Marlon Gonzalez Email & Phone Number

Princeton, Nj, Us

Princeton, Nj, Us

• Monitor and act upon compliance-related cryptocurrency and other AML transaction queuealerts, including reviewing possible suspicious activity and activity that violates firm policies andprocedures.• Investigate and escalate potentially suspicious activity across all AML typologies across theplatform.• Verify customer and counter party information and conduct reviews for AML/BSA purposes.• Facilitates EDD on customer accounts triggered by dollar value thresholds• Periodically perform above-the-line and below-the-line sampling to enhance the effectiveness oftransaction monitoring scenarios.• Create policy and procedures on chargebacks/refunds and investment disclaimers. • Build email surveillance program for Pionex Prime (broker-dealer arm)• Create and manage firm-wide AML training (quarterly) program for Pionex US and affiliated branches. • Liaison with law enforcement on any potential fraudulent activity pertaining to Pionex US customers. • Lead Compliance Program overview with CCO to US state auditors by presenting Pionex US's overall Compliance Program (Onboarding protocols and standards, Transaction Monitoring program, OFAC screening program, etc)

Us

• Development and implementation of a structured and robust CIP, CDD and EDD program with a heavy focus on Emerging Market onboarding of counterparties and creation of a risk rating framework.• Surveillance of trade reporting from TIPPS, Equities and REPO desks to ensure correct trade reporting to FINRA. (execution times, counterparties and reporting mismatches)• Daily investigation of transaction monitoring cases within Actimize Platform and review of daily AML reports from NetX360 system with escalation of any flags within AML reports.• Surveillance of broker’s social media and potential outside business via SQ Eagle-Eye system for any potential violations.

Chiyoda-Ku, Tokyo, Jp

Execute, update and maintain the Group's Key Risk Indicator (KRI) Desktop Procedure and provide monthly reporting for associated KRI’s for all groups within the Trust Business Division. Participate in business manager’s meetings and its initiatives as directed by the head of the Business Manger unit. Work with the team to promote, detect, and mitigate risks in the group. Make recommendations as necessary to improve processes and controls. Participate in RCSA annual testing and validation processes. As a Business Manager, this position is explicitly prohibited from conducting production transaction or execution related functions.Handle risk and compliance reporting, testing and documentation requirements in association with Key Risk Indicators (KRI). Support Incident reporting, regulatory updates and assessments. Based on BM FVP guidance; work with second Line of Defense on risk and compliance initiatives that may involve Financial Crimes, OFAC, KYC and departmental re-structuring and associated projects.Attend and support scenario analysis tabletops. Attend respective meetings and report back to Trust Business Manager as a Trust Business representative.Support and maintain a proactive and robust operational risk management program, related initiatives, and projects as a Business Manager of the Trust Business which include; supporting the maintenance and updates of policies and procedures, Business continuity Coordination.Ensure compliance with regulatory requirements; monitoring, reporting and tracking audit and examination related matters as designated by BM FVP.Assist Trust Business groups by supporting BM FVP as it relates to all projects or tasks related to new strategies, new vendors, new processes and/or new products.

Chiyoda-Ku, Tokyo, Jp

Reviewing and challenging Know Your Customer (KYC) front office submissions for both new and existing customer relationships.Working closely with the front offices to ensure timely completion of all KYC submissions.Daily investigation of transaction monitoring cases in both the Patriot Officer and Actimize platforms.Daily investigation/review of OFAC cases for the three instances of FrS Prime as well as BBH Fircosoft.Working closely with the Financial Crimes VP to ensure that limited exceptions are noted during the quarterly ACT (MUFG Compliance testing) KYC, transaction monitoring and OFAC case clearing reviews.Assist in the maintenance of the BSA/AML Compliance Program, as well as AML and KYC policies and proceduresInvestigation and monitoring of internal branch communications (Emails, Bloomberg terminal, etc.,)

Chiyoda-Ku, Tokyo, Jp

• Conduct KYC reviews for existing clients on behalf of the Trust Group, working closely with the Compliance Group and the client directly to ensure timely completion and approval of KYC review by Compliance Officer.• Process OFAC alerts in OFAC vendor systems for Compliance approval by working closely with the Custody and Securities Lending Groups respectively to identify false positives and direct hits.• Responsible for opening, closing, and amending sub accounts in MDM, NyControl, and Innovest systems as per client instructions.• Monitor and coordinate settlement of trades with the respective brokers, investment managers, and counterparties for VIP Custody clients.• Research Transaction Monitoring inquiries and OFAC inquiries from the Compliance Group on behalf of the Client Service Group to ensure any red flags or issues are handled appropriately in a timely manner.• Assist Vice President and Senior Vice President of Client Service Group with Risk and Control Assessment (RCSA), Enterprise Governance Risk Compliance assessment (eGRC) and Key Risk Indicators (KRIs) by research and gathering of relevant materials on behalf of the Client Service Group

Chiyoda-Ku, Tokyo, Jp

• Conduct KYC reviews for existing clients on behalf of the Trust Group, working closely with the Compliance Group and the client directly to ensure timely completion and approval of KYC review by Compliance Officer.• Process OFAC alerts in OFAC vendor systems for Compliance approval by working closely with the Custody and Securities Lending Groups respectively to identify false positives and direct hits.• Responsible for opening, closing, and amending sub accounts in MDM, NyControl, and Innovest systems as per client instructions.• Monitor and coordinate settlement of trades with the respective brokers, investment managers, and counterparties for VIP Custody clients.• Research Transaction Monitoring inquiries and OFAC inquiries from the Compliance Group on behalf of the Client Service Group to ensure any red flags or issues are handled appropriately in a timely manner.• Assist Vice President and Senior Vice President of Client Service Group with Risk and Control Assessment (RCSA), Enterprise Governance Risk Compliance assessment (eGRC) and Key Risk Indicators (KRIs) by research and gathering of relevant materials on behalf of the Client Service Group

New York, Ny, Us

Conducted and recorded SEC-required lost security holder searches, including initiating Experian and LexisNexis searches, coding search results, and quality reviewing address verification letters prior to, and mailing address verification letters.Assisted with development and maintenance of state required procedures for abandoned property compliance, regulatory and state-specific requirements, and state escheat laws.Conducted data mining, modeling, and statistical analysis for mutual fund unclaimed property compliance.

New York, Ny, Us

Ensure compliance with applicable policies, including client identification, asset transfer policies and asset portability rules.Independently compile and present details pertinent to rollover file challenges, as they are reviewed with management team.Review incoming Product and Customer Applications for accuracy, completeness, uniformity to existing client information and apply internal resolution techniques, where applicable.Initiate contact and work directly with appropriate parties to resolve paperwork and file discrepancies (i.e., irregular ownership changes, registration inconsistencies, source of assets, legal issues, etc.). Compose proper requests for information, documentation and/or follow-through.

New York, Ny, Us

Establish new retirement and non-retirement accounts according to internal policies and procedures.Allocate and invest received assets in non-retirement and retirement accounts according to client’s instructions using Mainframe system.Process shareorder and fund/serv transactions by reviewing Mainframe when a transaction is generated by Broker.

Parsippany, New Jersey, Us

•Created and implemented marketing strategy for MasterLink System Global, an automated compliance program developed by Blue Sky MLS including managing marketing pieces generation, conference stand and landing page design, and social media and email strategy• Designed marketing and e-marketing materials on a range of projects, for brochures and contracts; ensured uniformity in the brand and legal language• Managed proposal presentations and contract execution• Promoted product awareness by presenting features/benefits of Blue Sky MLS outsource regulatory compliance services during networking events and conferences

Parsippany, New Jersey, Us

•Provide administrative support to business development & marketing team through tasks such as data entry, preparing marketing material, and drafting internal and external correspondence.•Collaborate with business development team through acquisition of contacts, leads, and acting as first point of contact for clients.•Create event research templates for ACT system & aid in its implementation.

New York, Ny, Us

• Liaised with event attendees, corporate sponsor, supporting organizations, and partners.• Engaged and promoted BDI’s speakers, sponsors, attendees, and events through social media channels• Assisted in organizing and managing corporate events as well as provided on-site support

• Attended and spoke at local events for community outreach and business marketing• Liaised with clients, courts, and attorneys regarding casework• Preparation of exhibits and pleadings for trial• Pursued action on cases as assigned- such as opening, closing, and maintenance of files

• Facilitate club activities for over 50 student members and schedule over twenty collegiate games each academic year• Promote team growth through fundraising, social activities, and charity work • Evaluated information to determine compliance with university standards using relevant information and individual judgment

Bachelor Of Arts (Ba), Major: Social And Behavioral Science, Minor: Political Science

High School Diploma