Work alongside deal teams and legal and regulatory compliance colleagues to assess operational suitability of private equity portfolio investments. Oversee investment background check process and the Know Your Investment (KYI) due diligence process to identify and address potential adverse news and financial crimes risks. Collaborate with senior business leaders to implement new business processes, technology, and growth initiatives.

Oversee the branch-wide delivery of business services to advisory teams and high net-worth clients. Partner with Internal team members to provide operational support and service delivery to a client set with $2.3 billion in AUM across 900+ households. Maintain ongoing communications with external clients, financial advisors, operations teams, technology, marketing, and wholesalers.

Sales assistant to the president of top producing detached agency of New York Life Insurance and Annuity Corporation (NYLIAC). Service a portfolio of $800 million of brokerage an annuity assets, perform client onboarding and client support processes. Implemented protocols for virtual client review process during the height of the Covid-19 pandemic.

Spearheaded the review and redesign of the KYC/AML periodic review process across all customer risk levels and business lines in the United States. Key project objectives were to deliver enhanced management reporting, process transparency, and KYC analyst productivity. Implemented protocols to deliver a risk-based process approach, improve analyst productivity, file quality, and limit front office personnel impact. Managed communications, escalations, and dependencies across front office stakeholders, senior managers, compliance, and operational units onshore and offshore.

Led the client facilitation onboarding unit and KYC operations function at Natixis Corporate and Investment Bank. Designed, implemented, and staffed the KYC refresh, KYC quality control, and client offboarding functions for the firm in the Americas. Engaged actively with senior stakeholders across compliance, risk, and heads of business to improve workflows and increase transparency across the client onboarding process. Business and operational lead in the assessment of new KYC policies and procedures impacting client onboarding processes. Functional SME providing business implementation expertize for enterprise level technology projects. Principal liasion to vendor project management and internal continous improvement teams in the design of software solutions aimed at delivering improved client lifecycle management.

Head of the client onboarding and KYC functions in the Americas and key exporter of best practices for client onboarding across the global function. Manage end-to-end KYC/CDD process for the New York branch of Australia and New Zealand Banking Group Limited. Lead a team of client onboarding and KYC analysts supporting markets (FICC), loans, trade finance, and cash management products. Senior middle office member coordinating communications across sales, relationship management, legal, credit, compliance, and operations groups. Worked closely with chief operating officer (COO), head of sales, head of compliance and operations to minimize operational risk and resolve internal and external audit points.

Implemented Australia and New Zealand Banking Group's global client onboarding infrastructure in the United States. Responsible for managing all onboarding and middle office resources in the US. Maintained active communications across our global hubs in New York, London, Singapore, Melbourne and Sydney and support groups in Bangalore & Manila. Coordinated joint initiatives across operations, legal, credit, risk and compliance groups to quicken client adds and enhance the client experience. Managed entire client onboarding life-cycle in the Americas and maintained a dynamic pipeline of investor and corporate clients transacting fixed income, short term investments, cash management products, currency and commodities.

Client onboarding lead for the investment bank's institutional corporate credit/leveraged finance clients comprised of hedge funds, asset managers and private equity. Develop relationships with clients and integrate them into Credit Suisse's credit platform consisting of cash and derivatives business. Coordinate efforts across internal legal and credit teams as well as client identification and anti-money laundering groups. Primary client services point of contact and manage onboarding communications with our clients and their respective team members including CFO's, COO's, head traders, operations managers and business analysts. Promote cross-selling of our business platforms, technology and products by assessing client needs and business opportunity.

Senior sales assistant responsible for day-to-day operations and servicing of large institutional clients including asset managers, banks, insurance companies and hedge funds. Covered most fixed income products including high grade corporate debt, high yield debt, emerging markets, money markets, U.S. agency/government debt and structured products including ABS, CMBS, agency mortgage backed securities as well as credit and structured derivatives. Assisted in day-to-day marketing of secondary and primary securities offerings in the fixed income space to institutional clients.

Responsible for seamless coverage of middle market institutional and high net worth individual clients in the equity space. Acted as primary operational liaison between clients, sales and trading, internal compliance groups and custodian banks.