Regulatory Compliance and Anti Money Laundering Professional
Last active: 07/07/2014
20+ years of overall Financial Services experience. 15 years of dedicated Anti-Money Laundering and OFAC compliance experience in MSB, Institutional, Retail, Commercial Lending, Trade Finance and Private Banking business areas working in large global banks and securities brokerage firms.
AML Systems Expertise includes: Verafin, Mantas, iNautix, LexisNexis, Actimize, NetX360, Dunn and Bradstreet, Reuters Worldcheck, Charles River, Protegent
Specialties: Creation and implementation of AML programs inclusive of Patriot Act, FINRA 3310, MSRB G-41, BSA, EDD, KYC, CIP, OFAC, Sanctions, Risk Assessment and Management, Transaction Activity Monitoring, SAR & CTR research and reporting, Enforcement Actions, 314(a) and 314 (b) programs, Regulatory remediation, risk assessments pursuant to FATF and local regulations, independent testing, monitoring rules enhancement/reduction of excessive alerts, customer risk ranking, customer on-boarding, training, economic Sanctions - Office of Foreign Assets Control (OFAC) risk assessments, high risk investigations,enhanced due diligence and specialized due diligence investigations, forensic analysis, SME Virtual Currency, Bitcoin, Ripple, Litecoin, Digital Currency, Stored Value, JOBS Act, Title III, Equity Crowd-funding.
FINRA designations: Series 7, Series 9 & 10, Series 24, Series 63, Series 66
SELECTED EXPERIENTIAL HIGHLIGHTS
• Director of Financial Regulatory Compliance, Anti-Money Laundering Director
• Anti-Money Laundering Compliance Officer, Director of Regulatory Affairs
• Senior Regional Compliance Officer
• Senior Compliance Examiner
• Anti-Money Laundering Compliance Officer, Custodian of Books and Records