Theon Alleyne, Crcp, Ccep Email & Phone Number

Georgetown, Gy

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 to help clients achieve their project objectives. Our specialized expertise spans:- Trade Mission Coordination:… Show more 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 to help clients achieve their project objectives. Our specialized expertise spans:- Trade Mission Coordination: Organizing and executing impactful trade missions that connect global businesses with regional decision-makers, distribution partners, and investment prospects.- Cross-Border Advisory: Providing comprehensive international business advisory services, including export/import consulting, localization strategy, and regulatory compliance support.- Investment Attraction: Promoting trade and investment opportunities to drive economic growth, working in close collaboration with business and industry associations.- Market Intelligence: Leveraging advanced research and data analytics to uncover emerging market insights, assess regulatory environments, and identify high-potential opportunities.Whether you're seeking to expand your operations, identify distribution channels, or navigate complex regional markets, Equanize is your trusted partner for unlocking sustainable growth across South America & the Caribbean. Let's connect to discuss how we can collaborate to achieve your global business ambitions.Commercial Representation | International Trade Facilitation | Market Entry Strategy | Market Research and Analysis | Business Intelligence | Trade Mission Coordination | Export/Import Consulting | Cross-Border Business Development | Global Market Expansion | International Business Advisory Services | Trade Promotion and Investment Attraction | Emerging Market Insights | Localization and Adaptation | Distributor/Partner Identification | Regulatory Compliance and Risk Mitigation Show less

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 special projects and supports the Chambers’ outreach activities- Provides administrative support for the overall operations of… Show more - 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 special projects and supports the Chambers’ outreach activities- Provides administrative support for the overall operations of the chamber- Assists with event planning, website/social media updates, and media liaison. Show less

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 with leadership to provide guidance on communication practices.- Crafting written content and presentations tailored to… Show more 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 with leadership to provide guidance on communication practices.- Crafting written content and presentations tailored to diverse audiences.- Bridging the communication gap between R3CCI and its community, ensuring clear and impactful messaging.- Foster strong, sustainable relationships between R3CCI and all its stakeholders, making the Chamber a vibrant hub of opportunity and growth. Show less

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 matters, and conducting ethics reviews. My ultimate aim is to convert regulatory challenges into opportunities for growth, enhancing personal brand visibility and fostering corporate success.• Drive strategy and recommend enhancement to business processes, definitions… Show more • 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 matters, and conducting ethics reviews. My ultimate aim is to convert regulatory challenges into opportunities for growth, enhancing personal brand visibility and fostering corporate success.• 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.• Lead Management Consultancy Support (business development, writing proposals, leading client meetings, solution resolution, and delivering sales pitches).• Responsible for executing go-to-market strategy. Subject Matter Expertise_______________Coaching, Banking Regulation & Compliance, Securities Regulation & Compliance, Stock Exchange Listing, Market Regulation, Trade Surveillance, Anti, Money Laundering and Sanctions, Ethics & Compliance Investigations, Policies, Procedures, and Infrastructure, Financial Crimes Compliance, Anti, Bribery and Corruption, Blockchain, Trade Finance, Procurement, Supply Chain Compliance Management and Advisory, Cryptocurrencies, e-Discovery, Corporate Governance, Privacy, HIPAA Privacy and Security, Routine Auditing and Monitoring, Crowd Funding Compliance – Conflicts, Discipline & Incentives, Compliance Strategies and Solutions, Brand Marketing, Content Marketing, Content Strategy, Business Consulting, Communications & Branding Consultant, Grants and Contracts Management Show less

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 continuous improvement and values-driven decisions. • 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 • 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 continuous improvement and values-driven decisions. • 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 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. • Develop, manage, and oversee a team of professionals. • Designed and implemented client RFP and vendor compliance processes to align with global supply chain best practices• Provide SME experience with industry analysts and participate in industry events. Regulatory & Operations Risk, Banking and Capital Markets, BSA/AML Compliance, OFAC & Sanctions Risk Assessment, Transaction Monitoring, MSB Transaction Monitoring, Crypto and FIAT Transaction Monitoring, Digital Currency, Blockchain Analytics, KYC/EDD, Trade Finance, Financial Crimes Compliance Quality Assurance, Bank Holding Company's (BHC's) Governance Framework, Data Privacy, Cybersecurity, Supply Chain Compliance Management and Advisory, Trade Surveillance, Payment Fraud, Global Surveillance, Internal Audit, Risk Analytics, Risk Operations, Risk Analysis, Customer Experience, Process Improvement Show less

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 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. Functional coverage: Data Analytics, Project Management, Risk Management, Risk Control, Compliance, Market Conduct Risk, Operational Risk, Compliance Monitoring and Testing, Knowledge of the Global Regulatory Environment, Equities, Asset Management, Hedge Funds, Fixed Income,Coverage included: FINRA Sales Practice, Trade Surveillance, E-communication Surveillance (Voice / Email / Text), Control Room, Employee Trading, License and Registration, Branch Examination, Conflicts of Interest, Cross Border, FINRA Rules 3110, 3120, 3150 and 3170 BSA, AML, OFAC, FCA COBS, BCOBS, CASS, and MAR, Deposit Compliance (Reg. CC, D, E, DD), Lending Compliance (Reg. B, Reg.C, Reg O, Reg. Z/TILA, Reg. X/RESPA,) ECOA, Privacy, Dodd-Frank, Antitrust, Anti-Corruption ,. Show less

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 • 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 trade vendor solutions such as Actimize, SMARTS, SAS, Oracle,Palantir, and HP Supervisor. • Reviewed current and emerging risks at broker-dealers. Supervised the process of collecting and analyzing compliance information, operational and financial data of broker-dealers.Subject Matter Expertise_______________Firm Culture, Supervision Risk Management and Controls, Product and Service Offerings, Conflicts of Interest, E-Communication Surveillance, Trade Surveillance, Policies & Procedures Review, Sales and Distribution Practices, Complex Products, Crowdfunding, Market Risk, Credit Risk, Liquidity Risk, Operational Risk, Due Diligence, Suitability, Disclosure, Supervision and Training, Interest rate-sensitive Fixed Income Securities, Long-duration Fixed Income Securities, High Yield Bonds, Mortgage-Backed Securities, Variable Annuities, Alternative Mutual Funds, Non-Traded Real Estate Investment Trusts (REITs), Unit Investment Trusts, Exchange-Traded Products (ETPs), Structured Retail Products (SRPs), Floating-Rate Bank Loan Funds, Securities-Backed Lines of Credit (SBLOCs), Excessive Trading, Concentration Controls, Sales Charge Discounts and Waivers, Municipal Advisors and Securities, Cross-Market and Cross-Border, Funding Portals, Crowdfunding, Best Execution and Disclosure, Audit Trail Integrity, Microcap Securities, Outside Business Activities (OBA), Regulation SHO, Supervisory Controls Testing, Segregation of Client Assets, USA JOBS Act Show less

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 • 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 actions. • Conducted or participated in interviews of investors, member firm personnel and others in development of potential enforcement actions. • Prepared for and conducted on-the-record testimony of potential respondents and other witnesses.• Provided support in disciplinary proceedings, including the preparation of summary exhibits, reviewing and analyzing respondent hearing exhibits; and sometimes provide testimony at hearings.• Demonstrated experience with technologies for Anti-Money Laundering, Fraud Prevention, Trade and Regulatory Reporting, Trade Surveillance, Enterprise Compliance Governance or Electronic Communication Surveillance. Show less

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 • 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 mutual interest, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), US Department of the Treasury, Office of Thrift Supervision (OTS), the Federal Deposit Insurance Corporation (FDIC) and the New York Department of Financial Services (NYDFS)Subject Matter Expertise_______________Fraud Risk Assessments, Stock Fraud Investigation, Regulatory Relations, Corporate Governance, Fraud Mitigation, Forensic Investigation, Legal Research, Fraud Prevention, Fraud Detection, Mergers and Acquisitions, Accounting Fraud Investigation, Pump and Dump, Death Spirals, Corporate Financing, Investigative Techniques and Procedures, White Collar Crime, Financial Statement Misstatements, GAAP Compliance, Audit Committee Investigations, Reverse Merger, Shell Company Solutions, Private Securities Offering, SPAC, PIPES, Cross-Border Listings, Dual Listings, NOMAD, Due Diligence, Listing Guidance, and Advisory, OTC Markets DAD/PAL,Knowledge of Foreign Corruption Practices Act (FCPA), UK Bribery Act, Sarbanes Oxley Act, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Exchange Commission (SEC) Regulations, NYSE Rules, NASDAQ Rules, Show less

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 and regulations. • Provided thought leadership on corporate governance related matters. • Monitored and provided guidance on… Show more • 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 and regulations. • Provided thought leadership on corporate governance related matters. • Monitored and provided guidance on developing corporate governance related rules.• Managed regulatory relations with publicly listed entities in the assigned region.• Independently researched and analyzed corporate governance issues, identified viable alternatives, communicating rationale and solutions to senior management.• Communicated regulatory analysis to Corporate Secretary, Executive Management, and Board of Directors• Participated in Corporate Governance Conferences.Proxy Solicitation, Proxy Voting Policies, Broker No Vote, NYSE Corporate Governance Rules, Corporate Governance Best Practices, Listing Additional Shares, Shelf Registration, Section 16 Filings, Stock Exchange Filings, Corporate Governance Processes, Opinion Letters, Corporate Governance Opinion Show less

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 • 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 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 Surveillance, Investigations, Equity, Options, Fixed Income, Equity Linked Notes, Mutual Funds, Equity Traded Funds Show less

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 • 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 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 insurance, annuities, managed products, mutual funds, fixed income, and other various securities products. Show less

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 •.