Rodney E. Email & Phone Number

United States

United States

Major Accountabilities:• Champions a customer focused culture to deepen client relationships and leverage broader Bank relationships, systems, and knowledge.• Perform 1st Line Testing reviews across all critical components of the ML/TF and Sanctions program.• Produce trend reports supporting the identification of opportunities for improvement• Identify areas for process improvements within the Quality Assurance function, escalating any areas of concern and designing enhancements that can improve the quality and efficiency of risk management operations.• Understand how the Bank’s risk appetite and risk culture should be considered in day-to-day activities and decisions.• Actively pursues effective and efficient operations of his/her respective areas in accordance with Scotiabank’s Values, its Code of Conduct, and the Global Sales Principles, while ensuring the adequacy, adherence to and effectiveness of day-to-day business controls to meet obligations with respect operational, compliance, AML/ATF/Sanction and conduct risk.• Champions a high-performance environment and contributes to an inclusive work environment.• Responsible performing oversight and functional reporting, working with the business lines, stakeholders, and operational partners. Includes US KYC / AML, Dodd Frank, FATCA and other regulations impacting the US Business. Escalating business process and reporting related issues and concerns to appropriate teams. Calculate metrics on a daily/weekly/monthly basis. Executes testing scripts and processes related to First Line Testing function.•Perform monthly testing on areas outside of day-to-day function; including but not limited to Third Party Relationship Management, Customer offboarding, ad hoc testing, etc.

Greater New York City Area

• Acts as first point of contact for ACOs and KYC Officers for KYC & AFC related questions and engages with other stakeholders as required e.g. Cash Management, Trade Finance and Securities Services• Execute Regional Calls for their America's - KYC review case management: monitors status of all KYC reviews and ensures the process moves along by coordinating the effort of relevant stake holders• Coordinate group reviews and monitors timely completion of the Even Driven Reviews (EDR) for ICM/TFFI clients• Engage in the implementation of changes in KYC Policy and development of KYC Key Operating Procedures• Ongoing optimization of existing KYC processes based on specific requirements for correspondent banking, in close collaboration with relevant stakeholders (e.g. Control Units, AML / Compliance and Legal)• Develop and implements related business control procedures to impacted teams• Represent ICM and TFFI business in certain regulatory projects with correspondent banking

60 Wall Street New York, Ny

Conduct Quality Assurance on Event Driven Reviews (“EDRs”) for all GM client accounts that are referred to AML Compliance by the Client Onboarding functions.· Event Driven Reviews (EDRs)involve the review of the KYC files completed by the COB function to determine if updates are needed.· EDRs also involves the clearance, investigation and further escalation of various high-risk triggers such as PEPs, negative media hits, high-risk geography, and other factors based on research due diligence.· Conduct Enhanced Due Diligence (“EDD”) reviews for various products/business lines on all new high risk accounts including and not limited to PEPs, High Risk Industries; Correspondent Banking and International Cash Management products.· Undertake analysis, ensuring necessary steps are taken to investigate and escalate as they arise; · Perform QA testing of KYC files, documenting any deficiencies/findings, and discussing these deficiencies/findings with AML Compliance Management; identified during QA testing; · Provide guidance and responding to queries from various internal groups (including the Front Office, the Middle Office, Client Onboarding, Legal, Advisory Compliance, etc.) relating to complex AML issues; · Provide support in coordinating/responding for requests for information for Internal Audit, Regulators and Law Enforcement as part of audits, examinations and investigations· Stay abreast of new rules, regulations and reputational risks to develop implement and revise current policies and procedures; · Maintain thorough and current understanding of the regulatory environment and actively participating in processes both internally and externally to affect change beneficial to the firm

Greater New York City Area

• Review and approval of KYC documentation, information, research and Due Diligence for new and existing clients.• Perform Enhanced Due Diligence, Specialized Due Diligence and media searches on clients and related parties.• Liaise with internal teams to discuss AML/KYC requirements and covey KYC approval status• Maintain and development strong working relationships with CIB Global Team Members, AML Compliance and Quality Assurance. • Ensure proper escalation of vetting and approval of Negative Media and AML/Sanctions Alerts.• Assist with audits and AML/KYC related issues.• Create weekly Metrics Reporting on all KYC Remediation client records for Senior Management.• Strong working knowledge of performing due diligence and quality assurance functions; establish KYC and AML requirement are met for all clients.• Conduct ongoing monitoring of business line BSA/AML/OFAC compliance in areas that deal with foreign jurisdictions such as Pacific Rim Division, Trade Finance, foreign wire transactions, etc.• Conduct annual and ongoing enhanced due diligence and risk assessments of the Bank’s foreign correspondent bank relationships and other parties as may relate to foreign banking activities.• Collaborate with and assists BSA investigations team on investigations involving potential foreign banking violations / foreign correspondent banking issues• Investigate international high risk jurisdictional correspondent banking transaction alerts• Conducts research into foreign banking issues and prepares reports for BSA Officer and Senior Management• Continually monitors appropriate websites and other sources to keep abreast of changing rules and compliance obligations in foreign jurisdictions where the bank conducts business

• Assist in the review and negotiation of legal opinions for various DTCC subsidiary memberships; making securities pursuant to Rule 144A eligibility at DTCC.• Respond and/or object to Regulatory/Civil Subpoenas and other requests for records for information from participants and/or securitires.• Coordinate with OCRC and Chief Compliance Officer regarding Legal/Regulatory Compliance matters including, but not limited to, AML and OFAC.• Serve as a point of contact mediator focusing on Fraud, Anti-Money Laundering, and KYC by guiding clients through problem resolution on topics such as: vendor selection; business process assessment & optimization; and system definition and implementation. • Review monthly Compliance Employee Trade Monitoring Reports for accuracy.• Effectively communicate and relate well with regulators (SEC, FINRA, OCC, and FDIC), participants and various levels of management at DTCC. • Liaison for DTCC Markit Serv/DeriServ subsidiaries w/focus on Dodd Frank implementation.• Maintain and keep accurate records of all trademarks, trademark applications and regulatory notices.• Manager/Gate Keeper for SharePoint database updating all Compliance, Privacy and Regulatory Policies.• Facilitate and manage department libraries, document folders and documents for General Counsel Department.

Weehawken Nj

• Managed responses to third party subpoenas on behalf of the Firm by coordinating with the Firm's retail branch offices, affiliates and Regional Counsels.• Served as key contact and coordinator to the manager of the Subpoenas, Levies & Garnishment Group.• Corresponded with Assistant General Counsel on an as needed basis in order to ensure the efficiency and completeness of the Firm's response to the subpoenas issued in Civil, Criminal and Federal proceedings.

Greater New York City Area

• Prepared and executed 17F-5 form letters for Sub-custodian Clients - Asia, Middle Eastern, Latin America, European Union and United States Markets.• Communicated with Sub-custodian Counsel in regards to the preparation of legal opinions reflecting changes in their countries’ laws.• Assisted counsel with all regulatory agency complaints (Federal Reserve, State Banking Department, BBB and the OCC filed against the bank). • Researched and responded to regulatory complaints utilizing various departments and liaison within internal departments and counsel.• Prepared and facilitated various ADR (American Depositary Receipt) programs, Form F-6s, Certificates under Rule 466 for Edgar filings and SEC compliance.• Performed due diligence on CDA (Confidential Disclosure Agreements) and NDA (Non-Disclosure Agreements) and RFP Contracts.

Greater New York City Area

• Liaised with internal and external counsel to form and dissolve entities. • Maintained corporate information hCue database (CT Corporation) for over 200 subsidiaries.• Maintained minute books recordkeeping. • Prepared annual and special meeting director and shareholder resolutions, minutes, certifications, etc. • Assisted in preparation and documentation of board meetings.• Prepared stock certificates and maintained ledgers and SEC filings; prepared listing applications.• Prepared and filed annual reports for multiple entities in multiple jurisdictions.

Bachelor Of Applied Science (Basc), Information Management Systems

Completed 128 credits toward B.S., Information Management Systems

Associate Of Arts And Sciences (A.A.S.), Legal Studies, General

Activities and Societies: beta gamma phi