James Philip Email & Phone Number

Camano Island, Washington, Us

Independent Compliance/Risk Advisory and Consulting (plus a little Stock Photography on the side)

London, Gb

Compliance Advisory Board (CAB) member and Chief Compliance Officer for Global Data Consortium (GDC).GDC provides real-time global identity verification (Know-Your-Customer, or KYC) for businesses looking to globally verify customer identities. GDC connects customers with local data, bridging the gap between local and global markets.

Seattle, Washington, Us

Global Independent Risk, Compliance and Financial Crime consultant.

Foster City, California, Us

Manage the Global Geographies Compliance teams. (North America, Latin America Caribbean, Central Europe, Middle East & Africa, Asia Pacific). Co-ordinate Annual Mandatory Compliance training.

San Jose, Ca, Us

Responsible for management of compliance obligations with regulators and execution of plans and strategies to ensure stable regulatory relations.

Independent Compliance, Risk and Financial Crime consultant.

London, Gb

AML/Compliance solution executive for the EY Pacific North West Business Risk Advisory practice. Responsible for all aspects of AML/Compliance engagements, including practice risk management, budgeting, staff selection and training, fieldwork, provision of professional advice, report writing, billings and collections. Clients have included financial services firms (broker dealers, banks, asset managers and funds) and Web-based money-remitters.

New York, Ny, Us

Responsible for USA PATRIOT/Bank Secrecy Act and Code of Ethics matters for BGI, N.A. and its affiliate companies.

London, Gb

Performed all aspects of compliance in accordance with United Kingdom and South African regulatory requirements. Branch business included Corporate & Commercial banking, Project Finance, Treasury, Agri-finance and Private Wealth. Total branch assets ~ $1.2 Billion. Included in the due diligence team (responsibility: Regulatory, Financial Crime and Compliance) for Barclays Bank’s acquisition of ABSA Bank ($3.9 Billion) in May 2005.

New York, New York, Us

Performed all aspects of compliance in accordance with United States and South African regulatory requirements for the largest foreign bank in South Africa. Compiled and submitted all US financial regulatory reporting for the Branch. Branch business included Corporate banking, Commercial and Project Finance, Asset Finance, Treasury, Foreign Exchange and a Broker-Dealer. Total branch assets ~ $5.6 Billion.

New York, Ny, Us

Senior Consultant Carried out regulatory audit and advisory work for 80% of South African financial market participants. Created local Specialist Technical and Regulatory Services (STARS) division of KPMG with 1 partner. Performed administration, planning and project management for STARS set-up. Member of the Banking Committee of the Compliance Institute of South Africa. During Articles of Clerkship, performed statutory financial audits on financial clients including brokers, banks and micro-finance companies.Performed financial due diligence work in Industrial (Energy Utility) and Finance (Bank/Broker) sectors. Supported KPMG Forensics with administration of a broker-in-default and assisted with other regulatory matters. Selected to perform overseas (US & UK) assignments for industrial clients of “Management Assurance Services” group of KPMG.

Johannesburg , Gauteng, Za

Assistant Economist, Economics Division: Produced corporate sector analysis, balance-of-trade reporting and commentary on banking market share analysis for use by the Treasury, Corporate banking and the Executive management of the bank. Prepared “In Figures” documents containing African country and regional statistics for distribution to local and foreign retail customers. Client Services Officer, Financial Asset Services:Responsible for single point of contact for top corporate clients and the preparation of custody RFPs. Clients included CEDEL, Bank of New York, and JP Morgan Chase. Risk Management Officer, Securities Lending: Assisted in the management of the securities lending service.

Pmp, Project Management Professional

Registered Person (Bond Exchange), Capital Markets

Professional Accountant (Sa), Accountancy/Tax/Auditing

Honsbcompt, Accountancy/Tax/Auditing

Accountant'S Conversion Course, Accountancy

Caib(Sa), Associate Diploma In Banking

Bsocsci, Economics

Education record