Manage on-site and off-site state money transmitter regulatory exams. Prepare responses to requests from external regulatory agencies. Coordinate and maintain relationships between external regulators and internal stakeholders within lines of business, compliance, and other departments. Track exam findings and remediation efforts from inception through validation and closure. Provide regular reports to senior leadership regarding all aspects of ongoing and completed regulatory exams.

Coordinated federal, state, and international regulatory exams and internal audits pertaining to the American Express (enterprise-wide) AML program. Responsibilities included creating and managing project plans, meeting with team leaders to discuss requests, assigning deliverables, drafting and preparing final responses, and monitoring both progress and quality of process and output. Assisted in managing the AML/SAR Reporting portion of the Process Risk Self Assessment (PRSA) process, in which relevant controls and risks, pertaining to the AML program, were identified and subsequently tested.

Investigated consumer and merchant financial transactions to ensure compliance with the Bank Secrecy Act, the Patriot Act, and Dodd Frank. Investigations focused on potential links to complex money-laundering schemes, terrorist organizations, bribery, and embezzlement. Conducted wide-ranging internal and external research. Wrote narratives for federal and state regulators detailing the data and suspected illegal activity.

AXA Advisors, LLC (NY, NY), member SIPC. AXA Network, LLC; AXA Network Insurance Agency of California, LLC in CA; AXA Network Insurance Agency of Utah, LLC in UT; AXA Network of Puerto Rico, Inc. in PR. EOE M/F/D/V.