-Survey/interpret U.S. & Canada MSB regulatory landscape and recommend changes to Compliance program policies & procedures and risk assessments-Manage state license application project from document creation through regulatory filing for two legal entities-U.S. & Canada MSB regulation escalation SME for Business Development & Client Onboarding teams-Manage multiple annual state regulatory exams from engagement letter through ROE final response

-Developed process for standardizing policy/procedure creation, change management and version control-Established global SOP for client onboarding due diligence team-Created new processes for tracking global audits including tracking higher risk findings and managing deliverables timeframe

-Performed CDD/EDD on new/existing clients including sanctions screening, PEP, adverse media-Reviewed account transactions and activity, conducted research of suspicious activity, prepared SARs-Assisted with document licensing and regulatory reporting preparation

-Served as client facing, single point of contact responsible for end-to-end client experience during the international multi-entity onboarding process -Collaborated with client and internal teams to develop and execute implementation plan, establish clear expectations and provide transparency of deliverables timeline -Identified onboarding risks, provide quantitative and qualitative analysis based upon knowledge of client and products, and manage through conflict and mobilize internal resources

-Subject matter expert for KYC and quality control teams in the Americas -Provided interpretation of KYC policy, procedures and reference materials for KYC, Compliance, quality control and internal stakeholders-Coordinated with multiple teams to escalate procedures conflicts to Global and Local Compliance for resolution. Facilitated team training of updated procedures and reference materials

-Led team of 4-6 KYC analysts tasked with reviewing new accounts to ensure alignment with KYC procedures and regulatory guidelines. Recruited and trained new KYC analysts and contractors -Managed weekly new accounts pipeline assignments for 120 plus clients to ensure timely production of account reviews-Developed and refined the KYC new analyst training program, integrating global and local review requirements and best practices across 4 levels of account complexity and risk -Performed daily quality assurance reviews on work product of KYC analysts as well as completing monthly KPI, permanent supervision tests and KYC quality control

-Supervised team of 4 analysts for the annual AML renewal project for 900-1,000 clients-Researched client daily trading activity on 50-75 clients to detect anomalies. Gathered information for monthly SAR preparation-Assisted Director with transition to SG Americas Securities, LLC including account information integration of approximately 4,000 plus clients and 20+ new KYC onboarding policies & procedures

-Managed annual client renewal project for 1,500 plus accounts inclusive of capacity planning and reviewing the work product of 4 AML analysts. Achieved targeted project completion date-Trained and supervised new 5 AML/FCP analysts and contractors -Analyzed structure, documentation and ownership information for 30-40 plus new clients and counterparties monthly and assigned commensurate risk rating

-Managed the KYC renewal project for 2,000 plus accounts and prepared weekly project updates for senior management review-Reviewed documentation for 25 new clients weekly to ensure adherence to AML/KYC policies. Recommended closure of 5-10 inactive accounts monthly-Served as department representative to 5 larger trading groups to ensure timely account review and problem resolution