Shannon Smith, Jd, Cams Email & Phone Number

San Francisco Bay Area

San Francisco Bay Area

-Oversees international AML program for Canadian wealth management clients, ensuring compliance with Canada KYC standards.-Drafts and implements policies and procedures aligned with industry best practice and jurisdictional requirements. -Conducts EDD and suspicious activity investigations for U.S. and Canadian clients, with deep expertise in a variety of client typologies and transactional patterns.-Partners with cross-functional teams, including sanctions, engineering and QA to create and maintain KYC requirements for international AML Program. -Prepares and presents monthly reporting for management, including escalations and improvements to customer risk rating model.-Researches, presents, and makes recommendations for client retention or exit to senior management.-Collaborates with line of business personnel to initiate client outreach regarding questionable customer activity.-Undertakes ad hoc projects as requested by management, including legal document review and research.

Austin, Texas; San Francisco, California

-Conducted suspicious activity investigations for a newly licensed money service business (MSB), ensuring compliance with AML regulations.-Drafted and implemented investigation desktop procedures, including KYC documentation requirements.-Assisted in developing a robust FIU while maintaining quality standards related to drafting and filing of SARs.-Led new investigator training on system access, investigations process, required research, and documentation

San Francisco, California; Austin, Texas

-Conducted 150+ EDD investigations yearly on a variety of high-risk clients, including MSBs, hard money lenders, Politically Exposed Persons (PEPs), cryptocurrency businesses, and investment advisors.-Surpassed Key Performance Indicators (KPIs) while maintaining a quality rating of 95% +, as determined by QA.-Trained new investigators in investigation process and acted as subject matter expert for alternative investments/legal documentation.-Promoted to Investigator II in less than 18 months.

San Francisco, California

-Prepared and submitted regulatory filings related to broker-dealer and investment advisor compliance. -Collaborated with in-house counsel to defend against highly confidential securities-related employment separations.-Responsible for FINRA, SEC and state insurance licensing for all First Republic Bank entities and employees.

San Francisco, California

San Francisco, California

San Francisco, California

San Francisco, California

-Researched and drafted briefs on union work lists, duty of fair representation, and discrimination.-Investigated unfair labor practices, drafted affidavits, made recommendations for adjudication.-Conducted a union election for a large hospitality chain.-Authored analysis of service based unions and appropriate bargaining units.

Spokane, Washington

-Represented clients in administrative hearings, including direct and cross-examination, evidence objections, and closing arguments.-Trained junior staff members on proper organizational procedure and hearing process.-Drafted and filed appeals of unfavorable decisions-Created case plans and managed case deadlines. -Managed client expectations.

Spokane, Washington

-Interviewed clients to evaluate program eligibility,-Drafted detailed case referrals for review by area attorneys.-Coordinated referrals to area attorneys based on client need.

Spokane, Washington

-Drafted wills, healthcare directives, and prenuptial agreements.-Negotiated overpayment settlements with the Social Security administration.-Investigated elder fraud and abuse.

Rohnert Park, California

-Assisted in managing three bachelor degree programs and a Masters in Public Administration program.-Implemented new office procedures for student waiting lists and office change procedures for faculty.-Directed new faculty hire logistics including IT setup, and scheduled appropriate training.-Established organizational tracking system for approximately 700 student files.

Rohnert Park, California

-Conducted legal research and managed the CLE credit program.-Assisted in planning for California Supreme Court Special Session.

Rohnert Park, California

-Served students, faculty and the public as first point of contact regarding extension courses.-Provided administrative support to University certificate programs.-Planned and managed work schedules for eight junior staff members.

Juris Doctorate, Pro Bono Distinction, Dean'S List

Recipient of the Foundation and Chastek Scholarships

Bachelor Of Arts (Ba), Criminology; Minor In Sociology

Research Assistant for Professor Diana Grant, PhD. investigating disparities in state police applicant drug guidelines.