Fred Springer Email and Phone Number
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International legal executive with a proven track record of instituting and remediating legal and compliance management structures and disciplines across several large-scale global financial services organizations. Earned reputation as a dynamic compliance leader, strategic business partner, and talent champion who adds value by leveraging judgment and expertise with high integrity. Possess significant general counsel, compliance, acquisition, and anti-money laundering experience while being a result-oriented individual with strong business acumen, problem-solving, and interpersonal skills.❒ Leadership – Set vision and tone for compliance functions globally, building diverse, high-performing teams that forge strong partnerships and earn respect. Develop relationships with all levels of management including board members, regulators, media, and various government entities. ❒ Risk/Crisis Management – Keen sense of emerging risks and track record of mobilizing teams to address them. Adept at best practices that protect an organization’s reputation, and managing threats to the company’s financial viability, its employees’ health, and overall public safety.❒ Compliance – Architect of successful programs across broadly diversified businesses and countries, including institutional trading, sales, research and prime brokerage, investment banking, consumer banking, commercial lending and project finance, asset management and private equity.❒ Technology – Strong IT partner leveraging technology to implement cybersecurity solutions to identify, prevent, and mitigate attacks and addressing potential emerging threats.❒ Innovation – Reputation for creativity in addressing business challenges and compliance processes. Leverage innovative practices to manage governance, risk, and compliance efforts to ensure that they are manageable, comprehensive, strategic, and most importantly effective.
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Senior Managing DirectorK2 Integrity May 2021 - PresentNew York, United StatesFred Springer is a senior managing director in K2 Integrity’s Financial Crime Risk Management practice. As a senior-level compliance executive for over 30 years, Fred has amassed a proven track record with global financial institutions building and instituting enterprise-wide compliance risk management programs; remediating deficiencies identified by state, federal, and international regulators; and developing metrics to assist management teams, including board members, in their oversight of compliance risk. He works with clients in the creation and implementation of comprehensive policies and procedures, risk assessments, internal controls, and training and testing related to a wide variety of financial services compliance matters including Anti-Money Laundering (AML) programs that address regulators’ orders and concerns and facilitate the realization of business plans, growth objectives, and the inculcation of a strong compliance culture.He has experience integrating compliance functions and controls as a result of bank acquisitions, and working with institutions addressing government-mandated transaction reviews and suspicious activity report (SAR) filings. Fred is also known for his ability to build and manage highly qualified, global teams of professionals.
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Executive Vice President And Chief Compliance OfficerSantander Bank, N.A. Aug 2016 - Oct 2017New York/BostonResponsible for the development and implementation of an enterprise-wide compliance risk management program that addressed all regulators’ orders and concerns, thereby facilitating the realization of business plans, growth objectives, and the inculcation of a strong compliance culture. • Drove the deployment of a comprehensive compliance discipline across the enterprise built on risk assessments, control reviews, targeted training, testing, and reporting. These enhancements were acknowledged by regulators through improved ratings and the lifting of regulatory sanctions.• Ensured efficiencies by implementing a shared services model, thereby reducing headcount and expenses by ~20%.• Significantly enhanced the compliance culture through the provision of leadership that delineated a clear path forward for each Santander employee to follow. -
Senior Vice President And Global Compliance And Ethics OfficerCit 2011 - 2016Greater New York City AreaReported to the Audit Committee of CIT’s Board of Directors. Successfully built an effective compliance team and program, and remediated severe deficiencies identified by Federal Reserve Bank, OCC, FDIC, State Regulators, and Internal Audit, thereby facilitating CIT’s and One West Bank. • Built a global team to deploy consistent compliance controls across global operations. Risk identification, training, and validation procedures were applied broadly, and metrics were developed to assist Senior Management in its oversight of compliance risk.• Remediated significant regulatory deficiencies, enabling the resumption of untethered business operations, growth, and acquisitions. • Conducted compliance related due diligence and oversaw the successful integration of CIT and One West Bank operations as a result of CIT’s acquisition.• Provided all compliance support to the launching of CIT Bank, a de novo internet bank.• In collaboration with Senior Management, IT, and other stakeholders, identified, sourced, and deployed Actimize, a state-of-the-art global transaction monitoring and Sanctions system, thereby addressing many regulatory concerns. -
Head Of Compliance And Regulatory Risks North AmericaLloyds Banking Group 2010 - 2011Greater New York City AreaResponsible to define and ensure that all requisite steps were taken to remediate the issues arising from a Memo of Understanding with the banking regulators and a Deferred Prosecution Agreement with the Justice Department. Simultaneously provided compliance support to the de novo efforts to establish and grow a broker dealer.• Developed all aspects of the New Member Application including the creation of Written Supervisory Procedures. Established requisite controls to support the broker dealer.• Managed the compliance remediation efforts, including those associated with the BSA/AML and U.S. Sanctions controls criticized by the government. Created comprehensive policy and procedure documents, risk assessments, training, and testing modules.• Facilitated the smooth integration and requisite development of all compliance related controls as a result of Lloyds's acquisition of the Bank of Scotland. -
Managing Director Of Compliance/Regulatory Relations Global Banking And Markets, The AmericasRoyal Bank Of Scotland 2003 - 2009Greater New York City AreaMD, Compliance & Regulatory Relations Global Banking and Markets - The Americas, (2008–2009)Responsible for separating, integrating, and managing the compliance functions, controls, and systems across the Global Banking and Markets businesses within North and South America as a result of the acquisition of ABN AMRO by a consortium of banks led by the Royal Bank of Scotland.MD, Compliance & Regulatory Relations, ABN AMRO WCS Holding Co., The Americas, (2003–2008)Built an effective compliance team and program to remediate severe deficiencies identified by Federal Reserve Bank, State Regulators, and self-regulatory organizations, and to address allegations raised by the U.S. Department of Justice, the Wall Street Journal, and other law enforcement agencies. • Successfully managed the efforts to ensure that an MOU and Cease and Desist Order issued to ABN AMRO were lifted, including the completion of a government-mandated review of 14 million international wire transfer transactions to ascertain unreported suspicious activity.• Worked closely with and secured the support of ABN AMRO's Managing Board and its North American management team to ensure the implementation of a best-in-class global anti-money laundering set of controls.• Managed relationships with and addressed concerns raised by the regulators, media, and various government entities concerned with ABN AMRO's operations. -
General Counsel And Head Of Compliance And Other Legal RolesCiti 1982 - 2003Greater New York City AreaGroup Counsel and Director of Compliance, Latin American Consumer Business (1989 – 1998)As a member of the Latin American and Canadian consumer bank senior management team, provided strategic, legal, and compliance leadership in the evaluation of new business initiatives, portfolio acquisitions, product development, and day-to-day operations.• Appointed first group counsel for the Latin America consumer businesses. Constructed a regional legal department, consisting of 28 lawyers, ensuring consistency and efficiency in the provision of legal services across the complex product offering and legal vehicle structure utilized within the geography.• Developed and implemented the first formal compliance program across Latin America. Through the direction of 15 senior professionals a discipline and culture was developed which immunized the businesses against failures to comply with the U.S. and local laws, regulations, policies, and ethical standards.• Served as Corporate Secretary and Senior Legal Counsel to Citibank International, a billion dollar banking Edge Act Corporation.General Counsel/Director, International Personal Banking (1987 – 1992)Provided general counsel from the inception of several startup international upscale offshore banking initiatives focusing on global clientele. These programs included Citibank's remote banking initiatives, non-resident Indian program, Canadian consumer operations, and personal banking for overseas executives which grew to over $100MM in earnings. -
General Counsel And Head Of Compliance And Other Legal Roles (Earlier Citi Career)Citi 1982 - 2003Group Counsel and Director of Compliance, Latin American Consumer Business (1989 – 1998)As a member of the Latin American and Canadian consumer bank senior management team, provided strategic, legal, and compliance leadership in the evaluation of new business initiatives, portfolio acquisitions, product development, and day-to-day operations.• Appointed first group counsel for the Latin America consumer businesses. Constructed a regional legal department, consisting of 28 lawyers, ensuring consistency and efficiency in the provision of legal services across the complex product offering and legal vehicle structure utilized within the geography.• Developed and implemented the first formal compliance program across Latin America. Through the direction of 15 senior professionals a discipline and culture was developed which immunized the businesses against failures to comply with the U.S. and local laws, regulations, policies, and ethical standards.• Served as Corporate Secretary and Senior Legal Counsel to Citibank International, a billion dollar banking Edge Act Corporation.General Counsel/Director, International Personal Banking (1987 – 1992)Provided general counsel from the inception of several startup international upscale offshore banking initiatives focusing on global clientele. These programs included Citibank's remote banking initiatives, non-resident Indian program, Canadian consumer operations, and personal banking for overseas executives which grew to over $100MM in earnings. Responsibilities included: provision of legal, regulatory, and tax counsel; litigation management; and contract review, negotiation, and preparation.Counsel, Office of the General Counsel (1982 – 1987)First attorney selected by the Office of the General Counsel to participate in the Attorney Rotational Program implemented to train junior attorneys with high potential for experienced line legal positions.
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Frequently Asked Questions about Fred Springer
What company does Fred Springer work for?
Fred Springer works for K2 Integrity
What is Fred Springer's role at the current company?
Fred Springer's current role is Compliance, Ethics and Legal Leader | K2 Integrity.
What is Fred Springer's email address?
Fred Springer's email address is fredman666@cs.com
What is Fred Springer's direct phone number?
Fred Springer's direct phone number is +121253*****
What schools did Fred Springer attend?
Fred Springer attended Benjamin N. Cardozo School Of Law, Yeshiva University, New York University - Leonard N. Stern School Of Business, Boston University - School Of Management.
What skills is Fred Springer known for?
Fred Springer has skills like Corporate Governance, Compliance, Compliance Risk Management Programs, Financial Institution Ethics Standards, Ethics Standards, Enterprise Wide Compliance Risk Assessments, Financial Institution Codes Of Conduct.
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Fred Springer
Partner At Bryant Miller Olive, Focusing On Government Contracts, Project Finance, And LitigationTallahassee, Fl4bmolaw.com, bmolaw.com, bmolaw.com, bmolaw.com2 +185055XXXXX
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Fred Springer
Tallahassee, Fl
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