George Daniel Eagan Email & Phone Number

Founded award-winning start-up Software Company to deliver auditing and recording solutions for legal and regulatory compliance in the risk management market.Hired and managed a 20 PHD Computer Science team to assist in the development of this four (4) year-long project at the Long Island High Technology Development Center at Stony Brook, New York.Invented 8 patents granted by the United States Patent and Trademark Office (USPTO) and Canada plus six pending patents.Partner Online tracks and archives searches within electronic channels of corporate networks that results in generated alerts for potential violations on Sarbanes-Oxley, SEC 17- 4A, NASD, US Patriot Act, HIPAA, GLBA, and 21 CRF Part 11 regulations.Compared AML systems versus policies and procedures of regional financial institutions departmental procedures to regulatory requirements, then provided recommendations for improvements to the in-house systems.Wrote AML/CIP/KYC manuals to guide staff through the Customer Identification Program (CIP) and Know Your Customer documentation process. Developed and executed Money Laundering Investigation techniques to decrease related efforts to circumvent large currency transaction reporting requirements. Documented complex transaction patterns by reviewing 60,000 transactions within 250 accounts held with major commercial banks. Managed the static data project migrate account information for mandatory compliance reassessments; provided quality control of accounts against current KYC /AML policy requirements.

Systems utilized are Norkom, LexisNexis, Dun and Bradstreet database, KYC database, Office of Foreign Assets Control (OFAC) database, Financial Crimes Enforcement Network (Fin CEN) databases, Financial Industry Regulatory Authority (FINRA) database, U.S. Securities and Exchange Commission (SEC) EDGAR database, internet sites and Google system to conduct financial investigations of domestic and international financial activities, CCW, MSP, I Vault, LPS. Cash Tools used include Cash Letter Tool for the compilation of analysis and tracking events classifications according to procedures, Google, Mantas, Negative Media, On Demand, Microsoft Suite Professional: Word, Excel, PowerPoint, SharePoint, Project and Outlook Client Risk Profile System, World Check, Prime, Search Space, Actimize, ODS, Choice Point, JFEL, West Law, RDC, Factiva, Securities and Exchange Commission, EDGAR Website, Bankers Almanac and Watch list

New product developmentFinancial Structuring  Quality Assurance and Control,Dodd Frank,Investment Banking, Fixed Income, Equities and Mezzanine Financing,Regulatory compliance  Staff management and developmentRisk identification and assessment  Operational management/ regulatory compliance, Counter Terrorist Financing risks.Monitoring and Testing Internal Controls based on BSA/AMLClient Identification Program (CIP) KYC, Money Laundering Investigation and Transaction Monitoring , alert management and lookbacksProcesses/procedures for: Integral part of Interest Rate Swap transactions, public and private companies, insurance companies, money managers, hedge funds, broker dealers, banks with products of fixed income securities from commercial paper, MTN’s, corporates, municipals, mortgage back bonds, private placements, treasuries, Corporate buybacks 10-B 18 programs (EDD) Enhanced Due Diligence, Screening, PEP’s, PIC’s, OFAC, SARS Customer Due Diligence Compliance (CDD)Suspicious Activity Monitoring (SAM)Enterprise Risk Management (ERM)Risk & Regulatory Compliance (Consumer, Residential, Commercial and Marketing/Advertising) Project/Vendor Management Client Relationship Management (CRM)Document and SAR drafting with analysis  Customer complaint managementACHIEVEMENTS: Former Member of the Board of Directors- Atec Group Inc.-a publicly traded computer company

Zurich, Ch

Alert review project on Correspondent and Investment Banking related activities via conducting screening on existing and prospective clients on respective key personnel, directors and beneficial owners against proprietary system applications and external databases to uncover adverse media, OFAC sanctions risk and/or politically exposed persons.

Jersey City, Nj, Us

Customer due diligence file reviews based on Lines of Business, Compliance Review function and Corporation Compliance standards and country specific regulation to identify high risk businesses, products, geographies related to financial crimes and reputation risk and proactively escalate for Enhanced Due Diligence such as on Politically Exposed Persons (PEPs) and PIC’s (Private Investment Company’s) as per FCCR guidelines.

Jersey City, Nj, Us

GTB project focused on wire transaction monitoring scenarios run in a test environment to generate events based on established thresholds in the production environment as per the Model Validation described by the OCC Bulletin 2011-2012 and Supervisory Guidance on Model Risk Management to determine if an event is productive with results to be used to fine tune scenarios and identify appropriate thresholds for high risk jurisdiction origination, unexplained repetitive large/unusual pattern variances from initial onboarding inceptions of customer/originator party/counterparty (ies) with lack of KYC, misuse of business/personal accounts, lack of BSA Due Diligence, multiple routing transactions through multiple jurisdictions involved with a corresponding bank involved with: cash letter services, money instruments such as: traveler’s checks, money orders, business/personal/cashier’s checks, bearer checks, financial institution checks, com-checks delivered via pouch, hub-capture, lock box and remote deposit capture (RDC) off scanner/mobile devices for digital transmission based on Micro Ink Character Recognition (MICR).

Assignment required a blend of research on unusual or questionable transactions as per Risk Management, Anti-Money Laundering (AML) and Enhanced Due Diligence (EDD) with Correspondent Banking to identify customer trends, patterns, typologies associated with money laundering, terrorist financing and other suspicious recommendations to the BSA Investigations Unit in accordance with Bank policy, in a timely manner.

Review and re-mediated asset management business KYC on boarding with effective implementation of KYC, BSA, & AML regulation/ compliance policies, procedures and protocols but not limited to AML/KYC screening, review included relationship manager team work to identify and mitigate lack of information, appropriate treatment of Material Non-Public Information to satisfy the Personal Account Dealing Policy.

Developed strategic goals and conducted periodic internal customer reviews to identify potential risk relationships based on regulatory guidelines, law enforcement agencies’ data and peer bank information to determine retention/ termination and or escalations to Law Enforcement reports.Quality Assurance Supervisor -OCC Article VII – Independent Foreclosure Review Project Interfaced with OCC/ Federal Regulators to identify mitigate risks, inefficiencies, gaps within processes and procedures of the Independent Foreclosure Review Look back Process with Deloitte & Touché by performing special focus audits on “independent foreclosure review” of mortgage accounts, denied applications, file reviews, operational procedures and customer service reviewCo-managed, coached and trained a group of twenty people within the Quality Assurance operations department onkey initiatives/internal controls to mitigate risks within operations procedures, operational flow processes/documentations via quality reviews and audits to ensure accuracy of credit quality, regulatory compliance, loan documentation and risk reports based on risk management analysis: credit-underwriting practices to decrease quality of loan files or bank practices.

Managed by Deloitte and OCC mandated this BSA/AML project concerned transactional historical data on originator/beneficiary screening for money laundering patterns and customer identification (CIP) deficiencies to detect issues on sanctions, fines and fraud qualifiers for suspicious activity with results for a SAR report.

Master Of Business Administration - Mba, Finance, General

Bachelor Of Business Administration - Bba, Business, Management, Marketing, And Related Support Services