Oliver Sutton, Iii Email & Phone Number

United States

New York, Ny, Us

New York, Ny, Us

Global Compliance Exam Management

Toronto, Ontario, Ca

● Manage Regulatory Examinations of the Firm and audits of the Compliance Function● Liaise with regulators and internal stakeholders, serving as primary point of contact during examinations.● Ensure impacted business units are engaged and aware of examinations and information request.● Monitor exam and audit progress and escalate issues or areas of concern.● Ensuring documents provided for submission are complete, organized and timely.● Tracking findings and ensure responses are submitted on time.● File appropriate compliance reports with regulatory agencies.• Provide leadership and oversight for the Office of the Head of Compliance.• Prepare management reports regarding compliance operations and progress.• Manage system and data verifications and attestations.• Review department expenses and assist in budget forecasting.• Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.• Review and approve updates to policies and procedures.• Design or implement improvements in communication, monitoring, or enforcement of compliance standards.• Disseminate written policies and procedures related to compliance activities.• Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.• Advise internal management or business partners on the implementation or operation of compliance programs.• Discuss emerging compliance issues with management or employees.• Identify compliance issues that require follow-up or investigation.• Oversee internal reporting systems and inform employees about these systems.• Provide employee training on compliance related topics, policies, or procedures.• Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.

Toronto, Ontario, Ca

• Advise Firm staff members on licensing requirements and processes.• Design, plan, organize and direct orientation and training for employees or customers of industrial or commercial establishment.• Attend Regulatory and industry meetings to obtain information for use in training programs.• Assist in the development and maintenance of firm policies and procedures.• Process Form U4 and U5, Form BD and various state forms.• Advise staff on firm policies and procedures, industry rules and supervisory practices.• Manage logistics for mandatory compliance training.• Oversee U.S. Treasury Auction process.• Conduct periodic testing.• Assist with firm and employee account monitoring.

Toronto, Ontario, Ca

• Payable Through Account (PTA) management• Coordinate and maintain EDD forms and records• Review accounts for suitability• Maintain PTA Memorandum of Understanding for Compliance and Operations• Assist Global Compliance with the development of policies, procedures and testing programs • Liaise with internal and regulatory examiners• Review, analyze and present guidance and regulation from U.S. Government agencies • Respond to regulatory agency and legal inquires 314(a) notices OFAC inquires• Review SAS reports for suspicious activity• Review exception reports• Legal SAR issue coordinator• Conduct investigations on suspicious activity as needed• Draft and file SARs as needed

Toronto, Ontario, Ca

• Draft policies and procedures for BSA/AML compliance• Respond to regulatory agency and legal inquires314(a) noticesOFAC inquires• Respond to subpoena and levy notices• Liaise with internal and regulatory examiners• Review, analyze and present guidance and regulation from U.S. Government agencies• Organize and conduct BSA/AML training• Legal SAR issue coordinator• Conduct investigations on suspicious activity as needed• Draft and file SARs as needed• Assist with CRA process, including grant reviews and service opportunities• Manage annual FDICIA review• Compliance - Anti-Money Laundering

• Coordinate and maintain EDD forms and records• Review high risk and foreign accounts for suitability• Legal SAR issue coordinator• Conduct AML investigations• Draft and file SARs as needed• Review Mantas reports for suspicious activity• Review, analyze and present guidance and regulation from U.S. Government agencies

Bachelor Of Science, Business Management

Education record