• Responsible for FinCEN’s regulations under Section 314(a), including locating accounts and transactions of persons that may be involved in terrorism or money laundering; searching through bank records, identifying and reporting subjects of interest. • Monitor new customer transactions, to ensure no business is conducted with countries, designated nationals or other persons identified by OFAC, and report on same. Prevent, identify and report any suspicious activity under the OFAC requirements in a timely manner.• Conduct Customer Due Diligence (CDD) procedures to ensure full compliance with existing laws and regulations. Perform Enhanced Due Diligence (EDD) on high risk clients in an effort to mitigate risk and ensure full compliance with existing laws and regulations.• Conduct OFAC screening on new customers and authorized signers, and fully understand each client’s background prior to approving and opening an account, in accordance with all CIP and KYC policies.• Oversee and manage the employee Compliance Training Plan, focusing on new laws, regulations and company policies that apply to their day-to-day job responsibilities through the BAI system. • Successfully led and managed the installation and customization of Spring CM Platform, a platform that digitizes and manages all documents in the Cloud.• Created a more focused and efficient web-based training experience for employees in the Compliance Training Program.

•Monitored the collateral of clients with asset-based loans (ABL) serviced by the Credit Department.•Posted borrowing bases and advances. Calculated ineligible collateral from accounts receivable agings and posted data to the collateral monitoring system.•Identified and analyzed collateral changes/ trends. Balanced cash collateral accounts and loans.•Updated advanced rates, calculated interest/ fees and ensured loan documentation accuracy.•Provided clients and management with prompt, detailed and accurate analysis and reports.