Theon Alleyne, Crcp, Ccep Email & Phone Number

Georgetown, GY

La Grange, Essequibo Islands - West Demerara, Guyana

As a Partner at Equanize, I am passionate about facilitating connections and promoting transformative business opportunities in Guyana, Suriname, and the broader English-speaking Caribbean region. With a proven track record in commercial representation, international trade facilitation, and strategic market entry, my team and I deliver tailored solutions.

Leonora, West Coast Demerara

- Act in the absence of the Secretary or Treasurer;- Serve as the Executive Management Committee support for the General Secretary and Treasurer.- Maintains all corporate records and ensures compliance with bylaws.- Communicates directly with Executive Management Committee, donors, and other external stakeholders on behalf of the President- Oversees.

Leonora, West Coast Demerara, Guyana

Support R3CCI's communication, public relations, and public affairs efforts. Drive the development and implementation of strategies to enhance awareness of R3CCI and its programs, both within its membership base and among external stakeholders.Key responsibilities include:- Developing and executing comprehensive communication and PR strategies.- Consulting.

Greater New York City Area

• I partner with diverse organizations, from financial institutions to healthcare companies and nonprofits, focusing on the intricacies of corporate compliance. This includes refining policies, addressing privacy.
• Drive strategy and recommend enhancement to business processes, definitions… Show more
• Drive strategy and recommend enhancement to business processes, definitions, practices, and tools to ensure consistency and compliance with donor contracts, regulations, and laws.
• Research and interpret regulations and laws to establish compliance standards, and deliver training and communications/change management on the new standards.
• Develop and implement comprehensive risk-based supply chain compliance program
• Strategically amplify brand visibility, positioning professionals and businesses for omnipresence in their respective marketplaces.

Greater New York City Area

• Executive Level Financial Services Regulatory SME advising Governance, Risk, and Compliance (GRC) functions on building enterprise-wide framework, processes, practices, and toolkits, leveraging cognitive technology for.
• Apply senior-level knowledge and expertise, leading the project team to design and implement the cognitive Governance, Risk, and Compliance solution.
• Develop deep professional relationships with clients and act as… Show more
• Develop deep professional relationships with clients and act as their advocate, and trusted adviser.
• Act as the GRC cognitive and technology evangelist, visioning, and inspiring clients throughout their cognitive journey.
• Perform executive project management, risk management, and direct project delivery to ensure client satisfaction with deliverables.

Information Security, Financial Crimes Compliance (KYC, Transaction Monitoring, Sanctions Screening), Payment Fraud Prevention Transformation, and Supply Chain Compliance Management and Advisory.

Greater New York City Area

• Managed a global team of audit professionals with diverse expertise, focused on ensuring that the compliance operations of the Institution comply with relevant regulatory requirements.
• The primary mission of the team was to assess the effectiveness of regulatory mandated improvements through continuous inspections.
• Provided a credible and reliable challenge to processes and documentation.
• Managed a team through Altruistic Emotionally Intelligent Leadership.… Show more
• Managed a team through Altruistic Emotionally Intelligent Leadership. Functional coverage: Data Analytics, Project Management, Risk Management, Risk Control, Compliance, Market Conduct Risk, Operational Risk.

Greater New York City Area

• Oversee the examinations of pending and registered broker-dealers.
• Provided training on surveillance and examination policies and program.
• Managed investigations of broker-dealers' financial/operational areas to ensure compliance with NYSE, NYSE MKT, NYSE ARCA, NASDAQ, ISE, FINRA and SEC Rules.
• Evaluated Anti-Money Laundering compliance programs for compliance with the BSA, the USA PATRIOT ACT and OFAC.
• Reviewed and approved the implementation of common fraud and… Show more
• Reviewed and approved the implementation of common fraud and trade vendor solutions such as Actimize, SMARTS, SAS, Oracle,Palantir, and HP Supervisor.

Greater New York City Area

• Planned and conducted investigations through gathering information and documents from broker-dealers, clearing firms, investors and other sources.
• Independently drafted investigative memoranda, requests for information, and correspondence.
• Collected, reconciled, and analyzed large volumes of information including trading and financial data.
• Developed and consolidated various factual details of an investigation into a final investigative report in support of enforcement… Show more
• Developed and consolidated various factual details of an investigation into a final investigative report in support of enforcement actions.
• Conducted or participated in interviews of investors, member firm personnel and others in development of potential enforcement actions.

Greater New York City Area

• Coordinated supervised and monitored investigations of public companies.
• Led the investigation of questionable claims by listed companies such as falsified or inflated assets, revenue, and business activities.
• Investigated conduct that raises public interest concerns. In 25% of cases, presented findings and recommendations which resulted in the removal of the company listing from the NYSE American.
• Managed relationships with various governmental agencies on investigations of… Show more
• Managed relationships with various governmental agencies on investigations of mutual interest, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), US Department of.

Greater New York City Area

• Provided Advisory Services to NYSE Corporate Compliance Rules and SEC Regulations, including matters related to Sarbanes-Oxley (SOX).
• Reviewed registration statement, prospectuses, and supplements, proxy statements, annual and semi-annual shareholder reports and other regulatory documents of publicly listed entities to determine compliance with rules.
• Provided thought leadership on corporate governance related matters.
• Monitored and provided guidance on… Show more
• Monitored and provided guidance on developing corporate governance related rules.
• Managed regulatory relations with publicly listed entities in the assigned region.

Greater New York City Area

• Supervised a team of analyst conducting regulatory reviews of current and potential Amex listed companies.
• Co-Lead the development of public company surveillance tool.
• Co-created the Business Requirement Document (BRD), and Functional Requirement Document (FRD).
• Lead UAT testing, and define and implemented related processes and procedures.

Greater New York City Area

• Responded to general queries concerning Exchange Listing
• Assisted in the background investigation of the officers of listed companies
• Conducted assessment of the suitability of Issuers for listing.
• Liaised and communicated with Issuers and their representatives.
• Reviewed Forms 10-K, 10-Q, 20-F, 8-K, 6-K and proxy statement, among other filings, to assure compliance with the applicable listing standards.

Washington D.C. Metro Area

• Responded to general queries concerning Listing
• Assisted in the background investigation of the officers of listed companies
• Conducted an assessment of the suitability of Issuers for listing.
• Liaised and communicated with Issuers and their representatives.
• Reviewed documentation for compliance with Listing Rules.

Greater New York City Area

• Conducted market surveillance of trading activity by market participants at the Amex. Produced Market Quality studies evaluating Specialist (Market Maker) performance.
• Monitored assigned products and units in order to detect market conditions, positions or activity that are outside of expected trading patterns.
• Communicated surveillance analyses and findings to department management and to other members of the department as necessary.
• Monitored market participation and… Show more
• Monitored market participation and demonstrated a solid understanding of surveillance and the fundamental factors that influence the movement of products.
• Prepared written reports that are reviewed by management staff and, in situations involving material rule violations, presented to Exchange disciplinary committees.Trade Analysis, Stock Manipulation Detection, Routine.

New York City Metropolitan Area

• Examined Financial Advisors activities to identify sales practice violations. Performed AML & KYC reviews. Responded to SRO inquiries on behalf of the firm.
• Reviewed and analyzed employee trade confirmations and account statements in accordance with personal trading compliance policies and procedures.
• Conducted review of Proprietary, Customer and Employee trading activities to ensure compliance with the Firm’s Watch & Restricted Lists, and Insider Trading policies.
• Conducted… Show more
• Conducted a thorough review of a client’s profile to include their risk tolerance, investment objectives, tax status and other facts and circumstances to determine suitability of a financial plan that could include.

New York City Metropolitan Area

• Provided administrative and technical support to the claims department.
• Processed No Loss Time Workers’ Compensation claim forms and Temporary Continuance of Coverage requests.
• Requested necessary documents from the insured, providers, and vendors with written and verbal correspondence.
• Maintained records management for the claims department.

Master Of Public Administration - Inspector General Program (Inspection And Oversight)

Activities and Societies: Association of Certified Fraud Examiners (AFCE) - John Jay Chapter

Bsc, Criminal Justice

Activities and Societies: Honors College, Dean's List, Alpha Phi Sigma, Alpha Sigma Lambda,

Certified Regulatory & Compliance Professional (Finra Institute At Wharton), Securities Law And Securities Regulation

Activities and Societies: Securities Law and Securities Regulation, CRCP Certificate • Supervisory Practices and Internal Controls •.