Jeffrey Redding Email & Phone Number

Boston, Massachusetts, United States

Boston, Ma

Developed, implemented and provided ongoing management of the regulatory and internal policy compliance plans for multiple business units covering both U.S. and non-U.S. locations, including oversight of the related monitoring and testing process. Facilitated development and drove implementation of an overarching KYC/AML/BSA program covering North America, Europe, and Asia/Pac.Reengineered client on-boarding processes for multiple divisions and guided development and implementation of related business procedures in compliance with applicable regulations including ERISA.Managed multiple comprehensive internal control reviews in front of and in response to major market events. Developed and implemented resultant corrective action plans, enhanced controls, and process improvements. Co-managed development and build-out of the corporation’s first Financial Intelligence Unit (FIU). Served as Global Markets’ senior AML Officer and held memberships on multiple cross-corporate compliance and risk working groups and committees.Managed the expansion of business area Information Security and Business Continuity initiatives; established global awareness programs, strengthened and formalized the network of non-U.S. support resources, and oversaw upgrading of the domestic remote recovery environment and associated business continuity plan.Served as key facilitator and liaison for internal audits, outside accounting firm reviews and consultancies and regulator examinations. Managed due diligence and integration of compliance programs for several major acquisitions. Co-managed the Y2K business area compliance initiative and the 2012/13 Dodd-Frank Swap Dealer application process.

Boston, Ma

Developed, scheduled and managed comprehensive risk-based audit programs covering a broad scope of domestic and overseas holding company and subsidiary reviews in global markets, mutual fund services, institutional investor services, commercial lending, leasing, and personal/corporate trust. Successfully built lasting client partnerships while managing a 14,000 hour audit program with a staff of 10 to 15 examiners, consistently delivering results on time and within budget.Provided clear and concise communication of identified risks and core audit issues both verbally and in written reports to senior management and the Audit Committee.Effectively managed extensive interactions with regulators and independent accountants.Selected by corporate audit senior management to manage various division initiatives and special/sensitive reviews and projects.