Gregory L. Carr, Jr. Email & Phone Number

New York, NY, US

New York, US

• Developed and maintained Financial Crime Compliance (FCC) policies & procedures, conducted risk assessments, managed external exams and audits, provided advice and counsel to lines of business, and executed the firm’s.
• Designed and maintained the FCC Asana Case Management project, workflow, fields, and dashboards.
• Optimized Monitoring & Testing for CIP, Fraud, Investigations, Transaction Monitoring, and Sanctions.
• Queried systems to locate and compile data to identify risks, develop ratings, and author assessments.
• Compiled transactional, case management, investigations, and reporting data for the Monthly Compliance Report.
• Maintained and updated FCC Training courses, curricula, and completion records for all employees.

New York, US

• Direct line of support to the Head of FCC. Played a key role in scaling the FCC Program to three (3) verticals: FCC Policy & Program, FCC Operations, and FCC Investigations. Core responsibilities included developing.
• Designed and maintained the FCC Jira Case Management project, workflow, fields, and dashboards.
• Performed annual and targeted Risk Assessments to identify risks, assess controls, and issue recommendations.
• Decisioned alerts, reviewed cross-functional escalations, and screened for OFAC and adverse media concerns.
• Conducted investigations, liaised with law enforcement, and drafted Suspicious Activity Reports (SARs).
• Reviewed Regulatory Change Management alerts to update FCC policies & procedures as required.

Boston, Massachusetts, US

• Supported the development and implementation of the Enterprise-Wide Risk Assessment (EWRA) and maintenance of U.S. BSA/AML & Sanctions Risk Assessment policies, procedures, and methodologies.
• Reviewed risk management processes to evaluate program effectiveness and identify areas for improvement.
• Analyzed KYC Platform data to produce risk reports, charts, and graphs for Senior Leadership.
• Developed and enhanced EWRA Risk Factor Lists (e.g. Industry, Jurisdiction) to improve the risk rating process.

Frankfurt Am Main, Hessen, DE

• Executed critical AFC Risk and Controls compliance functions including provision of assistance to stakeholders in developing Action Plans to enhance BSA/AML and Sanctions measures and controls.
• Evaluated controls to identify gaps, assign ratings, and provide recommendations to key stakeholders.
• Monitored the firm’s Risk Management system (dbTrack) to ensure full documentation and execution of Action Plans.
• Assisted stakeholders in developing Actions Plans to enhance BSA/AML and Sanctions functions and controls.

Frankfurt Am Main, Hessen, DE

• Performed Level 3 name list screenings, investigations, and sanctions program control functions for Anti-Financial Crime for the Americas to protect the firm and its reputation from violations of U.S., German, EU, and.
• Surveilled hundreds of international wires for Cuba, North Korea, Iran, Syria, and Venezuela sanctions violations.
• Researched legal entities, individuals, and vessels via Bloomberg, Dow Jones, Marine Traffic, and the OFAC Lists.
• Conducted Quality Assurance of Level 2 name list screenings and supported the training of new hires.

Paris, FR

• Conducted Enhanced Due Diligence (EDD) reviews for the Investigations & Analysis Group to maintain compliance with Global Corporate Governance guidelines, policies, and procedures and protect the firm from money.
• Screened clients for negative news, OFAC Sanctions, and Politically Exposed Person (PEP) Status.
• Compiled reports on research findings for regional stakeholders at the Client Acceptance Committee.
• Coordinated with Business, Legal, and Compliance Officers to obtain client information.

New York, NY, US

• Provided analytic, research, and legal compliance support to the Institutional Securities Group AML team through its Customer Due Diligence, Money Laundering Prevention, and Sanctions programs.
• Monitored thousands of financial transactions a week for indicators of financial crime and other suspicious activity.
• Investigated hundreds of negative news alerts a week for potential money laundering and other adverse risks.
• Conducted comprehensive EDD research and reviews of new and existing international High-Risk Clients.

Washington, DC, US

US

Boston, MA, US

New York, NY, US

Greencastle, IN, US

Melbourne, Victoria, AU

Greencastle, IN, US

Juris Doctor (Jd)

Master Of Environmental Law And Policy (Melp)

Bachelor Of Arts

Education record