Christopher Zappala Email & Phone Number

Boston, Ma, Us

Nassau, Bahamas, Bs

Jersey City, Nj, Us

• Designed and implemented a transaction monitoring function for institutional clients• Automated the alert generation process for digital assets• Drafted policy and procedure documents for all transaction monitoring related processes and workflows o Drafted documents that outlined the automated alert generation process, alert tuning methodology, alert mitigation workflow, narrative draft language, alert mitigation rationale, subpoena response procedure, and RFI process / RFI templates• Designed and implemented a framework to monitor transactions that involve digital assets that can’t be traced through a blockchain forensics tool• Liaised with key stakeholders to design and implement controls and standardized workflows for processes that spanned across several departments• Drafted SARs and conducted investigations on client activity that exceeded certain risk thresholds• Developed alert tuning methodology and conducted sensitivity testing on transaction data to determine the optimal alert thresholds for whalealerts and various alert categories such as terrorist financing, sanctions, child-abuse material, and fraud related alerts

London, Gb

Transaction Monitoring• Analyzed, cleared, and escalated various transaction monitoring alerts related to wire, loan and trade finance transaction activity between correspondent banking relationships o Identified and escalated illicit activity to EY leadership o Responsible for presenting all escalated loan activity directly to senior client leadership o Performed sanctions, PEP, and adverse media screenings of various individuals and companies • Performed a gap analysis of client on-boarding, transaction monitoring, and investigation policies and procedures• Collaborated with key client stakeholders to enhance policies and procedures to satisfy regulatory standardsKnow-Your-Customer (KYC) Remediation• Responsible for presenting our production team's progress to senior client and EY leadership• Handpicked by EY leadership to step in and resolve issues on specialized cases• Responsible for working with relationship managers to streamline risk assessments of a client's highest risk customers• Performed enhanced due diligence on the high-risk customers of various large financial institutions• Created tutorials and standardized language to scale the process improvement measures across my teams• Responsible for drafting, responding to, and completing approximately 8,700 RFIs (requests for information). This initiative required direct contact with key client stakeholders and leadership as well as a deep understanding of the client’s high-risk attribute policies and proceduresRisk & Controls• Independently managed the relationship with the client and key stakeholders to create a playbook which provided a comprehensive breakdown of all of the key risk controls for a back-office organization of a large bank• Performed risk assessments for the products and services of large bank holding companies. Created risk-flag matrixes for various banking products, which consisted of red flags for each product and the level of risk they posed

London, Gb

Woburn, Massachusetts, Us

• Analyzed sales volume data from the previous three years to create metrics for clients that provided them numerous ways that they can cut overhead costs• Created excel templates to simplify the process by which clients convey their business requirements• Worked with the management team on client proposals; developing PowerPoint presentations to communicate to clients• Improved business processes by analyzing current processes and making recommendations• Helped design a marketing campaign with the sales team to notify current and prospective clients about the newest service offerings

Round Rock, Texas, Us

• Simplified EMC’s ability to create server configurations and complete purchase orders through macros • Enhanced communication and alignment between business units• Attended weekly team meetings at the corporate headquarters where we reviewed problems, future actions or upcoming deadlines that were associated with any the projects we were working on• Used SAP and Excel to verify the costs of server components and forecast costs of components for future quarters

Finance, General

High School