John Simas Email & Phone Number

Fort Mill, South Carolina, United States

• Review, update and enhance AML & Anti-Fraud policies & procedures• Act as AML Advisory Liason to other LPL business units & channels• Perform risk assessments, gap analysis, trend and pattern analysis of AML program• Act as SME for independent audits, internal audits, regulatory exams• Assist with vendor risk management, vendor risk assessments for AML & Anti-Fraud vendors• Assist in development, implementation and tracking of AML and Anti-Fraud training programs

Greater San Diego Area

• Manage the Know Your Customer (KYC) & Enhanced Due Diligence (EDD) Teams• Approve and monitor highest risk accounts including PEP, OFAC & foreign entity accounts• Provide ongoing training and education of firm’s AML program to home office staff & advisors• Develop & implement internal policies and procedures with respect to the AML program • Review and approve filing of Suspicious Activity Reports (SAR)

Responsible for overseeing firm's "Know Your Customer" & "Customer Identification Programs" to ensure compliance with federal & industry regulations including USA Patriot Act. Identify accounts & client relationships which present a business risk to the firm and report to AML management with recommendations.

• Responsible for hiring & managing team of 25 analysts for purposes of KYC Remediation• Oversee the remediation process including identifying high risk population, remediate missing data elements, review customer relationship and disposition• Prepare reports for internal auditors, regulators and senior management outlining progress & overall status of the remediation• Evaluate team performance and provide feedback to team members via one-on-one meetings and annual performance reviews• Answer questions from Relationship Managers and Executives from other divisions of the bank concerning KYC Remediation

• Responsible for performing enhanced due diligence on customers designated as high-risk for money laundering / terrorist financing• Communicate with designated Relationship Manager or Branch Manager to obtain appropriate documentation from the customer (i.e. corporate documents, contracts, licenses, etc)• Identify and analyze potential suspicious activity and file Suspicious Activity Reports (SARs) with FinCEN as required• Make closing recommendations to the appropriate business lines on those customers who represent a money laundering/terrorist financing risk to the bank or those that fail to comply with CFG policy

• Responsible for monitoring all customer transactions across all business lines for suspicious activity• Identify and analyze potential suspicious activity and file Suspicious Activity Reports (SARs) with FinCEN as required• Make closing recommendations to the appropriate business lines on those customers who represent a money laundering risk to the bank• Interact with law enforcement representatives following up on CFG cases on a regular basis

Master Of Science, Administrative Studies

Bachelor Of Science, Finance

Activities and Societies: Commuter Association, Student Government Association

High School Diploma

Activities and Societies: Chorus, WHS Octets