I am a seasoned Compliance professional with extensive experience in regulatory matters pertaining to Wholesale Banking and US Broker Dealer activities. 👉 As a Manager and Leader, I have recruited and built Compliance teams dedicated to providing direct, real time Compliance Advisory support to Bankers and Business Line managers in fast paced market environments. I have also participated in the development of Corporate Governance models for diverse Compliance Departments and have managed or directed multiple regulatory examinations with State and Federal banking regulators and with various securities markets regulators. My areas of expertise and activities include:➤ BankingCorporate Relationship Banking with Multinational ClientsTrade Finance activities with US manufacturers in multiple industriesSecurities Services and Corporate Trust activities, including Custody, Paying Agent and Transfer AgentTreasury and Funding Activities for U.S. Branch NetworkMerchant Banking Investments and other investments in accordance with FRB Regulation Y.➤ Broker DealerControl Room and Conflict Clearance ProceduresLicensing and Registration of Branches, Principals and Sales StaffBranch Inspections and Risk AssessmentsReview and Approval of Sales Literature and Marketing Materials.➤ Military ServiceI am a former naval officer with 5 years of active sea duty serving in Destroyers with the U.S. Atlantic Fleet and the U.S. Sixth Fleet.➤ Giving Back I have engaged in various pro bono and volunteer activities with educational institutions in the New York Metropolitan area. These include mentoring, career guidance and guest lectures to business school students. I have also been active in Veteran's programs on campus.