Stephen Herbert Email & Phone Number

Florida, United States

Kendall, Florida, US

Engaged initially as a board member providing governance and guidance in the shaping of management policies and the strategic development of the firm. Our focus is targeted towards assisting our clients in addressing risk management issues emanating typically from passive oversight, insufficient policies, procedures and expertise, deficient risk monitoring.

Coral Gables, Florida, US

Key member of BSA Department - Governance, Risk and Compliance Unit, responsible for the execution of centralized anti-money laundering and OFAC testing. Provided subject matter expertise and oversight for BSA and OFAC reviews. Completed special projects as required.✓ Performed AML/BSA/OFAC compliance testing to mitigate exposure to regulatory sanctions.

Coral Gables, Florida, US

Conducted reviews of accounts escalated as referrals either from system generated alerts or manual tips.✓ Reviewed and investigated alerts, performed investigations and EDD reviews for potential suspicious activity. ✓ Made risk-based SAR recommendations and prepared SARs. Prepared 314B requests.✓ Maintained strong working knowledge of compliance.

Leader of the consultancy practice engaged in the marketing and deployment of anti-money laundering and counter-terrorism financing compliance software-as-a-service (SaaS) solutions for clients within the U.S. and internationally. Implemented AML/CTF compliance services such as customer due diligence, documentation management, watch-list screening and.

Miami, Florida, US

As an independent adviser, conducted reviews, quality control and remediation projects within the bank’s Compliance Department. ✓ Oversaw client onboarding, including list verification and transaction monitoring.✓ Reconciled the General Ledger Suspense Account where pre-account-opening deposits were held and resolved the respective regulatory compliance.

Oversaw all operations for trading company that imported and exported building materials. Managed distribution centers in Miami, Dallas, Los Angeles and Savannah. Led diversification in geographic markets and new product offerings.✓ Spearheaded growth initiatives, including the acquisition of leased lumber mill operations based in San Pedro Zula.

Appointed to the Board of Directors of the bank holding company as well as the The Bank of Miami, N.A. Emphasis on leading key organizational initiatives as an integral member of the senior management team with broad organizational interaction and influence on future company and business direction.Key Compliance Initiatives▬▬▬▬▬▬▬▬▬▬▬▬✓ Participated as.

* continued from above *Audits and Investigations▬▬▬▬▬▬▬▬▬▬▬▬✓ Key member to provide oversight regarding the OCC’s regulatory compliance at The Bank of Miami, N.A. which successfully exited an October 2004 Consent Order relating in large measure to BSA/AML issues.✓ Conducted annual operational assessments to proactively manage the bank’s risk.✓ Evaluated.

Oversaw all financial, operational and administrative functions for flooring products import and distribution company. Arranged for a $25MM asset-based credit line with General Electric Capital to achieve prescribed goals.✓ Increased market share and brand equity by creating new value proposition and marketing plan. ✓ Formulated company strategies to.

Determined decision-making processes regarding key commercial and financial activities in the U.S. and Canada. ✓ Conceived and implemented resourceful business plans for an international conglomerate. ✓ Led resourceful business decision-making regarding key commercial and financial activities in the U.S. and Canada for an international division of an.

Led targeted consultations focused on mergers, acquisitions, financing and corporate planning. Developed and delivered finance, accounting and management lectures at Concordia University, John Abbot College and Vanier College.

Directed international division of a multi-faceted public company overseeing all financial and accounting functions of international subsidiaries, consolidation and project planning. Evaluated capital expenditures and generated monthly financial performance analyses and evaluations. Directed long-range planning process while facilitating M&As, capital.

🎓 Mba, Master Of Business Administration Degree In Finance, Honors., Finance

🎓 B.Comm, Bachelor Of Commerce Degree In Business Finance