Assist financial services companies with all aspects of regulatory compliance management including compliance, enterprise and vendor risk assessments and management, internal and vendor control reviews and Compliance program development to meet regulatory guidelines.• Designed and implemented compliance risk assessments at large financial institutions in response to regulatory requirements. Assisted clients with the identification and assessment of regulatory risk, the identification of controls and control weaknesses and gaps. Also worked with compliance teams to develop processes and / or policies to mitigate those weaknesses.• Worked with an international team at a large international bank to develop a global enterprise risk assessment. Specifically worked with stakeholders to develop the structure and content of reference data requirements and reports used to help compliance officers determine risk. • Led the review of a compliance program of a global financial services organization. This included a review of all compliance program documentation, risks assessments and testing program. Provided recommendations for the enhancement based on similarly situated peers and regulatory requirements.• Led the review of a compliance program for a private equity firm as they progressed through the process of becoming a registered investment advisor. This included a review of all compliance program documentation including policies and procedures, organizational charts and training materials. Provided recommendations for the enhancement of documentation to meet regulatory requirements.

Assist financial services companies with all aspects of regulatory compliance management including compliance, enterprise and vendor risk assessments and management, internal and vendor control reviews and Compliance program development to meet regulatory guidelines.• Led UDAP risk assessments at regional banks. Produced recommendations reports which provided the client with an understanding of potential areas for improvement.• Led an impact assessment to determine the effect of new Mortgage Servicing Rules for a midsized bank. Developed a gap analysis and an implementation plan which set forth a roadmap for compliance.• Performed a risk assessment of a mortgage servicer’s processes, assessed the operational risk controls and compliance program for the following key functions: SPOC, Third Party Management, Servicing Compliance, MERS, MIS Reporting, Training, Risk Assessment / Management, and Audit • Led the review of a hedge fund as they progressed through the process of becoming a registered investment advisor. Assessed the overall compliance program and identified opportunities for improvement. • Performed a gap analysis for asset management clients focusing on compliance program documentation and internal controls. Developed recommendations for management to improve related processes.

 Investment Advisers Act/Investment Company (1940 Act) Act responsibilities: - Assisted with the registering of a new Registered Investment Advisor (creating, maintaining & updating ADV).- Responsible for reviewing trade allocations for Equities, Fixed Income, Derivatives and Leveraged loan desks.- Performed training based on current and new regulatory updates from FINRA, SEC and other organizations. Performed 206(4)7 reviews:- Designed follow up reviews in order to monitor the remediation process for any exceptions found.- Worked with Senior Management to update and create new policies and procedures to support the review process.- Coordinated and documented follow-up action. Trade Allocation Review:- In addition to performing reviews, liaised with trading technology and business departments to ensure surveillance reports are thorough and inclusive of all relevant data. Performed KYC, AML and OFAC client reviews: - Performed OFAC review of SDN list and worked with business units to ensure compliance with OFAC. Enhanced existing AML client screening process by creating risk-rating methodology and engaging third party vendors to perform due diligence process. Created and implemented global training program for over 1500 US and non-US employees.

 Worked closely with Compliance and research vendor to develop regulatory monitoring web based tool which would provide region specific regulatory news and rule updates. Monitored SEC and SRO proposed and final rules; summarized and disseminated business relevant information to business units. Performed due diligence review on individuals and companies for derogatory or potentially negative information as part of GS’s new account/new client due diligence strategy (i.e. Anti-Money Laundering (AML), Patriot Act, KYC. Reviewed suspicious activity reports and escalate certain items for follow up review by supervisor. Reviewed and drafted synopsis of regulatory developments from major US regulators (NYSE< NASD< NASDAQ< AMEX< MSRB, etc.) for review by regulatory monitors. Perform research using Lexis and Westlaw.