• Developed AML Program/Policy and Procedures• Revised onboarding requirements for Institutional and Retail business• Conducting testing of onboarding platform • Conducting research for AML Compliance vendors for KYC, CIP, Screening and Surveillance• Working with engineering staff to automate onboarding process with third-party vendor• Developing AML training program and needs analysis• Leading Compliance initiatives as assigned, including firm and individual registration with SROs and state regulators and FINRA advertising• Responding to periodic examinations/audits and regulatory requests from SRO and state regulators• Email Surveillance set-up

• Coordinates and oversees an effective Bank Secrecy Act/Anti-Money Laundering/OFAC Compliance Program that is in compliance with current industry best practices, regulatory guidance and requirements.• Advised on regulatory requirements and industry practices to comply CIP rules• Created policy and procedures for due diligence on clients • Created onboarding paperwork and procedures • Conducts periodic AML reviews and advises on existing policies and procedures • Advised and assisted with creation of new business lines AML manual and procedures• Advised on resolution of negative media and OFAC screening• Establishes and maintains appropriate SAR investigations, reviews and reports processes that promote consistent decisions; appropriate investigation and research; and completes detailed documentation.

Reviewed and approved KYC Questionnaires on prospective institutional clients prior to their receipt of onboarding package. Evaluated and approved new and existing clients.• Played an integral role advising on-boarding team by guiding compliance with internal policies, US Patriot Act, AML Laws, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) and ensured improved overall processes, eliminated non-value adding processes, and reduced expenses.• Evaluated 200 – 300 clients’ paperwork per year resulting in quality assurance and accuracy adherence.• Conducted risk assessments on new clients prior to enabling to trade.• Reviewed and Escalated between, 5 – 200 alerts per day, of Negative News and OFAC hits.• Quarterly review of approximately 15 – 20 High-Risk Clients ensuring compliance adherence.• Conducted Risk-Based Periodic Reviews of approximately 25-100 clients per year while increasing efficiency.• Cross-functionally collaborated with global staff in London and Asia to coordinate Global AML-KYC policy.• Monthly Review of Section 319 (Update Foreign Bank Certificates).• Enhanced Internal Systems to comply with new AML and KYC Rules.• Managed Annual Independent AML Audit and remediate findings.• Back-up to Credit Officer (Client Credit Reviews / Limits for prospective and existing clients).• Managed internal requests for access to functionality for staff and clients.• Approve Soft Dollar Invoices and ensure 28e Compliant.• Registration, Licensing, and Assisted in Development and Implementation of Continuing Education for Licensed Staff.• Implemented Surveillance System to review 50 – 100 staff outside brokerage accounts and annual attestations.• Drafted Procedures for monitoring staff personal trading.