• Develop, implement, and execute compliance controls, continuous assurance, and reporting related to Volcker, Derivatives, and Cross Border compliance for marketing material review programs.• Participate in the planning, executing, and reporting of compliance controls, reviews and regulatory issue validation activities for a component of products applicable to the institution.• Analyze and document report findings, and have discussions with corresponding control/process owners.•Assist with development of related risk assessments, monitoring and reporting requirements related to the programs.•Utilize innovative compliance solutions including Data Analytics to increase value and reduce costs of compliance-related activities.• Appropriately assess risk when business decisions are made related to new products, demonstrating particular consideration for the firm's reputation and safeguarding the institution, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.• Develop effective relationships within the various business owners in both first and second line of defense.• Responsible for the preparation of committee packages and presentations.• Assist the Regulatory Compliance Team as a reference source for bank personnel regarding regulatory guidance or questions with Volcker, Derivatives, SWAPs, Dodd-Frank and EMIR regulations and Regulatory Change Management etc.•Assist the Chief Compliance Officer (CCO) with the administration and performance of the regulatory compliance training as needed.•Assist with the preparation for examination and audits.• Keep abreast of current industry trends, best practices and regulatory in order to identify areas of concern and proactively mitigate exposure and risk to key stakeholders of the institution.

The Financial & International Business Association (formerly known as Florida International Bankers Association (FIBA), Inc.), is a non profit trade association, founded in 1979. Its membership includes financial institutions from 18 countries, across 4 continents, including some of the largest banks from Europe, the US and Latin America.The primary business focus of FIBA members is Latin America, including international correspondent banking - bank to bank relationships with their counterparts in Latin America - which helps facilitate North-South trade flows, and international wealth management/private banking services for non-residents, including estate and succession planning.

-Oversight of approval Marketing Material Process to ensure compliance with regulatory requirements.-In conjunction with HQ and Local Head Business Management, define Yearly Compliance Plan and ensure local adherence.-Continuous interaction and alignment with Global Head Compliance and HQ on reporting requirements (One Compliance).-Design and manage AML/CTF Risk Assessment based on the Miami business model and Luxembourg AML/CTF regulatory standards.-Evaluate the risk of money laundering at distributor and territory level by means of actually knowing the (risks of the) end investors, including purpose of relationship and Source of Funds/Wealth.-Conduct look throughs and on-site inspections at distributors, including spot checks on completeness of end-customer client files in accordance with Luxembourg regulatory requirements.-Advise and support the Global KYC Center.-Execute reasonable steps to establish and maintain appropriate arrangements for raising awareness and training in the Miami operation and towards ROBECO distributors.- Ensure adherence to Clients Rules of Engagement in relation to entertainment and marketing event participation. -Perform continuous advisory role in alignment to the Miami Sales Distribution Strategy (including but not limited to Onboarding, Offboarding and Maintaining distributors).

(i) The position designated as “specialized compliance” is typically focused on multiple major lines of specialized businesses within a financial institution (i.e. wealth management, private banking, regulatory compliance, financial crimes / anti-money laundering (AML), anti-bribery & corruption, etc.);(ii) Serve as the U.S. point-of-contact for global colleagues on cross border matters to ensure a comprehensive and collaborative global view of cross-border risks; (iii) Manage assigned specialized compliance function and/or operation for financial services business groups of the largest and most complex nature;(iv) Support of the private banking business in the USA, ensuring adherence to banking and credit and fiduciary regulations. Maintain awareness of regulatory developments affecting the private banking business and advise line management on the implementation of compliant policies and procedures; (v) Accountable for compliance reports, special compliance reviews, projects and training initiatives, as required;(vi) Responsible for carrying out projects with regulatory and/or substantial business impact.

Develop, set-up, implement and manage the Company's Ethics & Compliance Program. Coordinate and execute a robust education and training program to ensure management, employees, and vendors are knowledgeable of, and comply with applicable U.S. and foreign jurisdictions' laws (with emphasis on the U.S. Foreign Corruption Practice Act -FCPA-, anti-bribery and anti-corruption laws, U.S. Patriot Act, and the U.S. Office Foreign Assets Control -OFAC-), internal organizational guidelines, and the Company's Business Conduct and Ethics Policy.

The UORM assists the Head of the Business Unit (e.g. Head of Wealth Management, Private Banking, Fiduciary & Insurance Services, and Treasury in the Americas) to fulfill key responsibility for managing effective risk by executing the following:(i) Controls: implementing appropriate key controls within the business unit such that both internal policy and regulatory requirements are duly met; (ii) Risk identification and assessment; identifying risk from self-assesments exceptions, audit points, operational losses and/or near-misses (if applicable);(iii) Upon findings assesing the risk and ensuring appropriate mitigating action is implemented and monitoring progress accordingly.

Assist Compliance Director in streamlining special reviews submitted to the consideration of the Local Control Committee ("LCC") at the Private Bank.(i) Ensure compliance with applicable internal control & policies, procedures and external regulations ("OFAC", "FinCEN", Bank of England, USA PATRIOT Act, etc.). (ii) Provide support to Global Compliance & Ethics Training in the development and delivery of compliance training programs. (iii) Participate in special compliance reviews, remediation projects and training efforts as needed. (iv) Perform, coordinate and ensure alignment on researches and facilitate the General Counsel Office ("GCO") to respond to regulatory inquiries and subpoenas, as required. (v) Direct supervision over three (3) employees; Bank Secrecy Act ("BSA") and Anti-Money Laundering (“AML”) Compliance Investigators for OFAC List and government issued lists (ensure effective implementation & best practices).

(i) Advice business on regulatory and compliance issues related to Customer Identification Program (“CIP”), AML policies & procedures. (ii) Review and implement AML guidelines. Plan and develop AML training programs. Analyze unusual account activity using related risk-based tools and monitoring systems for AML purposes. Deal with all day-to-day money laundering regulatory and compliance issues as they arise in the account opening process for the Preferred International Customer (“PIC”) Program. (iii) Set-up, maintenance and on-ongoing improvement of an effective compliance program consistent with the American Express Cards policies & procedures (e.g. Data Protection & Information Security) within the business units of Insurance, Credit and Charge Cards, servicing Latin American and Caribbean Region (LACC).

(i) Provided legal liaison to Senior Management in preparation for external project legal review with external counsel. (ii) Responsibilities involved assessment on contract change management, project scheduling & customer relationship of a US$1.6 BN “TREN URBANO” project in San Juan, Puerto Rico and the US$124 MM “METRO Light Rail System (LRS)” project in Houston, Texas.