Robert Kaehler, Mba Email & Phone Number

Baltimore, Md, Us

Newark, De, Us

Attended academic studies on a full-time basis; awarded MBA with a major in Strategic Leadership. Completed courses covering Negotiation & Conflict Resolution, Positive Leadership, Advanced Topics in Leadership & Teams, Leadership in International Business Culture, Globalization & Business as well as the core courses required in the MBA program.

Dallas, Texas, Us

Conducted pre-exam research of examinees’ past business activities. Coordinated exam date and time with examinee and issued pre-exam document request. Identified and selected transactions for review to determine compliance with firm policies and procedures and adherence with industry regulatory rules and laws. Documented exam findings and issued exam report to examinee’s supervisor, examinee, and compliance leadership. Followed up with examinee on corrective action to exam findings. Conducted special investigation into suspicious transactions to determine violations of money laundering laws and firm policies on prohibited transactions with clients/customers. Scheduled and completed over 40 exams in 3 months.

Robins Afb, Ga, Us

Developed, mentored, and led 30+ Airman assigned as Loadmasters to 326 Airlift Squadron on real-world and training missions moving equipment and personnel. Provided Enlisted Performance Reports (EPRs) for 4 Senior Noncommissioned Officers (NCOs) and was the supervisory reviewer and approval on twelve additional NCO EPRs.

Horsham, Pennsylvania, Us

Led the compliance department for Hornor, Townsend & Kent (HTK), LLC, an insurance affiliated Broker-Dealer and Registered Investment Advisors with over 850 financial advisors/registered representatives, 130k clients, $19+ billion in assets and $125 million in annual revenues. Presented quarterly and annual compliance reports to the firm’s board of managers and senior leadership. Provided the CEO with one-on-one briefings regarding the firm’s supervisory and compliance programs and strategies on program objectives. Oversaw the maintenance, modification, and enhancements of the firm’s written supervisory procedures and compliance policies and procedures. Supervised and completed annual performance management reviews on 3 senior compliance managers and was the supervisory reviewer on the annual performance management reviews of ten compliance personnel. Served as the AML compliance officer for HTK and The Penn Mutual Life Insurance Co. Maintained, modified, and enhanced enterprise-wide AML and Office of Foreign Assets Control (OFAC) policies, procedures, and guidelines used by front line associates and sales representatives. Drafted and filed Suspicious Activity Reports (SAR) with FinCEN and oversaw pre-SAR investigations. Briefed enterprise leadership on the effectiveness of the AML/OFAC program. Conducted annual AML/OFAC risk assessment and developed sanctioned/negative media screening parameters. Designed and delivered reoccurring training content.

New York, Ny, Us

Manage the On-Boarding process of large Corporate, Hedge Fund and Offshore liquidity Accounts. - Develop, modify and maintain operational procedures - Manage internal controls covering on-boarding, AML, KYC, CIP and Sanction/Negative Media - Analyze complex documents - Manage a team of direct reports at the Associate and Vice President level - Manage special assigned processes - Principal review of new business - On-boarding escalation point

As VP of Operations, I oversaw the commissions team and was responsible for established/implemented recovery procedures, ensured business operations were restored as mandated and the development of written operational procedures for municipal securities correspondence review and approval.

Us

Office of Compliance Strategy• Project Management - scope, prioritize, and lead the successful implementation of Compliance Units assigned projects • Developed AML exception and operational reports utilizing Crystal ReportsCorporate ComplianceDirected the Advertising Review, Communications/Written Supervisory Procedures and Compliance Field Supervisory Principal Training teams• Lead revision of Firm Written Supervisory Procedures to support a 1017 filing to merge two retail Broker-Dealers• Authored suitability training and guidelines to be used with over 2000 registered representatives• Oversaw the maintenance of the Firm’s Advertising Review guidelines and Field Supervisory training program Managed and supervised the Anti-Money Laundering and Surveillance teams• Completed Annual Risk Assessment of Firm’s AML Compliance Program• Created and administered regulatory required Anti-Money Laundering continual education training for two Broker-Dealers and a Registered Investment Advisor• Led and conducted pre-SAR investigations and reviewed and wrote summary of findings reports• Authored/designed multiple surveillance and AML exception reports Anti-Money Laundering Compliance Lead• Revised and authored Firm’s written Anti-Money Laundering Compliance Manual• Developed Anti-Money Laundering exception reports• Responded to 314(a) requests• Reviewed and cleared potential OFAC matches• Conducted pre-SAR investigations and wrote summary of findings reports• Provided initial and ongoing AML trainingSuitability lead review of variable life and variable annuity products• Authored/designed suitability rules engine employed• Conducted Office of Supervisory Jurisdiction and Registered Branch audits/inspections• Organized and hosted web based training on operational topics for registered representatives and supervisory principals

Master Of Business Administration - Mba, Strategic Leadership

Bachelor Of Business Administration - Bba, Business Administration