Drives the KYC strategic agendaDeveloped and manages the Quality Oversight program for the Americas region (US, Canada, Cayman, Brazil) - Led multiple domestic teams (up to 60 total headcount) as well as oversight for offshore vendor teams for the periodic review, event driven review, and new client adoption pipelines - Participates and leads global initiatives around looping, capacity modeling, and production steering improvements - Successfully led multiple teams… Show more Drives the KYC strategic agendaDeveloped and manages the Quality Oversight program for the Americas region (US, Canada, Cayman, Brazil) - Led multiple domestic teams (up to 60 total headcount) as well as oversight for offshore vendor teams for the periodic review, event driven review, and new client adoption pipelines - Participates and leads global initiatives around looping, capacity modeling, and production steering improvements - Successfully led multiple teams through a 3+ year Periodic Review KYC remediation program transitioning to BAU operations - Manages the quality, audit, and regulatory response process on behalf of KYC Operations which includes multiple internal/external audits, regulatory exams, and finding closures across the region - Participates in meetings with domestic and foreign regulators, (OCC, FINRA, SEC, CFTC/NFA, FRBNY, NYDFS), regulatory monitors, and both external and internal auditors regarding operational processes, reporting and data - Increased Americas KYC quality scores and reduced overall findings by driving change programs to improve training, policy, and systems Show less

- Acted as the single point of contact and managed requests for the Onboarding Organization, including over 7 regulatory exams, 13 audits and 13 Compliance tests in 2018- Successfully lead the Organization’s completion of the OCC Article VI Exam resulting in the lifting of the consent order for JPMC- Developed the foundation of the Centralized Testing Team including working papers and testing calendar to identify and quantify issues prior to audits, reviews, and exams- Utilized… Show more - Acted as the single point of contact and managed requests for the Onboarding Organization, including over 7 regulatory exams, 13 audits and 13 Compliance tests in 2018- Successfully lead the Organization’s completion of the OCC Article VI Exam resulting in the lifting of the consent order for JPMC- Developed the foundation of the Centralized Testing Team including working papers and testing calendar to identify and quantify issues prior to audits, reviews, and exams- Utilized strong project management skills to ensure deliverable deadlines are consistently met- Regularly reported to Senior Management the status of reviews, related remediation efforts, and sample testing results- Executed and participated in the development of RCSA testing for the Organization, including authoring the control scripts, completing the testing, and escalating potential issues as necessary- Acted as a subject matter expert and provided strategic guidance on required documents, policies, procedures and processes- Identified key issues, trends and/or control gaps and championed solutions with the necessary follow-through Show less

- Managed the review of KYC records for large private equity, hedge fund, and large family offices for adherence to internal policies, procedures, and regulatory requirements- Maintained a high degree of accuracy and attention to detail while meeting team productivity and qualityassurance goals- Consistently engaged in discussions with Senior Management and Business Partners to drive efficiency updates to workflow processes and ensure communication and training was line with… Show more - Managed the review of KYC records for large private equity, hedge fund, and large family offices for adherence to internal policies, procedures, and regulatory requirements- Maintained a high degree of accuracy and attention to detail while meeting team productivity and qualityassurance goals- Consistently engaged in discussions with Senior Management and Business Partners to drive efficiency updates to workflow processes and ensure communication and training was line with expectations- Natural leader within the team, acted as backup to the Quality Control Manager and as a subject matter expert within the Organization- Wrote procedures and created job aides to clarify guidance for Quality Control and the Institutional Group- Nominated by Senior Management and graduated from the Asset & Wealth Management Associate Forum, learning invaluable leadership, project management, and communication skills Show less

- Performed sales support activities including, but not limited to: coordinating the loan fulfillment process for the Relationship Managers, providing local customer service and support, and other administrative and reporting functions as needed- Assisted the Relationship Manager and Credit Officers with the loan documentation process by acting as a market liaison between Relationship Managers, Credit, Lending Services, Legal, and third party vendors such as title companies)- Maintained… Show more - Performed sales support activities including, but not limited to: coordinating the loan fulfillment process for the Relationship Managers, providing local customer service and support, and other administrative and reporting functions as needed- Assisted the Relationship Manager and Credit Officers with the loan documentation process by acting as a market liaison between Relationship Managers, Credit, Lending Services, Legal, and third party vendors such as title companies)- Maintained thorough knowledge of credit approvals, legal documentation, and coordinated the documentation for loan closings Show less

- Reviewed Bank policies and procedures and ensured they remained current, complete, and met regulatoryrequirements- Reviewed all CTR and SAR submissions for adherence to the established requirements- Monitored the Bank’s population of money service businesses (MSBs) ensuring all requirement documentation was received and the required transactional oversight occurred- Assisted with preparation of FDIC & OTS examination materials as needed- Monitored suspicious financial… Show more - Reviewed Bank policies and procedures and ensured they remained current, complete, and met regulatoryrequirements- Reviewed all CTR and SAR submissions for adherence to the established requirements- Monitored the Bank’s population of money service businesses (MSBs) ensuring all requirement documentation was received and the required transactional oversight occurred- Assisted with preparation of FDIC & OTS examination materials as needed- Monitored suspicious financial activity using established monitoring systems and reports- Reviewed all required databases for potential matches to government information search requests required by the USA Patriot Act, Section 314(a) and reporting any actual matches Show less