• Perform detailed reviews to verify compliance with AML/KYC/CIP banking regulations and standards, as well as Bank Security Act (BSA) mandates.• Conduct detailed reviews of existing practices to identify potential risks and non-compliance incidents.• Collaborate with business units to avoid an adversarial audit relationship and establish a partnership approach towards positive change, internal controls and transformation management.• Work closely with business units to implement improved internal controls, enhanced procedures and protocols, technology improvements and other changes to mitigate risks and achieve total compliance.• Encourage business unit participation in improved practices to create shared ownership and accountability for positive outcomes.• Prepare reports for executive management review.

ASSISTANT VICE PRESIDENT & QUALITY CONTROL ANALYST II 2012 – 2015• Managed a team of eight Consultants to review and resolve a backlog of 1,000+ PEP cases.• Researched outgoing travel rule for wire activity that contained inadequate CIP components.• Used data collection, analysis and trending to identify/mitigate risks and to ensure compliance with BSA regulatory requirements.• Participated with Project Manager on improved internal controls.ASSISTANT VICE PRESIDENT, Mortgage Banking (New Business Initiatives Approval) 2012• Performed detailed risk assessments for mortgage banking new business initiatives.• Used detailed analytics to identify potential risks and vulnerabilities.• Acted as Subject Matter Expert (SME) on NBIA process.• Worked in partnership with Project Managers and risk assessment team.QUALITY ASSURANCE SUPERVISOR 2011 – 2012• Managed a team of five Analysts and trained twenty employees within the quality assurance department.• Reviewed JPMorgan Chase mortgage bank process by performing detailed workflows, interviewing of employees and detailed observations.WORK EXPERIENCE (Continued)QUALITY ASSURANCE SUPERVISOR (Continued)• Used audits to ensure the accuracy and integrity of credit quality, regulatory compliance and loan documentation.• Identified risks and capitalized on opportunities to improve policies, procedures and processes.• Led a process improvement initiative working in collaboration with all relevant stakeholders

Responsible for the day to day activities of the new account/maintenance processing teamincluding monitoring of their productivity and quality.Proven abilities in Coaching and Developing employees to become Team Leaders/Managers.•Experienced in writing and delivering Performance Reviews.•Coordinated training for New Hires in selected work types. Identified training needs for senior processors to increase processing efficiency. •Monitor daily productivity and quality of a processing team of 10 associates. Team successfully achieved 99% quality scores over the last 12 months under my mentoring.•Involved in various projects including New Fund launches, fund mergers, fund liquidations and conversions. •Assisted with the development and implementation of risk/compliance procedures

TRADING DESK REPRESENTATIVE• Responsible for trading options and stocks (including listed and OTC) for retail clients.

CHARLES SCHWAB & CO. 1998 – 2000INVESTMENT SPECIALIST• Performed needs-based analysis of current and potential clients to determine financial goals, and made recommendations for purchase of equities, mutual funds and bonds.•Assisted in development of marketing and sales of fixed income.•Acted as liaison between branch office and bond desk.