Chief Compliance Officer, Head of Risk and Compliance

• May 2023 - Present

Vice President - FIU

• May 2013 - May 2023

- Managed and developed new hire - Review and approve all case investigations submitted in compliance with regulatory agencies as well as internal/external audit and policy. - Provide guidance, support and feedback for AML analysts, senior analyst and Team Leads to ensure revisions and corrections are completed prior to regulatory deadlines. - Interact with Senior Management on the Compliance, Legal and business sectors concerning AML issues. - January 2017 through August 2017 worked as team lead for Citi project located in South Carolina - Conduct Cross Sector reviews among multiple Citi business lines. - Provide weekly MIS data to senior management Show less

Associate - Compliance Officer

• Apr 2009 - May 2013

• Prepare, organize and file Suspicious Activity Reports (“SARs”) for all business lines. • Prepare, organize and file transaction reports with the Office of Foreign Assets Control (“OFAC”). • Responsible for receiving, organizing and reviewing Suspicious Activity Information Forms (“SAIFs”) received from all business lines. • Conduct background research, analysis and due diligence that will be included in summary section of the SARs. • Ensure that all SARs are filed with the Financial Crimes Enforcement Network (“FinCEN”) in a timely fashion. • Maintain and organize electronic and physical files of all SARs and supporting documentation. • Assist with the testing, validation and implementation of automated case management system. • Monitor OFAC Website for updates. Create and disseminate OFAC bulletins to the business lines, keep track of responses, and escalate any positive responses for further investigation. Respond to internal and external inquiries regarding OFAC-related issues. • Monitor Department of Commerce Website for updates to the Denied Person’s List. Disseminate these updates to the business lines, keep track of responses, and escalate any positive responses for further investigation. • Design and create PowerPoint presentations, Excel Spreadsheets, and Word documents as directed for senior members of the Compliance Department. • Conduct online research for information and articles related to money laundering, terrorist financing, the Bank Secrecy Act (“BSA”), the USA Patriot Act and OFAC-related issues. Show less

Senior Analyst

• Jan 2006 - Apr 2009

Delivered world class customer service in call center environment to consumer premier clients, Bank of America's most profitable client base. Executed transactions based on verbal requests including transferring funds, providing appropriate account information on certificate of deposits, consumer loans, commercial loans, lines of credit, mortgages, and auto loans. The Bank of America systems accessed for these functions included Merlin, BOSS/FAST, Lean, Image view, Refund Request tool, and Right Fax server. Additional responsibilities included preserving company compliance with U.S. Patriot Act by maintaining KYC information with existing clients and partnered with client managers in the field to obtain CIP and KYC information on new clients. Partnered with management to serve as a client delight coach to increase client satisfaction survey scores for identified associates who were found to be struggling in this area through coaching and mentoring. Administered surveys to current associates who contacted the associate assistance line for feedback on services offered. Created effective publications and training material that targeted a larger audience in an effort to increase client satisfaction across the department. Recipient of multiple spirit awards as a result of providing superior client service, the promotion of trusting and teamwork and risk mitigation. Show less