Douglas J. Keffler, Esq. Email & Phone Number

Mountain View, California, United States

• Oversee & manage all AML policies and procedures including KYC, EDD, and transaction monitoring• Revise and draft amendments to the AML policy and procedure• Manage the buildout and testing of the AML transaction monitoring system• Create SAR referral guidelines and internal procedures for escalating potential suspicious activity from frontline departments• Review AML alerts and draft SAR referrals• Host SAR Committee meetings and present SAR narratives and supporting documentation• Conduct manual negative news and sanctions screening reviews• Manage vendor procurement and implementation for various elements of the AML program• Lead investigations, draft responses, and manage all requests from state attorney general offices and law enforcement agencies regarding potential suspicious activity • Draft and publish new compliance procedures for various departments• Perform KYB due diligence for new vendors • Host and present annual training for various departments on topics such as AML/BSA regulations, confidentiality, and topics related to privacy• Perform legal research and analysis of various issues related to US and international compliance laws• Manage and oversee due diligence responses to third-party vendors required for onboarding and periodic reviews

Gilbert, Arizona

• AML/BSA experience: KYC/CDD, EDD, AML transaction monitoring and sanctions review• Criminal investigation experience: transaction tracing and evidence analysis• Civil litigation experience: legal document review, privilege review, document collections, and client communications

Phoenix, Arizona

• AML/BSA experience with multiple clients including retail banking, FinTech, and cryptocurrency• Managed and worked multiple types of workflows including: KYC/CDD, EDD, alerts, and cases• Managed and worked SAR workflows• Team lead for groups of 5-20 analysts on various workflows• Forecasted and managed daily, weekly, and monthly numbers for clients• Oversaw service level agreements (SLAs) are met• Ran a solo project for a client with minimal oversight• Trained and on-boarded new employees across multiple projects, and provided career development advice

Phoenix, Arizona

Amarillo, Texas

• Primary analysis and legal work focuses in family law, estate planning, private injury, and criminal law • Family law experience includes: attending hearings, drafting and editing divorce decrees, counterpetitions, temporary orders and final orders • Estate planning experience includes: composing and editing wills, power of attorney documents, applications for probate, inventory appraisements, and waivers • Private injury and criminal law experience includes: attending hearings, research and analysis of federal and state statutes and case law, and drafting and editing numerous motions • Conduct client interviews and case assessments for risk, liability, and potential claims and lawsuits. • Manage cases, clients and daily use of LexisNexis, Westlaw, and ProDocs

Washington D.C. Metro Area

• Analyzed, compiled, and coordinated reports and strategies for successful election and lobbying campaigns with Work For Progress, Human Rights Campaign and Environment America. • Oversaw all aspects of day-to-day operations such as: staff management, recruitment, interviews, payroll, budget management, statistical and data fraud. • Supervised a staff of 10 to 30 employees.• V.A.N. software experience (Voter Activation Network)

San Diego, Ca

• Wrote, researched and edited numerous documents specifically pre-trial motions and sentencing memoranda submitted to federal and state court• Composed in-office memos • Researched and evaluated case law and statutes under Federal law in the areas of: immigration, drug manufacturing, distribution, and possession • Analyzed and researched case law and statutes under state law in the areas of: DUIs, theft, drug possession, and misdemeanors • Attended trials, hearings, depositions and client interviews

San Diego, Ca

• Wrote and edited interrogatories and evidentiary requests • Researched case law and statutes in the areas of: personal Injury, contracts, malpractice, wrongful death, and sexual harassment • Litigation experience included: interrogatories, depositions, and exhibit preparation.

Mesa, Az

Head Varsity Boys’ Volleyball Coach, January 2007 to May 2009Assistant Varsity Girls’ Volleyball Coach, June 2007 to November 2007• Responsible for coaching student athletes in game strategies and techniques to prepare them for athletic competition, and motivate them to develop an appreciation of the sport• Monitored the academic performance of team members to ensure that eligibility requirements were met; encouraged student athletes to maintain a high academic standard• Maintained eligibility forms, emergency data cards, insurance records, equipment inventory, and other related records• Worked with the Athletic Director in scheduling facilities for practices and competition• Followed state, regional, and district regulations governing the athletic program

Juris Doctor (J.D.), Law

Bachelor Of Arts (B.A.), Philosophy

Publication: “Continuous Properties of Identity” Prometheus, Johns Hopkins Undergraduate Philosophy Journal, Volume I, Issue IV Honors.