Christopher Ernst Email & Phone Number

United States

Performed third line testing of BSA/AML areas for large International Bank. Functions included but were not limited to design and operational effectiveness testing, development of testing scripts/testing program, thematical roll-up of findings, and stakeholder vetting.

Worked as Financial Crimes Program subject matter expert in an advisory role in order to provide guidance on the development and implementation of automated governance programs for Banks, Fintechs, Cryptocurrency Exchanges, and Money Service Businesses.

Reviewed International and Domestic Wire Payments before their release in order to ensure compliance with the Travel Rule, Internal Bank Policy, and OFAC/Sanctions Regulations.

United States

Served in Monitorship capacity for large Interational Bank performing full review of Sanctions/OFAC Program. Areas covered included but not limited to, Transaction Screening, Customer List Screening, Vendor Screening, OFAC Risk Assessment, and Trade Finance.

Performed Monitorship role which entailed a full BSA/AML and OFAC/Sanctions Program review for a large Broker Dealer which in response to FINRA and CFTC regulatory mandates. Areas covered included but not limited to, AML Transaction Monitoring for both money movement and security trade transactions, new product approval which included the rollout of.

Performed numerous roles as project manager on several different engagements involving many aspects of BSA/AML, OFAC/Sanctions, Fraud, and Anti-Bribery and Corruption, including but not limited to, KYC remediation and design of KYC risk rating models, Transaction Model Validation, Transaction Surveillance Investigations, Transaction Surveillance Audit.

Worked on AML LookBack investigation for a large Colombian based bank requiring complete Spanish fluency in reading and analyzing all documents and transactions. Functions included the Quality Assurance role pertaining to the analysis and investigation of potentially suspicious financial transactions in international transfers within the correspondent.

Worked on remediation KYC project of vetting, research and reporting of customer information and ownership structures in compliance with the USA PATRIOT Act Section 312 (Due Diligence and Enhanced Due Diligence) and Section 326 (CIP requirements). Involved the application of my legal, financial and accounting expertise to investigate and determine the.

Worked on LookBack Anti-Money Laundering (AML) transaction monitoring project in the correspondent banking sector. Functions included the Quality Assurance, analysis and investigation of potentially suspicious financial transactions in correspondent banking, and the drafting of related SAR’s (Suspicious Activity Reports). Focus was on red flag items.

Worked on two projects under the FDIC Receivership Assistance Contractor Program dealing with the closing of failed banks. One project I was the investigator who handled the interviewing and write-ups of key bank executives, mortgage review, analysis of board minutes, personal financial statement review and all related investigative matters dealing with.

Worked on KYC uplift performed pursuant to regulatory requirement that the Investment Firm become a registered Bank Holding Company. Functions included Know Your Customer (KYC) process of vetting, research and reporting of customer information and ownership structures in compliance with the USA PATRIOT Act Section 312 (Due Diligence and Enhanced Due.

Functions included the Know Your Customer (KYC) process of vetting, research and reporting of customer information and ownership structures in compliance with the USA PATRIOT Act Section 312 (Due Diligence and Enhanced Due Diligence) and Section 326 (CIP requirements). This entailed an in depth analysis and investigation to determine the beneficial owner.

Worked as consultant for retail bank involving the internal audit of mortgages and credit leases. Functions included the full audit of residential and commercial mortgages and credit leases against existing policies and procedures, and the drafting of an audit report.

United States

Worked on an Anti-Money Laundering (AML) LookBack project. Functions included quality assurance and review of SAR’s (Suspicious Activity Reports) and NFA (No Further Action) reports. Analyses and investigation was accomplished by using Excel to sort, filter and query red flag items pertaining to geography of each individual, geographical relationship.

Worked on an Anti-Money Laundering (AML) LookBack project. Functions included transaction monitoring via the analysis and investigation of potentially suspicious financial transactions in correspondent banking, and the drafting of related SAR’s (Suspicious Activity Reports). Also performed quality assurance and review of SAR’s and case closings drafted by.

Worked on accounting and legal compliance project entailing the review and analysis of mortgages and Mortgage Backed Securities (MBS). Worked on SOX design project dealing with mortgage lender and loan compliance. Worked on regulatory response to Consent Order issued by Office of Federal Housing Enterprise Oversight (OFHEO) involving the drafting of.

Performed securities investigations related to Market Timing and Late Trading pursuant to a New York Attorney General mandate. Analyzed and reported on information pertaining to SEC compliance within the broker and trading sector. Performed reviews relating to broker dealer compliance under the Securities Act of 1940. Acted in the role of quality assurance.

Doctor Of Law - Jd

Bs

Mba