Gordon Brown Email & Phone Number

New York City Metropolitan Area

Serve on the Branch Management Committee. Serve as liaison with external counsel on compliance related issues and liaison with regulatory authorities. Serve as the central point of contact for CIMA and OCC regulatory examinations. Serve as Internal Audit Liaison responsible for ensuring implementation and execution of the Internal Audit Framework, Audit Risk Assessment, and the Audit Schedule. Ensure that quality assurance and control processes exist for identifying any discrepancies in the audit findings and assigned ratings. Facilitate remediations of audit and examination findings and ensure relevant processes are updated and staff are trained to prevent future violations. Ensure that audit and examination issues are centrally tracked by the Issue Tracker (Quantivate), reported to management, and resolved timely; and that repeat audit and examination issues trigger additional root cause analysis.

New York, New York, United States

Served on the Branch Management Committee. Served as Company Secretary, Head of Quality Assurance, Regulatory Liaison, and Audit Liaison. Responsible for evaluating compliance risks and designing, implementing, and monitoring the processes by which the bank can comply with all applicable laws and regulations. Established and executed a comprehensive compliance training program to ensure that employees understand ethics, laws, and regulations. Effectively oversaw the Compliance Technology and Analytics Unit that manages BSA/AML/OFAC screening and monitoring applications, list management, manage data, and creation of compliance MIS. Monitored and reported on the effectiveness of the bank’s compliance program, conducting internal reviews, oversaw implementation of the Compliance Quality Assurance Program. Effectively coordinated OCC full-scope and target examinations in 2023. As Audit Liaison successfully completed an audit program of fifteen auditable entities.

London, United Kingdom

Nubuke managed two hedge funds concentrating on African based securities. I started with the firm from inception and was partner of the FSA registered asset management company. My primary role involved managing the risk of the funds. Specifically, sitting in the front office monitoring portfolios consisting of Equities, Corporate and Sovereign Debt Issuances, Equity-based Futures and ETFs. Secondarily, I booked and settled trades with our Prime Broker (UBS). The funds had an AUM of over $100 million.I sent daily reports to Portfolio Managers on performance metrics and compliance with prescribed risk limits (VaR, liquidity, concentrations). I steered the Investment Committee which ensured that new ideas for investment were followed and current portfolio composure was appropriate. My monthly duties also entailed reconciliation of Net Asset Value in coordination with the fund's administrator (Citco). I also managed CRM for the firm which tasked editing and distributing the monthly newsletter and quarterly reports, and distribution of fund performance to investors.

London, United Kingdom

I was the KYC Manager for Wholesale Banknotes Trading based at HQ in Canary Wharf. My primary role was to maintain the KYC Database for current and prospective customers. Our clients were central banks, commercial banks and money services businesses located in Europe, Middle East, Africa and South Asia. This customer base had over 275 companies, some consisting of Politically Exposed Person (PEPs), high-risk countries and high-risk businesses. London operations were part of HSBC's global network based in New York, Singapore, Tokyo and Hong Kong. HSBC was the world's largest supplier of banknotes and distributed 50% of global supply. I worked directly with the Federal Reserve System and the Office of the Comptroller of the Currency to regulate this activity. I also coordinated with HSBC Compliance Group.

Greater New York City Area

I began my career at HSBC as an AML Consultant monitoring suspicious activity in the retail bank branch accounts. I was then hired inside HSBC as the AML Compliance Officer for Corporate and Institutional Bank, Commercial Middle Market Banking and Commercial Real Estate. My responsibility was to implement and supervise the AML Compliance Program framework outlined by PWC. PWC was brought in after HSBC was found deficient in AML controls by the Office of the Comptroller of the Currency. I tailored the Program to fit in with the intricacies of the three banking groups. I focused my activities to the PEPs and high-risk businesses who were customers of the three divisions. I also wrote Suspicious Activity Reports and worked with the United States Drugs Enforcement Agency on Anti Money Laundering cases that warranted attention.

Greater New York City Area

I was recruited as a bank examiner directly out of Howard University by the Bank Supervision Group of the Federal Reserve Bank of New York. I was trained to evaluate commercial banks and holding companies in the second district (New York, New Jersey, Connecticut, US Virgin Islands and Puerto Rico) based on their safety and soundness primarily looking at their capital, asset quality, management, earnings and liquidity; and assessing these entities compliance with Federal Reserve Regulations. After six years I moved to an in-house Bank Surveillance role where I monitored banks, bank branches and bank agencies from Canada, Indonesia, Malaysia, Pakistan and Puerto Rico. I also composed the examination and inspection findings for the senior Bank Supervision Group officers to present to the Board of Directors of these institutions. After two years I was promoted to a Relationship Specialist. It was my responsibility to put together a team of examiners and led examinations of branches and agencies from Panama and Argentina that operated in the second district.

Greater Boston Area

I was an intern for the Boston, Massachusetts chapter of Inroads, Inc. The mission of Inroads is to develop and place talented underserved youth in business and industry, and prepare them for corporate and community leadership. Through Inroads I was generously sponsored for three consecutive summers by the Bank of Boston (which is now Bank of America Merrill Lynch) and I worked at the bank's headquarters in Boston. In addition, all three internships were within the Other Real Estate Owned (REO) Department of Commercial Real Estate. The bank's properties were mostly office parks, malls, hotels and condominium complexes that were acquired post the Savings and Loan Crisis of the late 1980s. My duties included loan due diligence, loan analysis, cash flow modelling of commercial property, marketing of REO properties and property inspection.

Bachelor’S Degree, Bba Finance

Education record

Education record