Keith K. Email & Phone Number

Menlo Park, California, Us

Head of Financial CrimesJuly 2024 - Present

Menlo Park, California, Us

Director, Financial Crimes Governance March 2022 - July 2024Senior Manager, Financial Crimes Governance May 2021 - March 2022Built the Financial Crimes Governance team to 12 team members with controls and processes across risk management, quality control, advisory and program management. Developed and implemented the following new policies, procedures and controls:Robinhood AML Program AML, CTF and Sanctions Risk AssessmentProduct Risk AssessmentChange ManagementIssue ManagementQuality Control TestingRisk ManagementAnti-Bribery & CorruptionRegulatory & Exam ManagementKey Indicator ReportingOrganized and managed the Anti-Money Laundering Oversight Committee for ongoing oversight of the firm-wide AML Program, including enhancing metrics reporting of KRIs & KPIs, issues and quality control testing results. Conducted Financial Crimes due diligence on five potential mergers & acquisitions, including three successful deals.Lead Financial Crimes through new business and market expansion projects into the United Kingdom (Brokerage), Europe Union (Crypto) and beyond (wait and see).

New York, Ny, Us

Vice President January 2016 - May 2021Senior member of the Risk Assessment and Program Group providing guidance and advise on the application of AML laws, rules, and regulations to BBH & Co. and it's affiliates. Lead the design and execution of the Annual AML and Sanctions Risk Assessment across all business units of BBH. AML Officer, BBH Trust ('40 Act Mutual Funds)March 2016 - May 2021Designated Anti-Money Laundering Officer for BBH Trust's registered mutual funds. Responsible for implementing and monitoring the operations and internal controls of the AML and Sanctions programs and overseeing the operational processes delegated to service providers such as the transfer agent ("TA").AML Officer, Brown Brother Harriman Investments, LLC ("BBHI")May 2016 - May 2021Designated Anti-Money Laundering Officer for BBHI, a limited purpose broker-dealer established to distribute for sale the private placement investment funds of BBH & Co. Responsible for implementing and monitoring the operations and internal controls of the AML and Sanctions programs and overseeing the operational processes delegated to service providers.AML Officer, BBH Luxembourg FundsJuly 2016 - May 2021Designated Money Laundering Reporting Officer for the BBH Luxembourg Funds. Responsible for implementing the BBH Luxembourg Funds AML Program and conducting oversight of the Luxembourg Transfer Agent and the Principal Distributor for the application of the funds AML Program.AML Officer, BBH Cayman FundsOctober 2016 - May 2021Designated AML Officer for the BBH Cayman Funds (1818 Partners and Credit Value). Responsible for implementing the BBH Cayman Funds AML Program and overseeing the transfer agent and distributor for the application of the AML Program.Deputy MLRO, BBH Cayman Trust Co. November 2016 - May 2021Acting Deputy MLRO for the BBH Cayman Trust Company. Assist in the implementation and oversight of the Trust Co.'s AML Program.

New York, Ny, Us

Provide AML guidance and oversight for all Morgan Stanley Investment Management ("MSIM") units. Developed the MSIM CIP Policy, designed the Transfer Agency Oversight of MSIM administrators, and spearheaded the business partner review program along with the creation of the MSIM AML Business Partner Review checklist. Reviewed potential OFAC, anti-corruption and anti-bribery, negative news, and politically exposed persons (PEPs) alerts for possible AML, reputational, and other risks in association with the anti-corruption group and OFAC and AML counsels. Reviewed contract language for all subscription agreements, investment manager agreements (IMAs), offering memorandum, distribution agreements, and similar contracts to ensure sufficient AML, OFAC and anti-corruption representations are included.

Boston, Massachusetts, Us

Redesigned the ongoing investor monitoring (OIM) process within CaRRS for Hedge, Private Equity and Real Estate funds concentrating on reducing false positive alerts, streamlining the workflow process from data retrieval to alert review and escalation, and addressing gaps in red flag coverage. Established automated Money Laundering Risk Assessment (MLRA) tool in order to systemize and consistency within the Client Due Diligence (CDD) review.Escalation point of contact for Alternative Investments Services (AIS) Anti-Money Laundering inquiries related to Politically Exposed Persons (PEPs), Introducer/Regulated Entity AML Representation Letters, and Enhanced Client Due Diligence (ECDD) issues.Apointed liason for regulatory review of operational procedures including Investor AML/KYC, Client Due Diligence, Suspicious Activity Monitoring, PEP and Bearer Share reviews, and OFAC screening.

New York, Ny, Us

Anti-Money Laundering subject matter expert for Hedge Fund Services Transfer Agency. Established new AML checklist, database, and procedure across the department and collaborated across business units and markets to promote symmetry within the organization. Developed processing checklists and procedures for the registration team. Focused on utilizing current systems to monitor data in an ever changing regulatory environment. Instituted new standards to track Form PF requirement on investor accounts.Manage 8 individual contributors who complete the full registration and funds processing requirements for our Hedge Fund clients. This includes ownership of the Investor Profiles, AML documentation and review, Form PF and FATCA monitoring, Funds Transfer Protocol Bank Wire maintenance, and new client investor on-boarding.

New York, Ny, Us

Team leader responsible for eight high frequency blueprint clients. Transitioned the transfer agency to Boston while establishing best practice procedures, initiating internal officers' meetings to promote collaboration and team building, creating internal groups to enhance associate feedback on tasks, technology and atmosphere, while spearheading the AML database project. Established the on-boarding team to assist with the successful on-boarding of new clients. Collaborated cross market with other business units in Ireland, UK, Australia, Asia and Europe. Working to functionalize the team in collaboration with the LEAN model and assist in off-shoring part of the groups daily tasks.

Boston, Massachusetts, Us

Managed a group of five individual contributors. Assisted in the transition of Investment Managers from manual trade instruction formats to automated options. Became point person for all requests pertaining to SEC Custody rule and other legal or regulatory questions. As a My.StateStreet.Com Product Champion transitioned the group and our Investment Managers to the new reconciliation software to increase efficiency and customer satisfaction. Ensured the groups compliance with all internal AML and KYC requirements.

Boston, Massachusetts, Us

Provided superior customer service to both internal and external clients in inquiry resolution as well as assisting in the settlement of trades and other reconciliation issues. Trained four new staff members and assisted in the training/transition of other team members to new roles. Created new training material for the group as well as automation of the group contact sheets. Became the go to person to train internal and external clients on State Street's reconciliation website and for assistance with the more complicated recon based queries of the group. Ensured all asset manager were in compliance with Custody rule and satisfied internal KYC and AML requirements.

Newark, New Jersey, Us

Advised new and existing clients on insurance and other financial services products while utilizing the array of Prudential products to address client needs.

Addison, Tx, Us

Provided highest standards of customer service while performing duties of both teller and client officer for high net worth clientele. Helped customers open accounts and determine appropriate financial products for their needs. Ensure client on boarding is completed in line with firm's anti-money laundering and know your customer policies and procedures.

Juris Doctor (J.D.), Securities, Compliance, General Law

Bachelor'S Degree, Finance - Bachelor Of Business Administration (Bba)

Bachelor'S Degree, Economics - Bachelor Of Arts

Certificate In Managerial Leadership, Management

High School, General