Description
SUMMARY Chief AML Officer for global investment firms, evaluating transaction monitoring processes and procedures from a both proactive and lookback perspective and preparing remediation plans to address any gaps. Prepared investigative files utilizing and drafted SARs as needed. Developed complete proprietary IT compliance test-script module to facilitate clear and accurate surveillance and analysis of counterparty risk. Governance point contact for senior management, department heads, and regulators during regulatory investigations and litigation. Positioned both Surveillance and Compliance teams as a resource for the business across all locations, tailored to individual business models, product lines and customer bases. Regulatory development analysis, drafting of policies and procedures, and staff continuing education training at all levels. Independent Compliance Consultancy Service performing all Investment Advisory and broker / dealer AML independent testing, providing gap remediation and required annual reports. Draft policies and procedures in compliance with and anticipation of developing regulations, and provide continuing education to staff concerning both firm policies and SEC / FINRA rules. Generalist services for broker/dealer as well as all Investment Advisory functions. Full fixed income compliance services. Full Bank Secrecy Act compliance analysis, reporting and gap remediation. Drafting SARs in response to investigative findings in compliance with FinCEN guidelines and time frames.
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