Experience

Actian

• United States
• Software Development
• 200 - 300 Employee

• Account Director, Data Management & Analytics

  • Aug 2019 - Present

  Develop and grow long-term relationships with a portfolio of clients, connecting with key business executives and stakeholders. Liaise between customers and cross-functional internal teams to ensure the timely and successful delivery of Actian Software solutions according to customer needs. Manage and develop client accounts to initiate and maintain favorable relationship with clients. Research and conduct on going compliance with a set of clients within a certain portfolio. Work with cross… Show more Develop and grow long-term relationships with a portfolio of clients, connecting with key business executives and stakeholders. Liaise between customers and cross-functional internal teams to ensure the timely and successful delivery of Actian Software solutions according to customer needs. Manage and develop client accounts to initiate and maintain favorable relationship with clients. Research and conduct on going compliance with a set of clients within a certain portfolio. Work with cross functional teams such as: Solution Architects, Engineers, Developers and Sales Teams.

• Account Director

  • Aug 2019 - Present



Conduent

• United States
• IT Services and IT Consulting
• 700 & Above Employee

• Senior Advisor- Risk & Compliance U.S & Jamaica

  • Mar 2019 - Aug 2019

  •Responsible for providing an independent and cost-effective internal audit source to all operations. •Ensures systems controls are in place and determines operation’s consistency with corporate objectives and standards through various verification methods and procedures. •Develops departmental plans, including business, production and/or organizational priorities •Interprets internal or external business issues and recommends solutions/best practices •Decisions are guided by… Show more •Responsible for providing an independent and cost-effective internal audit source to all operations. •Ensures systems controls are in place and determines operation’s consistency with corporate objectives and standards through various verification methods and procedures. •Develops departmental plans, including business, production and/or organizational priorities •Interprets internal or external business issues and recommends solutions/best practices •Decisions are guided by resource availability and functional objectives • Domestic accountability; with some international accountability

• Regulatory Risk Manager

  • Apr 2018 - Aug 2019

  Analyze and manage regulatory risk issues by identifying, measuring, and making decisions on operational or enterprise risks for an organization. Document, and ensure communication of, key risks. Recommend ways to control or reduce risk. Advise others on business or operational matters. Identify key risks and mitigating factors of potential operational and reputation risk. Assess risks to business operations. Analyze business or financial data. Gather risk-related data… Show more Analyze and manage regulatory risk issues by identifying, measuring, and making decisions on operational or enterprise risks for an organization. Document, and ensure communication of, key risks. Recommend ways to control or reduce risk. Advise others on business or operational matters. Identify key risks and mitigating factors of potential operational and reputation risk. Assess risks to business operations. Analyze business or financial data. Gather risk-related data from internal or external resources. Gather organizational performance information. Devise systems and processes to monitor validity of risk modeling outputs. Identify and analyze areas of potential risk to the assets, earning capacity, or success of organizations. Assess risks to business operations. Develop or implement risk-assessment models or methodologies. Produce reports or presentations that outline findings, explain risk positions, or recommend changes. Present business-related information to audiences. Plan, and contribute to development of, risk management systems. Develop business or financial information systems. Track, measure, or report on aspects of market risk for traded issues. Monitor business indicators. Present business-related information to audiences. Meet with and coordinate with Service Delivery Leaders and top Executives across the company to answer queries on subjects such as risk exposure and regulatory environment. Analyse new legislation to determine impact on risk exposure. Evaluate applicable laws and regulations to determine impact on organizational activities. Prepare regulatory or compliance documentation. Provide statistical modeling advice to other departments. Advise others on analytical techniques.

• AML/BSA Analyst

  • Jul 2016 - Aug 2019

  Daily monitoring of cardholder accounts for fraud such as money laundering, terrorist financing, structuring, etc in order to mitigate risk to our banking partners. Working collaboratively with loss prevention and fraud to investigate account activity. Identify and address items through day-to-day assignments to ensure banking partners KYC, CIP and training standards have been met. Perform AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the… Show more Daily monitoring of cardholder accounts for fraud such as money laundering, terrorist financing, structuring, etc in order to mitigate risk to our banking partners. Working collaboratively with loss prevention and fraud to investigate account activity. Identify and address items through day-to-day assignments to ensure banking partners KYC, CIP and training standards have been met. Perform AML Screening/CDD/EDD reviews on prospects and new/existing customers in accordance with the Bank’s policies and procedures. Perform searches utilizing Internet sources and/or third-party vendors (i.e. Google, Lexis Nexis and/or World Compliance) to determine negative news and obtain due diligence information for prospects and new/existing customers. Communicate effectively with peers, front-line and management when requesting information or documentation and addressing concerns or inquiries. Thoroughly document findings by preparing reports in a manner that is clear and comprehensible to Compliance directors, internal auditors and regulatory examiners. Interact with bank examiners, internal auditors, and compliance personnel during BSA and AML related audits, if necessary. Ensure all cardholder records are properly completed and communicate deficiencies to appropriate party and/or Manager. Exercise discretion in setting priorities, identify customer records that require further review and take action to obtain and follow-up on attaining the information and/or documentation requested. Assist in the analysis of specific hits generated by Prime (BSA/AML Software) used to scrub against the OFAC, FinCEN, and the Agency's internal Hot List for any possible matches. Performing the narrative on SARs which includes the full investigation of the SAR. Responsible for keeping the Compliance Training Log up to date as well as all training materials. Lead projects and work with developers and engineer to successfully on-board vendors. Create policy and procedures



Texas Bankers Association- Compliance Alliance

• Austin, Texas Area

• Compliance Specialist

  • Jul 2015 - Jul 2016

  Assist over 450 community banks around the country with the implementation of Dodd-Frank. Review, create, analyse and guide banks with the risk assessment process, policy creation, and the overall implementation of a comprehensive compliance management program.Proven extensive knowledge of and/or success in roles with managing compliance-related engagements, which includes the following areas: - AML and OFAC laws and regulations, including the application of related requirements to… Show more Assist over 450 community banks around the country with the implementation of Dodd-Frank. Review, create, analyse and guide banks with the risk assessment process, policy creation, and the overall implementation of a comprehensive compliance management program.Proven extensive knowledge of and/or success in roles with managing compliance-related engagements, which includes the following areas: - AML and OFAC laws and regulations, including the application of related requirements to businesses; - Banking products, services and related operations; - Banking processes, commercial, retail, private banking, broker dealers, and transactional flows; and - Data analytics and risk modelling as it relates to AML solutions; - Solutions development related to strategy, operations and management in a number of functional areas: corporate compliance, including developing, analyzing and assessing corporate compliance programs; constructing, monitoring and auditing programs; managing internal risk assessments and investigations, collaborating with organization management to integrate compliance controls into the scope of existing business practices; developing and delivering compliance training; and, managing incident management systems; and, - Management of multiple, complex projects and understanding internal control environments that are appropriate to mitigate the risks with laws and regulations. Show less Assist over 450 community banks around the country with the implementation of Dodd-Frank. Review, create, analyse and guide banks with the risk assessment process, policy creation, and the overall implementation of a comprehensive compliance management program.Proven extensive knowledge of and/or success in roles with managing compliance-related engagements, which includes the following areas: - AML and OFAC laws and regulations, including the application of related requirements to… Show more Assist over 450 community banks around the country with the implementation of Dodd-Frank. Review, create, analyse and guide banks with the risk assessment process, policy creation, and the overall implementation of a comprehensive compliance management program.Proven extensive knowledge of and/or success in roles with managing compliance-related engagements, which includes the following areas: - AML and OFAC laws and regulations, including the application of related requirements to businesses; - Banking products, services and related operations; - Banking processes, commercial, retail, private banking, broker dealers, and transactional flows; and - Data analytics and risk modelling as it relates to AML solutions; - Solutions development related to strategy, operations and management in a number of functional areas: corporate compliance, including developing, analyzing and assessing corporate compliance programs; constructing, monitoring and auditing programs; managing internal risk assessments and investigations, collaborating with organization management to integrate compliance controls into the scope of existing business practices; developing and delivering compliance training; and, managing incident management systems; and, - Management of multiple, complex projects and understanding internal control environments that are appropriate to mitigate the risks with laws and regulations. Show less



Capital One

• United States
• Financial Services
• 700 & Above Employee

• AVP BRANCH MANAGER II

  • Jul 2014 - Jun 2016

  • Supervise activities of the branch. • Bring in new customers and boosts profits • Create and analyze management information and reports. • Coordinate activities among different branches all over the country. • Help make policies and enforce them. • Set targets and ensure they are met. • Develop and supervise staff. • Hire and terminate staff according to needs. • Interact with local chambers of commerce, development agencies, solicitors, accountants. • Handle… Show more • Supervise activities of the branch. • Bring in new customers and boosts profits • Create and analyze management information and reports. • Coordinate activities among different branches all over the country. • Help make policies and enforce them. • Set targets and ensure they are met. • Develop and supervise staff. • Hire and terminate staff according to needs. • Interact with local chambers of commerce, development agencies, solicitors, accountants. • Handle customer complaints. • Market and publicize new and existing products and services introduced by the bank. • Follow all bank, state and federal regulations. Show less • Supervise activities of the branch. • Bring in new customers and boosts profits • Create and analyze management information and reports. • Coordinate activities among different branches all over the country. • Help make policies and enforce them. • Set targets and ensure they are met. • Develop and supervise staff. • Hire and terminate staff according to needs. • Interact with local chambers of commerce, development agencies, solicitors, accountants. • Handle… Show more • Supervise activities of the branch. • Bring in new customers and boosts profits • Create and analyze management information and reports. • Coordinate activities among different branches all over the country. • Help make policies and enforce them. • Set targets and ensure they are met. • Develop and supervise staff. • Hire and terminate staff according to needs. • Interact with local chambers of commerce, development agencies, solicitors, accountants. • Handle customer complaints. • Market and publicize new and existing products and services introduced by the bank. • Follow all bank, state and federal regulations. Show less



First Citizens Bank

• United States
• Banking
• 700 & Above Employee

• Bank Operations Manager

  • Apr 2012 - Feb 2014

  • Participate in all phases of strategic level planning with other department heads, including cost management, service-related concerns, lending department, Human Resource and local bank competition. • Proven track record working within tight deadlines and workflow • Aptitude for analyzing and recommending operational improvements, and suggests specific improvements. • Anticipate issues and solve them accordingly. • Set goals and evaluate team members according to goals… Show more • Participate in all phases of strategic level planning with other department heads, including cost management, service-related concerns, lending department, Human Resource and local bank competition. • Proven track record working within tight deadlines and workflow • Aptitude for analyzing and recommending operational improvements, and suggests specific improvements. • Anticipate issues and solve them accordingly. • Set goals and evaluate team members according to goals set. • Deep knowledge of banking procedures and regulations. • Perform continuous assessment of branch operations for 12 branches while furnishing. oversight and guidance regarding effective leadership and issue resolution techniques. • Provide relevant administration and operations guidance to branch operations, vault utilization, wire processing, account management, issue resolution and performance reviews for all branches in the Heartland Region. • Act as a liaison between sales and support staff, and area management to facilitate information flow and drive operational efficiency. • Collaborate and communicate effectively with all departments and members of company management. • Excellent written and verbal communication. • Thoroughly train all new incoming associates on all aspects of the bank as well as within their job duties. • Recognized as top in the region for No exception annual audits. • Ability to enforce company policies and ensure all protocol is being followed. • Ensure work papers are adequately documented and audit evidence is sufficient. Prepare accurate audit reports. • Plan and conduct audits to assess controls, operational efficiency and compliance with selected policies, procedures and regulations. Resolve audit problems that occur and develop modifications to coverage and schedule, all within a timely fashion. Show less • Participate in all phases of strategic level planning with other department heads, including cost management, service-related concerns, lending department, Human Resource and local bank competition. • Proven track record working within tight deadlines and workflow • Aptitude for analyzing and recommending operational improvements, and suggests specific improvements. • Anticipate issues and solve them accordingly. • Set goals and evaluate team members according to goals… Show more • Participate in all phases of strategic level planning with other department heads, including cost management, service-related concerns, lending department, Human Resource and local bank competition. • Proven track record working within tight deadlines and workflow • Aptitude for analyzing and recommending operational improvements, and suggests specific improvements. • Anticipate issues and solve them accordingly. • Set goals and evaluate team members according to goals set. • Deep knowledge of banking procedures and regulations. • Perform continuous assessment of branch operations for 12 branches while furnishing. oversight and guidance regarding effective leadership and issue resolution techniques. • Provide relevant administration and operations guidance to branch operations, vault utilization, wire processing, account management, issue resolution and performance reviews for all branches in the Heartland Region. • Act as a liaison between sales and support staff, and area management to facilitate information flow and drive operational efficiency. • Collaborate and communicate effectively with all departments and members of company management. • Excellent written and verbal communication. • Thoroughly train all new incoming associates on all aspects of the bank as well as within their job duties. • Recognized as top in the region for No exception annual audits. • Ability to enforce company policies and ensure all protocol is being followed. • Ensure work papers are adequately documented and audit evidence is sufficient. Prepare accurate audit reports. • Plan and conduct audits to assess controls, operational efficiency and compliance with selected policies, procedures and regulations. Resolve audit problems that occur and develop modifications to coverage and schedule, all within a timely fashion. Show less