James Maxwell Email & Phone Number

New York, NY, US

New York, New York, United States

Since leaving Goldman Sachs in 2019, I have leveraged my experience as an in-house attorney and compliance officer at US and non-US banks and bank holding companies to provide legal and compliance services to the financial services industry.

New York

Supported cross-functional regulatory and compliance efforts with a focus on consumer protection and consumer financial services regulation. Assessed probable impact of new and evolving compliance and regulatory requirements in the consumer financial products & services space.

Worked with Compliance units to prepare regulatory submissions that met regulatory expectations concerning accuracy, responsiveness, consistency and scope

Greater New York City Area

• Conducted due diligence on proposed projects, counterparties and servicers of bank and non-bank business units to ensure compliance with consumer compliance and fair lending laws, e.g., ECOA, FCRA, FDCPA, SCRA, UDAAP.
• Conducted risk assessments of bank businesses and worked with audit teams on audits of bank businesses and regulatory compliance processes, e.g., FRB Regulations D and O
• Reviewed and approved investment committee presentations and pre-closing regulatory checklists to ensure compliance with applicable laws, including consumer compliance and fair lending laws and the Community.
• Managed policies and procedures designed to ensure compliance with various FRB Regulations, including Regulations D, F, L and O
• Advised on compliance with Community Reinvestment Act and related FRB Regulations G and BB
• Implemented new processes to better protect sensitive information while at the same time reducing time required to complete required regulatory compliance checks

New York, NY

• June 2012 – August 2015:Consulted full-time at Goldman Sachs
• Conducted compliance risk assessments of Goldman Sachs businesses to assess and improve compliance activities
• Developed, implemented and maintained key compliance policies and procedures to ensure compliance with federal and state banking regulations October 2011 – June 2012:Consulted with a broad variety of banks and other.
• Assisted in overhaul of a bank’s AML compliance program, including change of software vendors and implementation of new monitoring processes and procedures
• Investigated potential violations of AML and similar laws, prepared and signed off on suspicious activity reports

New York, NY

• Chief Compliance Officer – NY
• Developed corporate governance initiatives for U.S. branches, and provided legal support for general banking and regulatory issues to U.S. business units and branches. Liaised with federal and state regulators on all.
• Developed policies and procedures, ensured Compliance Committee governance, conducted transaction monitoring, account investigations, tracked compliance statistics for reporting to senior management, approved SARs, and.
• Managed non-BSA/AML areas including fair lending, privacy, consumer compliance and other banking laws and regulations applicable to the New York branches’ business and operations.
• Supported corporate governance initiatives for U.S. branches, developed charters for executive management structure (management and supporting committees), developed governance procedures, provided advice and support.

New York City

• Counsel to U.S.-based Corporate Governance Division that reports directly to Tokyo head office. Managed and monitored legal and regulatory matters for MUFG and its U.S. affiliates.
• Provided advice and support for legal, regulatory and compliance matters affecting MUFG in the U.S., including bank holding company issues, regulatory reporting; application, supervisory and compliance requirements.
• Supported introduction of new products and activities, including internal and regulatory approvals.
• Liaised with Federal and State regulators, resolved regulatory examination issues and managed certain of MUFG’s Federal Reserve regulatory reporting obligations.
• Enhanced enterprise risk management and reduced operating risks by instituting regular cross-entity meetings to strengthen corporate governance and enhance coordination of highly independent U.S. affiliates with one.

New York City

• Executive Vice President-level member of the executive management team of NBG's New York State-chartered commercial bank, Atlantic Bank of New York (ABNY). Responsible for legal matters affecting ABNY and US activities.
• Oversaw NBG's compliance with Bank Holding Company Act and related regulations
• Supervised outside counsel
• Primary liaison with Federal and State regulators
• Assisted in development of new financial products and services
• Supervised non-attorney compliance department

Bachelor Of Arts, With Honors, English

Juris Doctor