Gordon Brown Email and Phone Number
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I am a compliance and risk full-time professional based in Metropolitan New York channeling my 25 years professional experience in New York, London and Portugal.I am currently Head of Regulatory Engagement and Internal Audit at UBA America located in Manhattan and part of the global banking conglomerate, UBA Group. UBA Group operates on four continents and in 24 countries.I was a partner of Nubuke Investments LLP, a Financial Conduct Authority authorised investment manager registered in the United Kingdom. Specifically, I was the risk manager for a Pan-African focused multi-strategy hedge fund.As background, I worked for ten years at the Federal Reserve Bank of New York in their Bank Supervision department. During my tenure as an examiner I participated in bank examinations, bank holding company inspections, Bank Secrecy Act target examinations and the SNC program. In addition, I am certified bank examiner from the Federal Reserve System.I transitioned from the public to private sector by joining HSBC Bank USA, N.A. as I was hired as an AML Compliance Officer. I worked for over five years for HSBC in New York and London. As an AML Compliance Officer I was responsible for implementing AML Policies and Procedures for three business divisions during the period of USA PATRIOT Act phase-in. At HSBC in London, I was the KYC manager for wholesale banknote trading desk.Specialties: Certified Bank Examiner of Federal Reserve System
Uba America
View- Website:
- ubaamerica.com
- Employees:
- 5
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Head, Regulatory Engagement And Internal AuditUba America Mar 2024 - PresentNew York City Metropolitan AreaServe 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.
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Head, Regulatory ComplianceUba America Nov 2022 - Mar 2024New York, New York, United StatesServed 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.
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Partner | Risk ManagerNubuke Investments Llp Jun 2008 - Sep 2016London, United KingdomNubuke 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.
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Vice President | Know Your Customer (Kyc) ManagerHsbc Oct 2005 - May 2008London, United KingdomI 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. -
Vice President | Aml (Anti-Money Laundering) Compliance OfficerHsbc Sep 2003 - Jul 2005Greater New York City AreaI 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.
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Bank ExaminerFederal Reserve Bank Of New York May 1992 - Apr 2002Greater New York City AreaI 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. -
Summer InternBank Of America Merrill Lynch May 1989 - Aug 1991Greater Boston AreaI 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.
Gordon Brown Skills
Gordon Brown Education Details
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Bba Finance
Frequently Asked Questions about Gordon Brown
What company does Gordon Brown work for?
Gordon Brown works for Uba America
What is Gordon Brown's role at the current company?
Gordon Brown's current role is Compliance and Risk Specialist | Trainer | Consultant.
What is Gordon Brown's email address?
Gordon Brown's email address is go****@****hoo.com
What schools did Gordon Brown attend?
Gordon Brown attended Howard University, Brooks School, University Of Pennsylvania.
What skills is Gordon Brown known for?
Gordon Brown has skills like Kyc, Operational Risk, Aml, Banking, Bank Secrecy Act, Usa Patriot Act, Anti Money Laundering, Hedge Funds, Financial Risk, Risk Management, Fixed Income, Portfolio Management.
Who are Gordon Brown's colleagues?
Gordon Brown's colleagues are Catherine Okoh Msc, Fca,, Ogbonna Promise, Ganiyu Salimon, Emmanuel Atanda, Blon Marius De Dion, Victor Adepoju - Mnim, Cams, Cica, Cics, Crcmp, Coso Internal Cont, Mavisky Maitala.
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Gordon Brown
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