Responsible for compliance, risk and financial crime compliance for investment banking and broker/dealer compliance activities (Institutional/Qualified Institutional, Private markets, HNWI, Emerging Markets); drove compliance with Federal, state, legal, regulatory and corporate policy requirements; oversaw trade related compliance for fixed income, equity securities and the data and research platform (FinTech); provided supervision of back office operations (client onboarding, regulatory compliance, record maintenance)and regulatory liaison (FCA/FINRA/SEC). Developed and maintained policies and procedures based on regulatory requirements and industry practices (AML, CIP, BCP, Insider and PA dealing); responsible for the CMP, marketing and financial promotions approvals, transaction reviews, monthly and quarterly compliance reporting and developing the operational risk management framework and RCSA process (including sales and trading activities); provided approval for all new accounts re KYC, CIP, sanctions. Oversaw 15a-6 Chaperone arrangements to facilitate U.S private placements of foreign securities.

As Head of Compliance and MLRO for the Corporate and Institutional banking business, provided oversight for regulatory and financial crime compliance related to trade finance (letters of credit, guarantees, bonds and other trade instruments for importers and exporters), treasury (payments, foreign exchange, derivatives, custody and execution services) and real estate finance (loans for commercial and high value residential with tailored repayment facilities). Responsible for surveillance, advice, training, trade related compliance and supervisory policies/procedures and back office support (including Know Your Customer, Know Your Business, Onboarding, Periodic Reviews). Responsible for external relationships and stakeholder management (regulatory liaison for filings and auditors for corrective action plans) and internal reporting (Board of Director Compliance Report and anti-financial crime KPI's)

Continuous Linked Settlement (CLS), a financial market utility and Edge Act Corporation, eliminates settlement risk in foreign exchange transactions, using a 'payment versus payment' method, which provides a simultaneous exchange of currency values through CLS Bank International. CLS is subject to regulation and supervision by the Federal Reserve as well as cooperative oversight by the CLS Oversight Committee (OC) which includes the 17 central banks of CLS-settled currencies as well as five other Eurosystem banks. Responsible for the execution of the Corporate Compliance and Financial Crime Compliance programs, supporting Supervisory Affairs, encompassing group standards and the Compliance Risk Management Framework. I spearheaded global training initiatives and supported the embedding of the BSA program, Data Privacy and Records Information Management requirements.

Regulated by the FRBC. Responsible for private, business and brokerage compliance as it related to asset servicing, fund administration, asset management, fiduciary and banking solutions (Corporate and Institutional services - asset servicing, brokerage, fund managers and Wealth Management (custody)). As Deputy Head of Asset Servicing, provided compliance oversight of Outsourcing activities - conduct monitoring, trade surveillance, best execution, conflicts management (ethics, PA dealing, Outside business affiliations, Gifts and Entertainment), Policy maintenance and training.

Fund Administration compliance (UCITS, Transfer Agency, NAV calculations, Trustee)

Branch Examiner for the retail brokerage businesses (sales and sales trading compliance, presenting, report writing, compliance auditing)