Elizabeth Kay

Elizabeth Kay Email and Phone Number

Senior Advisor @ Change Agents Technologies Inc.
New York, NY, US
Elizabeth Kay's Location
New York, New York, United States, United States
Elizabeth Kay's Contact Details
About Elizabeth Kay

Elizabeth Kay, an Associate Managing Director with Kroll, is an executive with extensive experience in compliance risk management programs. She has over 30 years of industry experience and has held senior compliance, audit, finance, and project management positions at prominent financial services organizations, including Citigroup, American Express, Commerzbank AG, Royal Bank of Scotland, the Depository Trust & Clearing Corporation, and Lehman Brothers. Prior to joining Kroll, Elizabeth’s recent assignments included the design and implementation of key components of a compliance risk management program as required under Federal Reserve guidance SR 08-8. She has designed and implemented second-line-of-defense regulatory compliance and financial crime testing programs at financial institutions that were operating under public enforcement actions. In addition, Elizabeth has been responsible for the execution of regulatory compliance and financial crime risk assessments associated with banking, securities, derivatives, anti-money laundering, sanctions and fraud regulations. She has experience working with U.S. and European government agencies, including FRB, OCC, SEC, FINRA, NFA, NYDFS, Connecticut Department of Banking, European Central Bank, and BaFin. Her recent experience includes advising crypto clients on the efficacy of their compliance programs.

Elizabeth Kay's Current Company Details
Change Agents Technologies Inc.

Change Agents Technologies Inc.

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Senior Advisor
New York, NY, US
Website:
changeagents.co
Employees:
5
Elizabeth Kay Work Experience Details
  • Change Agents Technologies Inc.
    Senior Advisor
    Change Agents Technologies Inc.
    New York, Ny, Us
    View
  • Kroll
    Associate Managing Director
    Kroll Jan 2021 - Present
    New York, Ny, Us
    Senior Financial Crime, Regulatory Compliance and Forensic Specialist supporting TradFi, DeFi and Crypto - External Compliance officer of MSB providing point-of-sale solutions that enable customers to pay in crypto and merchants to receive payments in either crypto or fiat. - Managed independent consultancy of a U.S. based stablecoin issuer. to perform a comprehensive independent review of the Company’s AML, sanctions and market manipulation compliance program. - Oversaw execution of independent testing of a MSB’s BSA/AML/OFAC compliance program to evaluate the adequacy and effectiveness of BSA program pillars. - Advised global crypto exchange on AML program enhancements relating to customer onboarding and regulatory concerns regarding jurisdictional nexus of its customers. - Evaluated payment processes for financial institutions and corporates in response to recent fraud incidents and including developing interdepartmental recommendations relating to processes and systems.
    View
  • Treliant Risk Advisors
    Director
    Treliant Risk Advisors Jan 2018 - Dec 2020
    Washington, Dc, Us
    Senior compliance professional - Financial Crime Compliance, Corporate and Regulatory Investigations • Audit, Governance and Legal Risk workstream lead on independent audit engagement for an organization under a Securities and Exchange Commission and Commodities Futures Trading Commission Cease and Desist Orders.• Co-managed large BSA/AML/OFAC advisory engagement for a client under a non-public enforcement action including project management; board of directors reporting; and development of policies, procedures, and training content. • Managed advisory engagements focusing on the client’s customer risk profile including a review of policies, procedures, and customer profiles for adherence to KYC/CDD/EDD requirements.• Actively managed business development activities including participation on training panels, cold calling, and development of proposals and client contracts.
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  • Commerzbank Ag
    Head Of Compliance Risk Assessment & Reviews
    Commerzbank Ag Feb 2015 - Oct 2017
    Frankfurt Am Main, Hessen, De
    Member of the Compliance Management team in NY with management and oversight responsibility for Financial Crime and Corporate Compliance risk assessments, independent compliance testing and quality assurance. - Implemented the 2nd line of defense testing function satisfying U.S. regulatory expections - Testing coverage: BSA/AML, KYC, Sanctions, Corporate Compliance (Banking, Securities, and Derivative regulations) - Execute risk assessments
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  • Royal Bank Of Scotland
    Co-Head Of Conduct & Regulatory Affairs Assurance, Americas
    Royal Bank Of Scotland Sep 2011 - Feb 2015
    Gogarburn, Gb
    Senior compliance professional hired to assist with the build out the Compliance Risk Management program as required under the FRB Cease & Desist Order and Federal Reserve guidance SR 08-8. - Managed execution of Assurance (testing) program - Led review and validation of Cease & Desist actions plans - Executed conduct risk assessments
    View
  • American Express
    Director, Compliance & Ethics
    American Express Feb 2010 - Sep 2011
    New York, Ny, Us
    View
  • The Depository Trust & Clearing Corporation
    Senior Audit Manager
    The Depository Trust & Clearing Corporation Oct 2008 - Feb 2010
    Jersey City, Nj, Us
    View
  • Lehman Brothers
    Vice President
    Lehman Brothers Jun 2007 - Oct 2008
    Us
    View
  • Citigroup
    Vice President
    Citigroup May 1987 - May 2007
    New York, New York, Us
    View

Elizabeth Kay Skills

Risk Management Financial Risk Auditing Operational Risk Banking Internal Controls Aml Financial Services Finance Operational Risk Management Corporate Governance Kyc Risk Assessment Internal Audit Anti Money Laundering Bank Secrecy Act Governance Credit Accounting Financial Reporting Fraud Usa Patriot Act Ofac Financial Regulation Credit Risk Compliance Quality Auditing Regulations Regulatory Reporting Sanctions Data Analysis Corporate Compliance Project Management Business Process Improvement Trend Analysis Budget Process Project Planning Wealth Management Conflicts Of Interest Product Suitability

Elizabeth Kay Education Details

  • Marywood University
    Marywood University
    Accounting

Frequently Asked Questions about Elizabeth Kay

What company does Elizabeth Kay work for?

Elizabeth Kay works for Change Agents Technologies Inc.

What is Elizabeth Kay's role at the current company?

Elizabeth Kay's current role is Senior Advisor.

What is Elizabeth Kay's email address?

Elizabeth Kay's email address is ek****@****ant.com

What schools did Elizabeth Kay attend?

Elizabeth Kay attended Marywood University.

What are some of Elizabeth Kay's interests?

Elizabeth Kay has interest in Traveling, Opera, Reading, Attending The Theatre, Ballet And Concerts.

What skills is Elizabeth Kay known for?

Elizabeth Kay has skills like Risk Management, Financial Risk, Auditing, Operational Risk, Banking, Internal Controls, Aml, Financial Services, Finance, Operational Risk Management, Corporate Governance, Kyc.

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