 Improved and standardized the periodic review risk methodology used by analysts in the unit by process mapping and streamlining reporting capabilities while leveraging advanced excel features such as macros, VBA and dashboards Managed risk by performing an in-depth analysis of the client’s risk frameworks with respect to enhanced due diligence, KYC/AML guidelines, Senior Public Figures/Politically Exposed Persons and anticipated activity monitoring to ensure operational risks are within acceptable levels Performed manager’s control assessment testing (MCA) of procedures and adherence to company policies within established risk statistical parameters Successfully managed and improved private banker periodic review workflow by collaborating with quality control, managing directors, AML, legal, compliance, associate bankers and sales officers in order to drive superior results and mitigate operational risks

 Data mining and analysis as part of AML/KYC/OFAC and enhanced due diligence resulting in suspicious activity reports (SARs) and currency transaction reports (CTRs) Responded to IRS audits regarding Bank Secrecy Act and anti-money laundering practices Developed analytical models in excel to improve reporting insights for directors and CCO

 Managed six employees in addition to being responsible for all aspects of starting and growing the business

 Supervised and collaborated in the development and maintenance of cross-strategy marketing collateral and reporting materials (e.g., client portfolio reviews, marketing brochures, factsheets) and the execution of company webcasts pertaining to investment performance Worked with Portfolio Managers, Performance Analysts, Compliance and Legal to complete reporting deliverables under strict deadlines

 Developed and maintained system control mechanisms for vendor bidding process Managed and executed multiple projects for the Southern California region covering scope of construction project,work breakdown structures, KPIs, payment schedules, quality assurance and completing client deliverables on time

 Successful completion of audits and validation of compliance procedures Performed market surveillance on trade execution and reporting for equity, municipal and corporate bonds for both firm and client transactions Analyzed, escalated and resolved complex and sensitive issues pertaining to trading restrictions for clients who were directors and/or executive officers of publicly traded companies Provided brokers with clarification regarding IPO allocations and employee trading practices and guidelines