Mark Gregson Email & Phone Number

Santa Rosa, Ca, Us

San Francisco, Ca, Us

Conduct Enterprise Wide BSA/AML and Targeted Risk Assessments – Including: conducting in-terviews with line of business representatives to understand risks and controls associated with vari-ous products and services; defining parameters and risk attributes for data collection; conducting analysis with collected data to quantify inherent risks and risk exposures; performing control effec-tiveness review to assess the control environment effectiveness and identify any control gaps / en-hance opportunities; socializing and presenting findings/results to Lines of Business; and producing comprehensive, executive-level reporting to be consumed by BSA/AML and the lines of business.Provide Risk-Focused Analytic Support for BSA/AML Initiatives – Support includes oversight of transaction monitoring strategies, the customer risk ranking model, country risk ranking list, NAICS code list and etc.Conduct Targeted Product and Service Risk Analysis – For example, currently concluding a tar-geted assessment of the Bank’s risk tolerance and exposure to cryptocurrencies and Initial Coin Of-ferings; which has led to adjustments to firm wide policy. Anti-Money Laundering Business Rule Standards Committee (AMBRS) - Oversee the preparation and review of committee meeting materials, lead meeting agenda, and other committee duties.

Westlake, Texas, Us

Lead the formation of and managed the FCC Governance and Oversight team which resulted in the maturation of the Firm's Financial Crimes Compliance Program. Responsibilities included: ▫ Lead Regulatory Exams and Audits - Improved FCC Exams and Audits coordination, resulting in significant reductions in the number and severity of findings and consistently improving overall Report Ratings;▫ Restructured FCC Program - Adopted a firmwide compliance risk management and program oversight structure to ensure alignment with standards as required by the Federal Reserver;▫ Directed Mission Critical Program Activities - Developed and implemented a methodology to track completion of Exam and Audit findings, Self-Identified Issues, Strategic Goals and Objectives. Regulators have praised the methodology and its use to strategically manage the Program; ▫ Risk Assessments - Completed 28 BSA/AML and OFAC / Sanctions Risk Assessments annually for US and international entities;▫ FCC Testing and Training Programs - Lead the development, execution and modernization of the FCC Test and Training Plans informed by Risk Assessments, exam/ audit findings and regulatory updates;▫ Strategic Planning - Developed and executed the FCC Strategic Plan which aligned with the Firm’s overall strategy;▫ Leadership Reporting - Oversaw development and consistent improvement to Board, Management and Committee Reporting for the Firm and all required entities;▫ Chief of Staff- Planed and directed all administrative, financial, and operational activities and acted as a point of contact for the Firm's BSA/AML and OFAC Officer; ▫ Anti-Bribery and Identity Theft Programs - Implemented and maintained these Programs.

Westlake, Texas, Us

Lead geographically diverse team of Project Managers and Business Analysts with responsibilities to deliver large scale and mission critical operational and regulatory required projects on time and within budget.

Westlake, Texas, Us

Lead team developing business case, investment concept, and business requirements for automating check deposits for the firm, resulting in decreased deposit errors, shortening processing time, and improved customer service.

Westlake, Texas, Us

Managed all aspects of the Client Identification Program, including customer due diligence, maintaining the Firm’s ‘Hotlist’ list of clients, and other client verification activities including:▫ Managed fraud detection activities for new clients; ▫ Oversaw growth of department from staff of 5 to peak of 40 analysts;▫ Responsible for multiple vendor relationships – from technical management to contract negotiation;Managed business analysts in the migration of PATRIOT Act verification, OFAC review, and ‘Hotlist’ review to new vendor;▫ Consolidated logic and technical workflow related to client screening activities;▫ Balanced ongoing cost reduction efforts while maintaining superior risk mitigation standards for the Firm;▫ Handled all relevant risk escalations.

Westlake, Texas, Us

Lead a team that developed and deployed a workflow and imaging solution used enterprise wide. The system was considered a keystone of the firm migration from a paper based workflow to image based processing, which allowed greater flexibility in workforce location, reduction in costs, and improved client experience.Responsibilities included: Use case development, managing issues and project risks, vendor analysis and selection, budget oversight, workflow process modeling, and data analysis. Project budget $15 million for initial release.Oversaw the Maintenance of the Workflow System. Responsibilities included: ▫ Production support;▫ Expanding the use of the workflow and imaging solution to businesses throughout the Firm;▫ Incorporated system changes to leverage offshore resources;▫ Managed queue of enhancement requests and their corresponding budget;▫ Negotiated with business process owners the priority of items in queue;▫ Streamlined release cycles for enhancements;▫ Incorporated infrastructure upgrades to ensure system stability.▫ Manage analyst staff developing straight through processing technologies to implement a fully automated account opening and updating solution; ▫ Leverage of 2-D barcodes technologies, Optical Character Recognition, and advance forms recognition software.

Westlake, Texas, Us

Lead business analyst on team responsible for re-engineering tracking system for client and account required documents. Responsibilities included: Use case development;Legal and Compliance negotiation;UAT testing.

Westlake, Texas, Us

Lead Project Manager on redesign of Securities Master for the firm and select Y2K remediation efforts.

Westlake, Texas, Us

Managed department for tracking paperwork within Headquarters and maintaining Client Records, leading a team of 50 employees.Challenge: Reduce/Eliminate lost paperwork being sent from branches into Headquarters, ensure Regulatory compliance of paperwork for Books & Records.Success Delivered: Worked with technology to develop paperwork tracking system, hired and trained staff, created plans and communication strategy to introduce new process and department to company. Reduced lost paperwork by 60%, significantly reducing client complaints and phone calls into Headquarters departments.

Westlake, Texas, Us

New York, New York, Us

CitiCorp Investment Services – Investment Operations SupervisorResponsible for creation of new department to provide operational assistance to 70 Investment Advisors;Provided Advisors with assistance with produce offering;Provided training, and license management (ensuring licenses are current, renewed, and transferred as needed);Coordinating the set up of new brokerage offices that included ordering furnishings, telecom and computer set up;Performed OSJ functions including branch audits, review of trades for suitability, approval of new client applications;Generated all organization reports for distribution throughout the Retail Banking and Brokerage Divisions;Responsible for generating broker’s monthly compensation and quarterly bonuses;Reconciling trades ands revenue on a daily and monthly basis. Citibank – Retail BankingFinancial Services Representative – Assisted bank clients in choosing the appropriate bank products for their needs, provided telemarketing to customers, provided client complain resolution support.Universal Service Representative – Performed all aspects of branch client support including staffing the Client Services Center and performing Teller functions.