Christopher T. Williams Email & Phone Number

New York, Ny, Us

New York, Ny, Us

New York, Ny, Us

• Serve as subject matter expert (SME) to strengthen ratings process, planning and control functions globally in adherence with regulatory and compliance mandates (e.g. Dodd-Frank & European Regulation CRA3)• Serve as business project lead for major process reengineering, system enhancement, and business transformation projects, leveraged agile methodology• Manage user stories (from ideation and acceptance to implementation) as well as Backlog in JIRA across the release calendar• Manage international team of colleagues in London, UK and Bagalore, India.• Coordinate and manage the quarterly metrics & reporting of regulatory mandated processes for Senior Management impacting over 1,800 rating analysts globally• Strategize and propose feasible remediation solutions to Senior Management after identifying key system and process inefficiencies• Leverage knowledge of rating process and regulatory requirements to provide guidance to stakeholders during prioritization, planning and implementation of process and systems enhancements• Liaise with key stakeholders (e.g. LOB representatives, Compliance, Legal and Technology) to enhance existing and implement new ratings process and controls changes• Develop and manage production of regular management reports on system/process metrics and content for the LOBs, Compliance and Legal; present updates to senior management

New York, Ny, Us

New York, Ny, Us

· Perform intake controls to ensure all alerts are logged and assigned in a timely manner· Collect and document data, including alert, investigation, or SAR history; KYC information; relevant account and transaction data, plus any other required information to assist the investigation· Review and analyze underlying data gathered to assess reasonable cause to advance an alert to Investigations or to clear· Disposition and fully document all alerts, including supporting data, analysis and rationale within the case management system in a timely manner· Build relationships with AML Investigations units, and effectively communicate and transfer information for case investigations· Conduct periodic internal account/customer reviews to identify potentially suspicious activity· Function as a key contributor with demonstrated knowledge of AML/KYC issues, as well as broader functional knowledge· Participate in the development of goals and execution of strategies within the function or department

New York, Ny, Us

• Provide technical expertise on 8 various software/mainframe systems to broker dealers, client service representatives, and other internal and external clients on account openings and updates• Manage the Verification Function of I-Process Workflow tool to ensure essential account documentation is reviewed correctly • Constantly collaborating with system managers and technical programmers to implement system enhancements to increase controls, minimize manual intervention, create synergies, and streamline processes• Processor for a range of “Prime Brokerage” accounts and trades with a minimum net worth of 1 million USD• Demonstrating ability to work independently in a problem solving capacity, coupled with a strong ability to multi-task and consistently provide a high standard of service to clients and colleagues • Supervising daily account Purge and Reinstatement process for the firm’s Broker Dealer Services• Working with colleagues in New York City/Tampa to manage the quarterly account purge process of about 5,000 accounts• Primary liaison contact for the firm to assist Broker Dealers in the Chase Wealth Management conversion as well as process unique accounts domiciled in “high risk” countries

• Received Binghamton University’s “Outstanding Chapter of the Year Award” under presidency• Pioneered new annual fund-raising events which tripled the chapter’s exchequer/budget to $5,000• Elected as a Spokesperson for the University’s Greek Council, which included creating and leading presentations at other college/universities nationally• Strengthened and maintained social relations with administrative departments, and other Greek Organizations • Providing alumni advice and expertise to the current undergraduate members, to ensure Mu Kappa continues to operate as an award winning chapter

New York, Ny, Us

• Analyzed clients monetary status to determine which financial products are suitable • Assisted senior representatives with reviewing and researching client portfolios and mutual funds • Determined asset allocations for clients and assisted with analysis at equity/bond forms• Consolidated market and financial data for evaluation of investments

• Facilitated multiple levels of Mergers & Acquisitions/Finance courses to a class of 50 High School Students • Mentored and provided insight to students on Business/Finance related coursework on the collegiate level• Fostered and developed relations with Fortune 500 Corporate on behalf of “Youth About Business” to gain sponsorship for the program