Matthew Samuelson Email & Phone Number

Houston, Texas, United States

Houston, Texas, United States

Houston, Texas Area

• Provide compliance oversight and supervision of sales team and trading operations
• Conduct monthly trade desk review of TRACE items, over-the-counter corporate bonds, structured products, and treasuries
• Perform due diligence on counterparties, foreign offices (Uruguay, Argentina, Spain) and domestic branches
• Utilize firm’s proprietary surveillance tool to monitor client trading activity and escalate as necessary
• Generate trend analysis on trace reporting, cash positions, high-risk products, account life cycles, account position allocations
• Incorporate and lead town hall format to interact with sales staff regarding important developments

Houston, Texas

• Drafted and ratified firm’s inaugural AML committee charter, AML committee chair
• Created and implemented policies and procedures for client on-boarding, PEP screening, SAR filing, transaction monitoring, and effective KYC
• Lead for AML investigations, firm’s point of contact with Pershing’s AML team (Clearing firm)
• Coordinate for regulatory inquiries and FINRA Exams, FinCEN reporting

Greater New York City Area

• Conducted Due Diligence for clinical trial operations in accordance with Foreign Corrupt Practices Act and UKAnti-Bribery Act, ensuring consistency and compliance
• Displayed strong written and oral communication skills while communicating with US and non-US approvers on individual engagements
• Lead point of contact for HCPs, vendors, project managers, legal, CROs, non-us colleagues in compliance matters
• Assisted internal stakeholders in identifying and implementing compliance-related continuous improvementopportunities
• Managed multiple engagements while reducing cycle time by reporting on efficiencies, bottlenecks and issuesaround compliance. Analyzed trends, tracked status and current timelines
• Revised, updated and implemented compliance policies

Greater New York City Area

• Collaborated with a team of analysts to complete client on-boarding and existing client review of over 20,000 accounts ahead of schedule
• Maintained working relationships with financial advisors and internal stakeholders to clarify client details or request further information in order to meet regulatory requirements
• Performed enhanced due diligence (EDD) risk analysis on clients geographically located in high risk jurisdictions
• Utilized boolean search methods, third party resources and open source checks to corroborate source of wealth and determine Politically Exposed Person status
• Analyzed negative news in English and Spanish via adverse news articles and/or criminal/civil judgments
• Reviewed Spanish and English formation documents for FFIs, PHCs, Hedge Funds, Charities, and Operating Entities

Greater New York City Area

• Performed thorough review of foreign healthcare professionals to determine government official status
• Conducted compliance review in accordance with Foreign Corrupt Practices Act and UK Anti-Bribery Act
• Routed documentation for meetings and events ensuring travel & expense compliance standards were met

Bachelor Of Business Administration, International Business

Activities and Societies: Alpha Lambda Delta/ Phi Eta Sigma- National Honor Society, Texas Art History Society, Unidos por un Mismo.

Finra Institute At Georgetown Certified Regulatory And Compliance Professional (Crcp)®

Studies In International Economics, European Union, And Spanish, Study Abroad