Global Compliance & Operational Risk Manager within Bank of Americas' Anti-Bribery & Anti-Corruption Corporate Political Law Compliance Team. Responsible for leading team in providing strategic and regulatory compliance support to the Bank's Public Policy Team regarding the Bank's Corporate Political Activities; including federal and state lobbying regulation and election law, the Bank's Political Action Committee (PAC) activities, and other corporate political activities.

• Provide daily regulatory advice to Debt Capital Markets, Private Placements and Syndicate desks and Financing and Structured Solutions; • Provide advice to Front Office Supervisors and Controls on rules, regulations, best practices, regulatory and reputational risks in addition to the development of supervisory program, policies, procedures and testing;• Provides expert support and advice to the business on the management of the risks which are overseen or controlled;• Attend Underwriter Committee meetings;• Provide ad hoc support to the U.S. Control Room on daily functions (wall crossings, deal logging, confi registers) and collaborate with the Firm’s global control rooms and advisory teams;• Consider the cross border impact of rules, regulations, policies and procedures and advise accordingly;• Conduct regulatory risk assessments, review, update and draft policies, procedures and compliance notices;• Prepare and deliver mandatory year end, topical and ad-hoc training to Front Office personnel

* Execute all aspects of the Anti-Bribery & Corruption (ABC) Compliance function within the Americas for Corporate & Institutional Banking (CIB); * Responsible for the development and implementation of ABC risk and control framework to ensure compliance with mandatory ABC standards and promote an environment of ethical business conduct; * Strong knowledge of the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act and related risks and enforcement, including political and campaign contributions, gifts & entertainment, lobbying (both legislators and procurement officials), third party suppliers and intermediaries, employment opportunities and charitable donations; * Focus on front office advisory, controls and review/approvals including provided module and live training as well as the development, review and execution of risk controls and program testing; * Develop and draft policies, procedures and training in connection with the legal and regulatory requirements of the FCPA and the UK Bribery Act; * Strong collaboration with UK and APAC counterparts as well as providing support to the global ABC program and initiatives

Advisory compliance officer to 400+ Commercial Banking (CB) government, not-for-profit, healthcare and higher education bankers, credit executives and support personnel. Provide legal analysis and support to the CB’s government banking sales and credit teams to ensure compliance with federal, state & municipal ethics laws regarding gifts and entertainment to government officials, relevant contract procurement and RFP regulations, procurement lobbying statutes and registration requirements. Anti-Corruption Compliance Officer for Commercial Banking and responsible for all FCPA/UK Bribery Act matters, including the pre-clearance of all gifts and entertainment to non-U.S. government officials, as well providing guidance on the use of third party intermediaries and project/trade finance transactional due diligence.

Responsible for the daily review of all political contributions restricted class employees to ensure compliance with applicable state, local and federal regulations and G-37 and SEC 206(4)-5 and researching & providing guidance on federal, state & municipal ethics laws regarding gifts & entertainment to government officials.

Responsible for the daily review of SEC, CFTC, FINRA and national stock, option and futures exchanges for new rule proposals and amendments to new and existing rules and distributing amendments impacting U.S. broker-dealer businesses. Maintained matrix of all regulatory rule proposals and amendments; Global Policy Leader for U.S. broker-dealer, met regularly with broker-dealer advisory compliance to identify and draft amendments to compliance desk and supervisory procedures.

Coordinated due diligence investigations, public record searches and prepared written reports for individual sale representatives, consultants and corporate joint venture partners for the Compliance and Audit Committees; Drafted and filed regulatory applications for Corporation’s state lottery, racing and gaming licensing; Assisted Chief Counsel of Compliance in maintaining and updating all Compliance Policies.

Responsible for releasing and disbursing all seized or restrained client assets (civil and criminal matters); Gathered and coordinated bank documents for production in response to subpoenas; Researched client accounts in response to restraining notices, court orders and other legal process to restrain or seize client assets; Drafted third-party affidavits on behalf of the bank.