Spencer Klein Email & Phone Number

New York, New York, United States

New York, New York, United States

-Lead AML Risk Metrics and Reporting process including daily / weekly / monthly production of Enhanced Due Diligence, Negative News Screening, Client Activity Review, and Periodic Review related data, supporting the US Banks and Wealth Management AML Risk Program -Identify, collect, and review AML Risk metrics and reporting information stored in various account opening systems and databases and consolidate information for consistent reporting processes across various business functions -Produce Metrics Reporting Dashboards for presentation purposes to internal stakeholders including Bank senior management, Global Financial Crimes, and Business Unit partners-Perform analysis of current state metrics and reporting processes in order to identify potential risks related to system limitations and user input and maintenance of metrics and reporting information-Partner with various Business and Oversight teams to determine root causes of exceptions and data gaps and work toward a resolution in the form of system fixes or data remediation-Review and analyze critical issues/errors, assessing the business risk and impact, and to facilitate proper recommendation & escalation to senior management-Create, maintain, and automate exceptions and control processes to help validate results and consistency

New York, United States

New York City Metropolitan Area

-Provided coordination for Morgan Stanley Bank, NA and Morgan Stanley Private Bank, National Association (US Banks) of its Affiliate Service Level Agreement (SLA) management program, including agreement drafting, periodic cost and service level reviews, meeting minute reviews, and Bank Committee presentations-Actively led and partnered across organizations in the development, implementation, training and sustainability of a new Affiliate Agreement Workflow tool to automate the current manual SLA processes-Assisted with day-to-day support for the Bank’s direct and indirect vendors, including the vendor lifecycle from on-boarding, contract reviews, periodic monitoring, risk assessments, expense management and termination-Ensured proper governance of policies and procedures, and the Bank’s adherence to Office of the Comptroller of the Currency (OCC) regulatory requirements, including Regulation W and Bulletin 2013-29 on Third-Party Relationships-Supported the Vendor Program Manager Officers in weekly, monthly, and quarterly Committees and Sub-Committees related to the Affiliate and Third Party Vendor Management Programs-Forged relationships across divisions, including Information Technology, Legal & Compliance, Operations, Finance, etc.-Interfaced with Bank regulators and participating in regulatory discussions

New York, New York

-Prepared and resolved cash and currency reconciliations items to all counterparty accounts for each assigned fund on a daily basis through problem solving and teamwork-Communicated and collaborated regularly with my team and client fund controllers both written and oral to efficiently and timely handle client requests-Processed funds’ trade activity and communicate with the funds’ investment manager on a daily basis-Prepared position reconciliations through data to all counterparty accounts for each assigned fund-Maintained daily accounting records and completed daily roll forwards to prepare for client deliverable deadlines-Processed monthly shareholder activity and reconcile back to transfer agent/register through attention to detail-Calculated net assets and month end close processes and valuations on a class and series basis as appropriate-Strictly adhered to established departmental fund accounting procedures and controls to help manage client risk

-Analyzed and evaluated local and regional professional sports teams-Wrote and edited feature content, social media posts and short form stories-Communicated directly with The Sports Journal reporters, magazine editors and sports analysts-Produced featured posts on Fox Sports Network’s Team Headlines and Yardbarker for professional teams in the NFL, MLB and NBA such as the New York Jets, the New York Yankees and the Los Angeles Lakers

Greater New York City Area

-Facilitated sales and execution of media plans for the NBA, WNBA, G-League and USA Basketball Marketing Partners across television, digital and social media. -Contributed to managing the relationships with media agencies, clients and other media business partners-Examined NBA social media strategies in comparison to the NFL, MLB, NHL, MLS, NCAA and March Madness-Reviewed NBA social media posts my managers were responsible for and provided feedback on how posts performed-Worked alongside 8 interns to compile research and pitch a 45-minute proposal to NBA executives for an international technology exposition to engage and grow the global NBA fan base

Bachelor’S Degree, Economics Major, General Business Minor

Activities and Societies: Zeta Beta Tau Fraternity (ZBT), Challah for Hunger (CFH), Letters and Sciences (LTSC) Student Ambassador.

Master Of Business Administration - Mba, Business Administration