Seasoned Compliance professional with a proven track record in onboarding clients, client servicing, investment operations, AML/KYC and applying due diligence in the Financial Services and Alternative Investments sectors. Implements and improves systems/processes that modernize business operations and adhere to Compliance Regulations. Recognized accomplishments in Client Relationship Management (CRM) systems and building/sustaining strong working relationships with service providers, colleagues and clients.

Highlights:

• AML/KYC
• Operational Risk Management
• System Implementatio
• Process Documentation
• Process Improvements
• Bank Secrecy Act
• USA PATRIOT ACT
• OFAC
• FinCEN
• FINRA
• Compliance Regulations
• PEP/Sanctions Screening
• CRM Implementations
• Client Onboarding
• FATCA
• CRS
• ERISA
• Customer Due Diligence
• Enhanced Due Diligence
• Customer Identification Programs
• Audits - Internal. External, OCC
• FATF 40 Recommendations
• European Directives
• Form PF
• Dodd Frank Act
• Sarbane-Oxley Act
• SEC
• Disaster Recovery Processes
• Business Continuity Processes
• Control & Self Assessments
• Risk Assessments
• Quality Contol/Assurance
• Investor Reporting
• RFP
• RFI
• Investor/Client Databases
• Process Remediations