Experience

Step

• United States
• Financial Services
• 1 - 100 Employee

• Compliance KYC Lead

  • Dec 2022 - Present



Lithic

• United States
• Software Development
• 1 - 100 Employee

• Compliance KYC Manager

  • Sep 2021 - Nov 2022

  Built and implemented a comprehensive sanctions program, including development of standard operating procedures for review, escalation, reporting, and monitoring. Recruited, trained, and mentored team of compliance analysts to review customer accounts, conduct sanctions screenings, and provide ongoing quality assurance for both consumer and business accounts. Managed Starter Issuing platform, onboarded clients, conducted KYC, and ensured card and financial limits matched expected transaction history and nature of business. Collaborated with product and engineering teams to design internal and external customer onboarding platforms. Trained compliance, onboarding, and due diligence teams to ensure in-depth understanding of compliance issues and processes. ● Designed Customer Identification Program (CIP) for Privacy.com and Lithic Platform. ● Created KYC Risk Rating Metrics for Lithic business customers. ● Improved internal tooling to bridge gaps in vendor tooling. ● Partnered with product and engineering teams to create Know Your Customer as a Service (KYCaaS) for enterprise customers. Show less



UBS

• Switzerland
• Financial Services
• 700 & Above Employee

• Associate Director - KYC QA and Client Outreach, Institutional Clients

  • May 2019 - Sep 2021

  Led a team of analysts and third-party consultants conducting periodic refreshes of KYC files. Evaluated analyst conclusions to ensure analysis is supported by file documentation. Identified issues for escalation to QA management team and coordinated with external auditors. Created standard operating procedures and trained sales staff and relationship managers in KYC requirements. ● Recognized as the subject matter expert (SME) to UBS Know Your Customer Periodic Reviews Team, providing advice and consultation to corporate banking clients, relationship managers, senior management, and international and third-party analysts completing periodic KYC refreshes. Show less



Industrial And Commercial Bank Of China Limited

• New York City Metropolitan Area

• Consultant - KYC, Treasury Department

  • Feb 2019 - May 2019

  Spearheaded bank wide KYC remediation project. Partnered with internal business partners and external clients to acquire timely approvals and registrations of new customers. Coordinated with front office to ensure completion of customer risk assessment for issues identified by compliance department. ● Led bank wide review and remediation of Treasury’s KYC customer accounts. Spearheaded bank wide KYC remediation project. Partnered with internal business partners and external clients to acquire timely approvals and registrations of new customers. Coordinated with front office to ensure completion of customer risk assessment for issues identified by compliance department. ● Led bank wide review and remediation of Treasury’s KYC customer accounts.



Mizuho

• Japan
• Financial Services
• 700 & Above Employee

• Assistant Vice President Team Lead

  • Jun 2018 - Jan 2019

  Directed a nine-member team of KYC specialists overseeing onboarding activities for five business groups operating throughout world. Assigned and managed new accounts for Client Onboarding Team and completed KYC client onboarding to ensure compliance with bank and regulatory guidelines. Collected client tax information to ensure compliance with Foreign Account Tax Compliance Act (FATCA) and monitored high-risk client accounts. Trained employees to ensure consistent and up-to-date understanding of regulatory requirements. Implemented software and system enhancements to improve efficiency and client service. ● Established cohesive structure and comprehensive guidelines across different business division to ensure robust policies and processes for companywide risk management. Show less

• Officer

  • Jun 2015 - Jun 2018

• Analyst

  • Nov 2012 - Jun 2015



Citi

• United States
• Financial Services
• 700 & Above Employee

• Coordinator- Subscriber Services

  • May 2008 - Nov 2012

  Managed legal onboarding process for new clients, including gathering required documents and processing legal contracts. Collaborated with sales representatives and compliance team to ensure timely document approval. ● Developed policies and procedures for client and vendor onboarding processes.

• Administrative Assistant

  • Jan 2006 - Apr 2008



Buckingham Capital Partners

• Venture Capital and Private Equity Principals

• Executive Assistant Office Manager

  • Sep 2004 - May 2005



McGuireWoods LLP

• Law Practice
• 700 & Above Employee

• Administrative Assistant

  • Jan 2003 - Sep 2004