James Stultz Email & Phone Number

Fort Lauderdale, Fl, Us

Miami, Florida, United States

● Lead 10-member team of analysts in managing investigations into AML & illicit activities, tracking cases & providing procedural guidance for Wealth Management clients● Assess findings of analysts’ recommendations for closure due to lack of suspicious activity● Develop investigatory procedures following AML regulatory guidelines● Provide subject matter expertise when identifying optimal point during Suspicious Activity Reporting filing process to confirm if suspicious activity occurred● Deliver detailed observations & recommendations related to Fraud Risk Management program assessments● Identify operational risks associated with new lines of business to ensure financial institutions have adequate risk mitigation controls in place to identify illicit activity● Conduct enterprise risk assessments to identify control gaps that require remediation● Perform product risk assessments related to sub & self-custody digital assets

Lake Mary, Florida, United States

● Conducted sanctions screenings on Robinhood customers, vendors, crypto wallets, & wire transfers, identifying high risk customers● Managed Negative News, PEP screenings & OFAC hits ● Developed procedures to implement monitoring of BSA/AML/OFAC compliance program● Identified sanction hits for parties matched with similar information on OFAC’s SDN/SDI lists● Reviewed regulatory sanction lists to identify similar name matches using analytical techniques to ensure that sanctioned individuals didn’t transact on Robinhood’s platform

● Conducted investigations into suspected financial crimes ● Traced financial transactions & bank profiles of suspected individuals● Filed electronic SARs to FinCEN to comply with suspicious activity compliance regulations

Miramar Florida

● Developed internal security policies, procedures & NIST compliance● Collaborated with leadership & tech stakeholders to perform risk assessments & identify gaps at an enterprise level within the NIST framework● Conducted validation testing of alert scenarios & manual referrals● Ensured adoption of FISMA, Cybersecurity Maturity Model Certification, & SOC 2 Type 2 compliance regulations● Implemented effective practices to securely protect sensitive data● Managed integration of IT operations subject to regulatory requirements

Coral Gables, Florida, United States

● Performed AML investigations of high-risk customers & transactions to identify suspicious activities● Developed risk-based analysis of customers requiring periodic reviews● Managed Negative News & PEP screenings ● Served as subject matter expert on BSA, AML & OFAC to identify process improvements● Drafted SAR Narratives & filed Suspicious Activity Reports ● Analyzed red flag indicators, mitigating, or escalating observed findings

Miami, Florida

● Managed >200 locations to identify fraud typologies & implement stringent fraud controls ● Led compliance & KYC operations in LAC markets & Elevated Fraud Risk Area Locations in coordination with regional regulators● Interpreted transaction analytics to understand emerging fraud trends ● Developed risk assessment protocol to minimize money laundering & terrorist financing risks

Raleigh-Durham, North Carolina Area

● President of the 23rd Wake County Sheriff’s Office Basic Law Enforcement Training Academy● Enforces Federal and State laws and County ordinances● Performs police patrol tours of duty, protecting persons and property as well as preventing crime● Ability to write well documented law enforcement reports● Builds strong community relations with the citizens of Wake County by attending company events, visiting schools to enhance children’s safety, and serving as an active member on the Police Benevolent Association

Raleigh-Durham, North Carolina Area

● President of the Wake County Sheriff’s Office Detention Officer Candidate Course● Made sound judgment in both routine and emergency situations● Developed and maintained effective working relationships with other employees.

Farmingdale, New York

● North Carolina Army National Guard Bravo Company 1st-252 Infantry Regiment ● Specialized in counter terrorism activities, detect, deter, and prevent potential terrorist operations in New York City● Prepared for domestic emergencies, and thoroughly trained to respond to a wide range of incidents● Inspired, motivated and managed soldiers to complete various missions and lead them to success● Managed platoon while out on the firing range, making sure safety regulations were followed