Nicholas Sicignano, Cams Email & Phone Number

New York, Ny, Us

External investigator conducting and maintaining a portfolio of complex investigations focused on financial abuse, neglect, and other forms of exploitation, particularly targeting vulnerable adults and the elderly. Aligned with regulatory requirements, primarily the Bank Secrecy Act (BSA) and other pertinent anti-money laundering (AML) laws. Key Responsibilities:• Forensic Investigation: Conduct in-depth investigations, including gathering evidence, interviewing witnesses and suspects, and documenting findings in a case management system. Collaborate with law enforcement agencies to pursue criminal charges when necessary.• Stakeholder Engagement: Liaise with a diverse range of stakeholders, including victims, perpetrators, legal counsel, law enforcement, Adult Protective Services (APS), Attorney General offices, regulators, and internal security and intelligence teams.• Regulatory Compliance: Ensure strict adherence to regulatory requirements, including Suspicious Activity Reports (SARs), state securities commission reporting, APS notifications, and internal firm policies.• Intelligence-Led Investigations: Employ intelligence-driven techniques to proactively identify emerging trends and risks, and respond to real-time events.• National Reach: Conduct investigations across various state and federal jurisdictions, encompassing all legal entities within the firm's operational scope.• Vulnerable Adult Investigations: Specialize in evaluating alerts related to suspected abuse, neglect, or financial exploitation of vulnerable adults, determining the need for reporting to appropriate state agencies and regulatory bodies.Contributing to the firm's commitment to protecting its people and uphold the highest standards of ethical conduct.

Toronto, On, Ca

Provided global financial crime compliance consulting services to a diverse range of global financial services clients while maintaining regular communication with engagement managers and directors about updates on project progress, addressing client concerns, and ensuring timely delivery of high-quality services.• Coverage Strategy: Managed and reviewed Transaction Monitoring and Risk Scoring processes to identify and mitigate potential money laundering and terrorist financing risks.• Anti-Money Laundering: Conducted in-depth investigations into suspicious activities, prepared detailed investigative reports, and filed Suspicious Activity Reports (SARs) to regulatory authorities as required.• List Screening: Oversaw and reviewed client screening processes to ensure compliance with international sanctions, Know Your Customer (KYC) regulations, and customer escalation standards.• Fraud SAR Quality Assurance (QA): quality assurance reviews of Fraud SARs, providing feedback to SAR writers and investigators, monitoring SLAs, and collaborating with the various management and compliance teams to improve overall investigation and SAR quality.

Toronto, On, Ca

Contributed to the independent accountant’s agreed-upon procedures (AUP) report for a collection of financial research companies that publish investment recommendations.• Assist with the data munging of big, financial data sets• Followed procedures for: data inclusivity and integrity• Compared 1-9 attributes (from Ticker Symbol to Stock Closing Price) from the client sample with historical data from the Bloomberg Terminal.

Fort Worth, Texas, Us

A mixture of staffing, inspecting, directing and the reporting of banking and retail aspects of a Pawnshop chain owning full responsibility for revenues and appropriate Return on Earned Assets (ROEA). • Oversaw sales management, operations, and personnel administration at multiple branches• Acted as Sales Team Lead by devising and implementing sales strategies and promotions• Raised brand awareness by conducting presentations in various marketing channels• Supervised daily branch operations, including teller line and asset warehouse• Managed vault operations and branch audits to maintain operational integrity

Fort Worth, Texas, Us

Responsible for Law Enforcement Holds and various areas of compliance- including record keeping/audits in accordance with various local police agencies, Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) guidelines, and managment of various FBI and ATF Forms, especially those related to responding to ATF trace requests.• Perform traces for National Tracing Center • Maintaining and Acquiring FFL’s • Review and complete manual and electronic 4473 form• Assist day-to-day transactions regarding firearms • Responsible for responding to state audits• Ensuring store follows and maintains compliance requirements for federal and appropriate county/state

Rotterdam, Zuid Holland, Nl

High-volume Loan and Purchase activities for a specialized retail bank. • Qualified, negotiated and appraised loans and purchases of various general goods and jewelry, including gems, diamonds and other precious metals.• Beat weekly sales goals and grew layaway balance to exceed store budget• Audited inventory and procedures to control store asset balances• Priced general goods and jewelry in accordance with fair-market value pricing strategies• Responsible for Police Holds and various areas of compliance- including record keeping/audits in accordance with various federal and local agencies

Juris Master, Financial Regulation And Compliance

Bachelor Of Arts - Ba, Applied Linguistics