David Sanders Email & Phone Number

Zurich, Ch

• Manage a global team to deliver centralized procedures and training to Client Onboarding, KYC and Regulatory Due Diligence teams (collectively “IB COLM”) across the Investment Bank. • Work with Compliance to streamline Global and Local CDD and Sanctions Standards and processes and ensure efficient implementation of CDD policies and procedures.• Balance Local and Global Compliance requirements with operational and business needs using a risk-based approach to improve process effectiveness and increase customer satisfaction and competitiveness in the marketplace.• Establish and maintain an effective governance and control program for IB COLM processes including tracking of actions and issues, risk and control assessment and testing.• Oversee audits (internal and external) and regulatory KYC items.• Manage the independent Quality Assurance function for IB COLM KYC reviews.• Proactively recommend improvements and manage change and projects, as necessary. • Manage internal stakeholder relationships; partner with them to assess and improve current processes.• Develop a learning community with asynchronous training modules, learning paths, Lunch & Learns and mentoring programs.• Chair forums for procedure change, risk and controls management, and COO engagement.

London, Gb

• Direct the implementation of new Global and Local CDD Standards and Sanctions processes for Global Banking & Markets Americas.• Chair the Global Policy & Training Governance forum to prioritize global team activities and socialize changes to the Global Line of Business CDD Procedures across stakeholders teams.• Articulate strategic direction for CDD Policy activities in Americas and promote alignment with Global counterparts on topics such as regulatory impact assessment, change management and CDD Standards.• Manage Americas CDD Policy team to be single point of contact for Client Operations, Compliance and the business to ensure efficient operationalization of CDD policy and procedures.• Develop and deliver policy training; Build scoring and reporting tool for paper and online assessments.• Write and influence approvals of global and country-specific operational deviations to Local and Global Compliance to improve KRI and competitiveness in the marketplace.• Provide Global and Regional GBM teams with high quality guidance relating to interpretation of CDD policies and regulatory guidelines, e.g., PEPs, Sanctions Risk Acceptance, Escalations, AML Questionnaires. • Perform gap and impact analyses to CDD Procedures for new risk models and data management definitions.• Global subject matter expert for Sanctions, Bearer Shares, Risk Model and other CDD topics.

New York, Ny, Us

• Lead working sessions with Compliance and Operations experts to define rationalized procedures for over 150 Know Your Client (KYC) requirements for the cross-Line of Business (LOB) Client On-Boarding utility.• Produce actionable procedures for the On-Boarding utility by partnering with cross-regional and cross-LOB SMEs to define detailed KYC instructions.• Create a gap analysis and impact matrix for 106 future state KYC policy requirements and nearly 20 client and risk variations. • Manage weekly clarification calls with Compliance senior managers to efficiently drive to resolution all open questions; developed automated system for tracking and aging metrics.• Serve as Procedures subject matter expert for design and development of a new KYC system.

Brooklyn, Ny, Us

• Manage corporate application portfolio and plan upgrades and improvements with internal developers and vendors• Improve relationships between IT and other departments and divisions by performing needs analyses, composing customer requirements and integrating with development efforts• Design and implement client-facing web portal for patient registration and order placement.• Develop and automate SQL and Excel reporting of department MIS to division heads and business leaders.• Lead the systems implementation for the organizational business units of the largest private ambulance and para-transit company in the Northeast.• Manage a team of 4-6 employees in the Applications Group and coordinate with contract resources.• Develop procedures for internal IT department operations to conform with SAS94 audit requirements and SDLC methodologies.• Recommend and install global web-based and email-driven support management system to streamline IT operations and improve internal customer relations. • Identify and execute process and application improvements to save $50K annually.• Define and maintain application support requirements for all departmental systems including HR, Accounting, Fleet Management, Dispatch and Billing.• Oversee the development of system enhancements and upgrades of servers and clients.• Direct the associated IT Services Group, where applicable, in their day-to-day responsibilities.• Provide managerial direction on projects or special initiatives as assigned by the CIO, including the integration of a $1.5 million acquisition and the incorporation of its Dispatch and Billing system into company processes.

New York, Ny, Us

• Supervised 3 programmers and coordinated efforts with cross-functional teams.• Eliminated chargebacks with installation of and user education on global ERP system at factories in Madagascar.• Improved MIS responses via selection and installation of a global email-driven support management system. • Increased performance efficiencies by designing hands-on and web-based training.• Solved business problems for over 300 users in 4 companies with over 40 divisions, plus 5 company-owned factories and 3 Far East vendors.• Reduced project times with workflows and specifications for reporting tools, customer requirements and business solutions.• Operated as a business liaison with various business units to ensure successful deployment and operation of Production, Shipping and Imports, Sales, Orders, Warehousing, Billing and Accounting.• Revised reports for business needs and updates to data warehousing and reporting modules for Available to Sell and Gross Profit analyses.

• Managed and maintained databases, designed marketing tools for enterprise-level telecom products• Instituted change management procedures for programming and database management• Led creation, test and roll-out of Websites and incentive programs; drafted change specifications for programmers.

• Spearheaded multiple projects for mid- to large-size clients, resulting in 10%-25% greater efficiency• Designed online analysis tool to cut time-on-job 75%, capturing $25K+ savings per consulting project• Collaborated with corporate executives to determine project requirements and customer expectations • Created custom workbooks, tests and training scripts for improved client systems and processes• Directed translation and interpretation of training documents into 7 languages for global organization.

• Developed and tested specifications for a global intranet system• Lowered client’s employment costs 50% by executing new processes to reposition staff and reduce expenses• Produced analysis reports, presentations and workflows for productivity improvement projects• Delivered professional training in process analysis and improvement to multifunctional personnel and management teams.

• Designed highly effective seminars and presentations using Web-based interactive and distance-learning techniques• Headed staff responsible for development and administration of new business and technical initiatives• Trained and managed internal telemarketers, resulting in a 40% rise in customer volume in under 6 months.

Mba, Finance, Management Of Technology & Operations, Change Management & Leadership

Ica Graduate Diploma, Anti-Money Laundering And Counter-Terrorist Financing

Ba, Archaeology, Physics