Dan Taylor Email & Phone Number

Frankfurt Am Main, Hessen, De

Frankfurt Am Main, Hessen, De

Central Compliance

New York, Ny, Us

Manage the compliance risk assessments across the CIB lines of business to identify and assess compliance risksManage across business lines with senior CIB Compliance Advisory and Core ComplianceAnalyze risk assessment data to identify trends and control gaps Implement action plans to resolve control gapsCoordinate with Compliance Testing to confirm testing mandates and Training

New York, New York, Us

Define and implement data acquisition and data sourcing strategies for Global Compliance.Lead initiatives to identify and source key data for global compliance AML, OFAC and Sanctions risk assessments.Identify comprehensive target set of compliance data for users across AML and quantitative analysis teams.Collaborate with internal partners to create methodology documents for AML, OFAC and Sanctions risk assessments.Monitor and evaluate compliance data and information collected in support of Global Compliance risk assessments.Partner with Compliance Data Architecture team to create risk analytics methodology documents.

New York, New York, Us

Designed, built and managed middle office group to control compliance risk by centralizing operational services, promoting best practices and delivering bank-wide efficiencies.Recruited, trained and managed team of 14 supervisors, trust administrators and operations specialists.Created and implemented compliance controls and practices, including: account openings, maintenance and closings; line of business AML functions; DTC transfer support; and trust administration. Conceived and managed $2.5 million project to remediate and verify KYC data and critical account documents. Collaborated with senior managers on cross-functional initiative to develop client onboarding processes and implemented controls to ensure that all practices were followed.Developed and instituted policies and procedures. Trained client account managers and front office staff in new processes and provided ongoing support.Participated in multiple executive committees, including Bank Governance & Oversight, Corporate Technology, Risk Management, New Client Acceptance, Dodd-Frank, FATCA, and Disbursement Controls.

Zurich, Ch

Developed enhanced compliance and operational risk management controls for Private Wealth Management branch offices.Led cross-functional team of managers to create and revise customized policies, procedures and controls.Installed information management channels to capture and analyze client experience data. Used data to change the bank.Improved high net worth clients’ experience by streamlining requirements and simplifying processes while balancing client desires with business needs and risk controls.Collaborated with group heads, internal legal department, and external legal counsel to deliver compliance and operational risk control changes required to support firm's market segmentation strategy. Implemented new controls for cash disbursements, established new policies for conducting off-shore business, and contributed to revision of account opening forms and procedures.Established and led weekly meetings with branch office administrators and operations managers to deliver training and share best practices.

New York, Ny, Us

Held multiple roles in New York, Geneva and London.As Risk Manager in New York, managed risk for four offices in the US, Venezuela and Israel that generated $106 million in revenue on $14 billion in AUM. Supervised team of 5 to oversee sales, testing, trade surveillance, AML, FCPA and OFAC checks, and broker training.As Regional Risk Manager in London, managed risk for private banking and middle-market activities in the UK and Ireland as well as offshore banking into Europe and the Middle-East. Restructured staff of three branch offices into one team by integrating middle markets desk into private banking office. Collaborated on creation of policy manuals and information walls. Interfaced with UK Regulator (FSA) regarding client dispute filings and resolutions. Selected to manage creation of centralized unit to supervise broker sales practices for all European and the Middle Eastern offices. Developed performance metrics, defined staffing needs, and contributed to establishment of remote supervisory procedures and suspicious activity escalation protocols.As Compliance Manager in Geneva, supervised sales practices and delivery of US products and services to international clients, including trusts and personal holding companies, bank loans and letters of credit, multi-currency accounts, collateralized foreign exchange facilities, and professional money management. Controlled flow of sensitive and confidential information between Swiss bank and US-based broker-dealer office.As Compliance Internal Auditor in New York, conducted brokerage branch audits to test sales supervision standards, investment suitability controls, KYC and AML documentation as well as broker due diligence and conduct. Examined operational risk, securities and check processing controls and branch physical security. Wrote NASD arbitration responses, submitted regulatory filings and served as the point of contact for compliance issues and queries from regulators and branch management.

Washington, Dc, Us

Lead US Marines

Bachelor Of Arts (B.A.), Economics

Master Of Science (M.S.), Business Administration