Vincent Baldi Email & Phone Number

Provide guidance and advisory support to Business Lines regarding Anti-Money Laundering (AML) and Sanctions programs.Communicate regulatory changes, new guidance and changing program standards.Perform annual and periodic AML and Sanctions risk assessments to assess and document associated risks.Participate in compliance related projects and initiatives required to mitigate applicable AML and Sanctions risks.Facilitate meetings with Business Lines as a forum to communicate AML and Sanctions related issues, initiatives, changes and risks.Partner with Training team to ensure appropriate Business Line content is provided through AML courses.Provide guidance related to on-boarding high risk customers while ensuring compliance with Know Your Customer (KYC) and Customer Identification Program (CIP) requirements.

Provided operational guidance to Investor Services from an AML compliance perspective by demonstrating in-depth knowledge of the laws and regulations applicable to money laundering. Researched regulatory issues that impacted business lines.Monitored the legal and regulatory environment through various methods and provided up to date knowledge and expertise relevant to Anti-Money Laundering (AML), Know Your Customer (KYC), Office of Foreign Asset Control (OFAC) and Bank Secrecy Act (BSA) compliance.Completed projects supporting the corporate AML compliance program.Implemented State Street’s AML training program for North America Business Lines.Conducted OFAC and 314(a) screening of client base using Bridger and PRIME to ensure State Street is in compliance with the USA PATRIOT Act.Organized document requests and compliance information for compliance examinations.

Managed all aspects of Investor Services compliance documentation group which performed essential centralized processing functions, including, signature authority, risk ratings, setting ACH risk exposures, and bank nominee name processing as well as monitoring and tracking legal documentation for over 5,000 clients. Led re-engineering of document management which streamlined processes and consolidated functions for Investor Services.Recognized for demonstrating knowledge of archival and records management practices in accordance with banking and Employee Retirement Income Security Act (ERISA) regulations.Provided advice and guidance to internal business lines concerning corporate policies, procedures, industry regulations and required documentation.Ensured completion of database enhancements and improvements are on schedule and within budget. Managed databases for accuracy of new funds and new documents received while preparing and analyzing Operational Key Risk Indicator Reports for senior management.Researched errors, inconsistencies and exceptions related to required legal fiduciary documentation.Prepared information for tax and regulatory filings with the IRS and DOL.Supported legal and business line management projects and initiatives in order to meet client expectations.Collaborated with internal/external auditors and management regarding SAS 70 preparation.

Enhanced risk management support by training, auditing and tracking all matters related to new business, ERISA and the Uniform Commercial Code Article 4A (UCC4A).Considered subject matter expert on wire transfers/UCC4A.Audited investment portfolios to ensure that State Street and its clients are in compliance with corporate policies and regulatory requirements such as the Employee Retirement Income Security Act and the Uniform Commercial Code Article 4A.Conducted training presentations on the Uniform Commercial Code Article 4A.Produced internal training presentations, manuals and documents.Created, maintained and provided reporting on bank nominee names.Recorded and approved new portfolio and legal entity set up.Wrote and maintained department policies and procedures.Served as Foreign Exchange coordinator for division.

Responsible for daily maintenance of defined benefit and defined contribution ERISA regulated investment portfolios.Authorized, processed, and settled trades for domestic and international fund portfolios.Audited various daily, monthly and annual financial statements.Communicated with clients and investment advisors regarding trades, corporate action decisions and broker inquiries.Reviewed and reconciled cash balances.

Provided internal and external financial reports for the organization.Prepared, analyzed and issued financial statements for senior management.Prepared daily, weekly and monthly sales reports for buyers.Assisted in the preparation of period close and annual budget presentation.Accountable for physical inventories of products at regional warehouses.

Conducted daily maintenance of 40 Act regulated mutual fund investment portfolios.Assisted and trained fund accounting team in administration and pricing functions for domestic and international mutualfund portfolios totaling over $5 billion in assets.Audited various daily, monthly and annual financial statements.Demonstrated proficiency in accounting for Daily Distribution funds comprised of Variable Rate and Fixed Income securities.Prepared information for financial statements, annual audits and investment advisor use.