William Sweeney Email and Phone Number
William Sweeney personal email
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I am a Compliance and regulatory professional and counsel with diversified experience in due diligence review, client onboarding and governance with a special focus on Anti-Money Laundering (AML) and Know Your Client (KYC) in the financial services industry. I have expertise in all areas of AML onboarding, quality assurance and customer negative news review and escalation as well as AML investigations. At Commerzbank and Depository Trust and Clearing Corporation, I was recruited to build out new KYC and Compliance functions. I have a strong record of implementing risk and cost containment measures and contribute both strength and knowledge in the following areas: executing KYC Remediation Projects; Reduction of Corporate Risk; Team Leadership; Corporate Training; Identifying KYC Red Flags; and Management Reporting. I welcome opportunities to connect with other professionals in the compliance and regulatory arenas and can be reached at: wsweeneylaw@gmail.com.
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Qa Cdd ManagerMadison-Davis, Llc Mar 2024 - PresentNew York, United StatesNorthwest Bank Project- Perform Quality Assurance reviews of private and corporate customers focusing on QA of EDD reviews including CIP and CDD. Ensure that EDD has been accurately completed in accordance with the quality standards and time frames set within established Policy, Procedures, Standards, and Operating manual. • Perform end-to-end QA of high-risk alerted and periodic EDD reviews• Complete EDD Review Scorecard for each file and share required feedback with EDD Analyst to ensure accuracy and to ensure consistency and standardized findings• Ensures client data, business activity and narrative, products, documents, and case determinations are appropriate, fully supported, and clearly documented• Ensured that reviews included all in scope accounts and jurisdiction documentation requirements -
Senior Edd AnalystAston Carter- Promontory, A Business Unit Of Ibm Consulting Aug 2023 - Feb 2024• Reviewed risk ratings for customers ensuring properly categorized as high, medium, or low risk • Ensured that all file documentation was complete, up to date, and in proper form• Ensured that reviews included all in scope accounts and jurisdiction documentation requirements• Worked on several projects to enhance desk top procedures for KYC analysts• Conducted Enhanced Due Diligence and screening reviews for complex business structures, governmental entities, financial institutions, and high net worth clients, ensuring thorough compliance• Developed comprehensive job aids for internal systems at Morgan Stanley, providing effective training guides for KYC/EDD compliance, enhancing team proficiency and accuracy• Ensured strict adherence to industry, regulatory, and organizational standards, maintaining accurate and up to date compliance records throughout project execution
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Assistant Vice PresidentCommerzbank Ag Mar 2014 - Jul 2023New York, N.Y.KYC Processing• Responsible for all aspects of KYC/Customer Identification Program (CIP) for new and existing corporate, financial institutions, and non-bank financial institutions • Analyze and review new customer on boarding procedures and rolling reviews and evaluate risk associated with accounts• Ensure that all mandated customer forms, including but not limited to, ownership, directors, FinCEN , and registration documents for low, medium and high risk customers are accurate and up to date• Conduct QC reviews of analysts’ daily work product ensuring completion in accordance with defined proceduresRisk Identification and Reduction• Identify corporate risk and develop and implement various remediation initiatives• Implement processes whereby any transactions with expired, overdue, or rejected customers are identified, investigated and presented to senior management at monthly meetings.• Responsible for all negative news processing and escalations• Administer quality assurance program for Customer Verification Team to ensure all reviews are complete and regulatory ready• Oversee monitoring program detecting corporate re-structuring requiring material change processingTraining• Train new team members on all aspects of Commerzbank KYC processes and procedures • Implement, and train staff for Regulatory Data Corporation (RDC) Alert and Sanctions monitoring programs whereby corporate risk is identified• Draft desktop procedures for KYC functionsTesting• Implement Office of Foreign Assets Control (OFAC) Sanctions Testing Program -
Manager- Corporate Privacy OfficeThe Depository Trust & Clearing Corporation Mar 2012 - Mar 201455 Water Street, New York, N.Y. 10041• Recruited to join newly formed data management unit to build out the function• Successfully reduced the privacy risk exposure of DTCC and its subsidiaries through scope of work• Administered and managed all aspects of the DTCC Global Data Privacy program including: identifying data risks and developing controls to mitigate the risks; drafted and implemented corporate Privacy Policies and Procedures for all DTCC corporate entities; data monitoring as it relates to classification, leakage, and privacy breaches; incident response and remediation• Managed electronic data discovery process• Drafted and submitted Global Information Privacy Program documents for DTCC Board of Director review and approval pursuant to Gramm-Leach-Bliley requirements• Optimized and streamlined process for conducting companywide privacy risk assessments for 81 internal departments and tested select departments, resulting in reduced personnel hours by 50%• Collaborated with business unit management to address global information privacy and data security compliance risks and implement policies, procedures, and practices that satisfied compliance requirements• Consulted to outside counsel in drafting corporate Privacy Policies and Procedures for offices in the US,UK, Netherlands, India, China, and Shanghai• Conducted HIPAA testing to ensure that all new hires receive proper training• Supervised Data Loss Prevention team in reviewing over 3,000 daily e-mails and escalating alerts -
Manager- Office Of Corporate Regulatory ComplianceThe Depository Trust & Clearing Corporation Jun 2007 - Mar 201255 Water Street, New York, N.Y. 10041• Recruited and charged with the build out of this newly formed function. • Responsible for FINRA, SEC, BSA/AML ,and Patriot Act regulatory matters and develop data process for identifying and reporting fraud and money laundering activities related to securities processing• Initiated and implemented a process for employees to easily report suspicious activities that would automatically be escalated, assigned for review, investigated, and monitored• Conducted complex AML investigations and developed criteria to identify and process suspicious activity• Acted as compliance reference point for business areas and provided guidance with regulatory matters• Designed transaction red flag scenarios that would alert Compliance Investigative unit• Regularly evaluated policies and procedures and provided recommendations and updates when required• Conducted training for DTCC staff regarding Suspicious Incident Reporting requirements• Organized responses for all 314(b),auditing, regulators, and law enforcement requests for documentation• Reported results of suspicious activity investigations to Senior Management• Regularly reviewed statutes and rules as they relate to corporate Compliance Program• Guest speaker at The Fiduciary and Investment Risk Management Association (FIRMA) annual conference - Fort Worth, Texas –March 2012
William Sweeney Skills
William Sweeney Education Details
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Degree: Juris Doctor -
John Jay College Of Criminal JusticePublic Administration -
Criminal Justice
Frequently Asked Questions about William Sweeney
What company does William Sweeney work for?
William Sweeney works for Madison-Davis, Llc
What is William Sweeney's role at the current company?
William Sweeney's current role is Assistant Vice President at Commerzbank | AML Onboarding | KYC Review | AML Investigations | SAR Reporting | Quality Assurance | Negative News Analysis.
What is William Sweeney's email address?
William Sweeney's email address is ws****@****aol.com
What schools did William Sweeney attend?
William Sweeney attended Brooklyn Law School, John Jay College Of Criminal Justice, Suny Brockport.
What skills is William Sweeney known for?
William Sweeney has skills like Financial Advisory, Sec, Litigation, Consulting, Sound, Overseeing, Vendors, Private Investigations, Location, Community, Shanghai, Finance.
Who are William Sweeney's colleagues?
William Sweeney's colleagues are Giovanni Loaiza, Daniel Romero Cams, Cfe, Pauline Murphy, Abena Racqelle, Patrick Johnson, Chris Byrnes, Daniel Alzapiedi.
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William Sweeney
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William Sweeney
Director Customer Experience @ Osm Worldwide | Ecommerce Logistics ExpertColumbus, Oh4gmail.com, gmail.com, dhl.com, osmworldwide.com -
William Sweeney
Newtown, Pa3gmail.com, firmenich.com, nmslabs.com
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