Managing Consultant

• Mar 2023 - Present

Senior Consultant

• Oct 2021 - Mar 2023

Consultant

• Jun 2021 - Oct 2021

Compliance Manager

• Nov 2020 - Jun 2021

Responsible for development and implementation of the company's Compliance Program, including AML Program, Risk Assessment, procedural documentation, and automation of KYC and Transaction monitoring. Spearheaded compliance efforts supporting Etana's acquisition of the first Colorado non-depository Trust Charter granted to a digital asset custodian. Responsible for development and implementation of the company's Compliance Program, including AML Program, Risk Assessment, procedural documentation, and automation of KYC and Transaction monitoring. Spearheaded compliance efforts supporting Etana's acquisition of the first Colorado non-depository Trust Charter granted to a digital asset custodian.

Compliance Manager

• Sep 2019 - Nov 2020

Manages an MSB regulatory compliance program, including state and federal examinations, financial reporting, licensing, and consumer data privacy. Oversees internal controls evaluation program and enterprise-wide compliance risk assessment. Subject matter expert for information privacy, regulatory compliance, consulting, and audit throughout the organization.

Senior Compliance Analyst

• Mar 2016 - Sep 2019

Manages 52 U.S. State/Territory MSB licenses. Prepares quarterly and annual financial reports for external regulatory review. Manages on and off-site State and Federal regulatory examinations. Conducts active compliance research into new MSB and Data Privacy laws and regulations and prepares compliance action plans for senior management and Board of Directors. Manages consumer complaint responses and analytics. Presents to management and corporate committees. Consults with other departments to… Show more Manages 52 U.S. State/Territory MSB licenses. Prepares quarterly and annual financial reports for external regulatory review. Manages on and off-site State and Federal regulatory examinations. Conducts active compliance research into new MSB and Data Privacy laws and regulations and prepares compliance action plans for senior management and Board of Directors. Manages consumer complaint responses and analytics. Presents to management and corporate committees. Consults with other departments to assist in compliance, e.g. marketing notices and disclosures; payment receipts; financial reporting. Consults with other global subsidiaries regarding AML programs.

Transaction Monitoring Specialist

• Jan 2015 - Mar 2016

Real-time monitoring and analysis of transactions and patterns for fraud and scam prevention; development and implementation of QA process for transactions; oversight of transaction monitoring quality assurance program covering more than 30 employees; training and coaching of employees on transaction monitoring; assisting Chief Compliance Officer in internal and external audits; presentation of transaction monitoring and OFAC/Sanctions processes to external stakeholders and regulators.

Insurance Agent

• Sep 2012 - Nov 2014

Developed individual insurance and financial-planning packages to fit clients' personal needs and financial goals; regularly met with existing clients to service their needs and advise new options; trained and mentored new agents. Developed individual insurance and financial-planning packages to fit clients' personal needs and financial goals; regularly met with existing clients to service their needs and advise new options; trained and mentored new agents.