Christopher Baum Email & Phone Number

Providence, Rhode Island, United States

Designated BSA/AML Compliance Officer and Money Laundering Reporting Officer (MLRO) of record for Moneycorp US Inc. (covering FinCEN, FINTRAC, and Revenu Québec, as well as US state money transmitter regulators). Responsible for overseeing the company’s US and Canadian compliance programs. Report to CEO of Moneycorp US Inc, with dotted line to Chief Risk.

Providence, Rhode Island Area

• Assisted the Chief Compliance Officer in implementing and carrying out general company-wide operational policies and procedures, and in partnering with key business areas. Managed a team of four Compliance resources.
• Updated key compliance procedures
• Coordinated response to BSA/AML Independent Review
• Updated and delivered web-based AML Compliance training to all staff
• Worked with Sales organization to increase efficiency and effectiveness of account onboarding and know your customer (KYC)/customer due diligence (CDD) processes
• Monitored online tools for regulatory or other updates, and communicated as appropriate

• Manager of two teams of work-from-home field officers, distributed across the US, that assess the Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and Anti-Fraud compliance programs of Western Union.
• Regularly present high-profile cases to Agent Compliance Controls Oversight Committee, a body composed of senior leadership and responsible for making final decisions on all matters pertaining to Agent compliance
• Support the company’s Financial Intelligence Unit, Corporate Security, and other departments by conducting high-priority investigations of questionable Agent activity
• Provide onsite and remote coaching and mentoring to my direct reports and their teams
• Develop and deliver training to the entire US field team regarding key updates to our processes, procedures, and business rules
• Work closely with Sales team to provide Compliance support to current and prospective Agents

New York, NY

• Manager of a team of field officers that assessed the AML/CTF/Anti-Fraud compliance programs of Western Union Agent locations and networks. Also managed my successor as designated AML Compliance Officer at the.
• Managed a team of five to eight work-from-home employees distributed across the US
• Provided onsite and remote training, coaching, and mentoring to all team members
• Conducted compliance program reviews in response to escalations or other special circumstances
• Developed analytical tools to aid field team in conducting transaction analysis
• Became recognized expert and “super-user” of the company’s proprietary case management system

• Designated AML Compliance Officer for the company’s flagship retail location, a 24-hour-a-day, 365-day-a-year money services center near Times Square in the heart of Manhattan. Managed the location’s AML/CTF/Anti-Fraud.
• Developed and implemented extensive revisions to the site-specific AML/CTF/Anti-Fraud Policies and Procedures in response to changes in laws, regulations, and company policy
• Consistently received outstanding results in examinations of the location’s compliance program by corporate internal audit and by state and federal regulatory agencies
• Designed and implemented reporting tools for risk-based monitoring of transaction activity
• Developed materials to inform and educate employees and customers regarding “hot topics” in fraud and compliance
• Engaged frequently with customers regarding compliance and fraud-related issues

• “The face of the business” with respect to AML compliance and operational risk. Represented the company during regulatory examinations. Oversaw transaction monitoring and SAR filing. Developed and implemented tools for.
• Served as Interim Anti-Money Laundering (AML) Compliance Officer
• Revised and updated the company’s AML program manual, standard operating procedures, and training materials
• Developed and implemented new AML compliance program for the company’s Canadian affiliate
• Known as the company’s leading expert and point person for all issues pertaining to check fraud, operational risk, and the Uniform Commercial Code (UCC)

Wrote training and reference materials for inventory management job function, including thorough documentation of the company’s proprietary inventory management software. Delivered this material in classroom and one-on-one settings. Developed and implemented training evaluation tools. Designed and delivered training courses outlining the basics of the.

Created reporting and tracking tools (MS Access) for New Business unit. Analyzed workflow for bringing new clients on board and identified process improvements. Oversaw training of new Account Managers.* Reduced average new client implementation time by more than 50% (from over 60 days down to 30) by identifying and implementing enhancements to.

Worked with a team of managers to identify the organization’s training needs, both for soft skills and for technical skills, and create and deliver materials accordingly. One of two managers overseeing soft skills training. Assisted Instructional Design department by contributing to manuals and to leader and participant guides. * Selected to serve on.

Master Of Music, Orchestral Conducting

Bachelor Of Arts, Classical Guitar