advanced Excel (pivot tables, Vlookups, conditional formatting), Bloomberg, Basis Code, WDesk and DLVAR for compliance testing.

Greater Minneapolis-St. Paul Area

• Conduct risk assessments to onboard Institutional clients utilizing KYC, BSA, AML, KYC EDD, and LexisNexis/Westlaw.• Lead Quality Auditor on BSA and Data Quality Issues (DQI) for multiple lines of business within Wholesale Banking.• Subject matter expert on BSA, AML, KYC, CDD and EDD.

Greater Minneapolis-St. Paul Area

Negotiate with customers on Mediation Requests and/or make a monetary offers for claimed damages. Represent Wells Fargo with full settlement authority in Mediations that have a high level of impact to Wells Fargo’s reputation. Make on the spot decisions in live meetings with customers. Analyze and research to ensure that all relevant facts and details are available for premeditation and formal mediation sessions. Meet the needs of customers, investors, and bank while minimizing risk exposure.

Greater Minneapolis-St. Paul Area

Conduct risk assessments to onboard Institutional clients utilizing KYC, BSA, AML, CDD, EDD, and LexisNexis/Westlaw.Onboard corporate banking relationships with complex organizational structures, sophisticated treasury management services and significant credit lines. • Analyze transaction data and risk-based alerts to identify unusual financial and/or fraudulent activity, to include money laundering, terrorist financing, structuring, any other financial risk.• Subject matter expert on BSA, AML, KYC, CDD and EDD.

Greater Minneapolis-St. Paul Area

• Consistent top department producer totaling 1000 properties totaling $5M in payments. Recipient of numerous Trail Blazer awards.• Interacted with attorneys, all levels of the organization and cross business units (bankruptcy, foreclosure, home preservation and investor services).• Effectively and professionally negotiated with agencies, investors and insurers as well as interact with all levels of management, staff, and cross business units.• Reviewed loans for appropriate documentation and followed up with attorneys and internal/external departments.• Reviewed, analyzed and submitted claims of reimbursement of principal, interest and expenses in accordance with agency, investor and insurer regulations.

Downtown Minneapolis

Negotiated vendor relationships, procured all ordering and completed all accounting. Managed relationships and cultivated corporate catering by cold calling and business to business sales. • Managed, motivated, interviewed and hired a staff of 10 –20 employees.• Owned and operated Broadway Pizza in the Gaviidae Common food court in Downtown Minneapolis.• Served over 50,000 customers totaling $500,000 to $750,000 annually.• Voted Best Pizza by the Downtown Journal.

Downtown Minneapolis

Negotiated large purchases through multiple vendors and Ameriprise. Interacted with internal and external resources at all levels to procure purchases for Ameriprise Financial. • Coordinated corporate purchases totaling $10M including executive armored vehicles, fork lifts, shredding devices and defibrillators for branches nationwide.• Conducted due diligence on potential suppliers to American Express and Ameriprise Financial by drafting, drafting, coordinating and interpreting RFPs and RFIs.• Analyzed procurement initiatives using discounted cash flow and break-even analysis to maximize return and mitigate operational risk.• Maintained purchase order databases utilizing Access and Excel (pivot tables, VLOOKUPS and macros).

Downtown Minneapolis

Managed relationships with internal and external money managers and investment consultants. Worked with internal staff, external consultants, and firm’s custodian to ensure compliance of investment strategies, objectives and asset allocations while mitigating operational risk. • Interacted with internal staff, external managers, consultants, and custodian to analyze and interpret performance results for the Board’s $5B fund including Domestic/International equity, fixed income and Alternative investments.• Served as lead Board resource for all investment performance information and analysis of investment results.• Maintained all performance and attribution databases utilizing pivot tables, VLOOKUPS and macros.• Created attribution reports to write qualitative commentary of the Board’s fund, portfolio and pool performance.

Downtown Minneapolis

• Analyze transaction data and risk-based alerts to identify unusual financial and/or fraudulent activity, to include money laundering, terrorist financing, structuring, any other financial risk• Subject matter expert on BSA, AML, KYC, CDD and EDD.• Researched, interpreted and drafted legal documents for compliance with state, federal and SEC rules and regulations, including Investment Adviser Act of 1940 / Investment Company Act of 1940.• Project managed all regulatory filings by successfully coordinating internal / external legal, portfolio management and accounting resources.• Provided legal guidance and legal support including drafting, reviewing documents and negotiating contracts.• Managed all Blue-Sky state mutual fund registrations and ensured portfolio compliance with investment strategy, objectives, asset allocation and guidelines. • Increased management’s product knowledge by writing clear and concise performance materials and analyses.• Increased job efficiencies by simplifying performance reporting for domestic and international separately managed and commingled products by streamlining spreadsheets utilizing pivot tables, VLOOKUPS and macros.• Mitigated portfolio risk by creating programs that utilized Bloomberg. FactSet, Excel and Portia to analyze risk and attribution of client account asset allocation versus index compositions.

Doctor Of Law - Jd, Securities Law, Corporate Finance And Banking Regulation

• Earned J.D. by attending evening classes part-time and working full-time. • Concentrated in Securities Law, Corporate Finance.

Ba, Financial Management & Economics

• Completed B.A. with double major in 3 years and a GPA of 3.6 on 4.0 scale. • Qualified and completed all course work as an Aquinas.

High School Diploma, College Prep

• Lettered on the Math Team. • DECA - Won two 1st Place State trophies in Finance in individual competition. Went on the Nationals.