Advisor

• Oct 2022 - Present

Vice President of Business Development

• Sep 2021 - Present

Business Development work as well as utilizing vendor/staffing contacts for repurposing the bank Business Development work as well as utilizing vendor/staffing contacts for repurposing the bank

Senior Consultant

• Jun 2021 - Sep 2022

Senior Consultant

• Jun 2021 - Feb 2022

Vice President, Digital Assets Banking and Lending

• Sep 2020 - Jun 2021

Director of New Products

• Apr 2018 - Sep 2020

In charge of developing new products and new markets.

Director of New Products

• Apr 2018 - Sep 2020

Compliance Officer, Assistant Vice President

• Oct 2014 - Apr 2018

The following are highlights of my current responsibilities:• Assess compliance and corporate policies to evaluate the effectiveness of the risk controls• Advise and provide business lines with new and existing regulatory requirements to ensure compliant activities• Test and review the customer due diligence process to mitigate compliance risk and to ensure proper controls are in place• Operation Risk Committee member to communicate ongoing assessments of enterprise-wide policies and procedures to validate consistency with established practices• Perform Compliance Risk Assessments for Third Party Vendors engaged in Prepaid Debit Cards which includes analyzing information and results to identify the level of risk within a vendor to determine the frequency of monitoring efforts and to recommend necessary corrective actions for noted deficiencies• Review transaction monitoring system alerts and analyze transactions for suspicious activity• Assist in the enhancement and maintenance of policies and procedures • Updated the Prepaid Issuing Bank Compliance Program policy and Prepaid Risk Management Policy• Created BSA/AML Fifth Pillar Certification of Beneficial Ownership and Control Agent form for new business account openings Show less

AML/KYC Consultant

• May 2013 - Oct 2014

Work Performed: • Performed vetting of customers for business lines under Wholesale Banking Americas which included performing enhanced due diligence searches on high and medium risk customers especially accounts with a politically exposed person (PEP), liaised with Front Office for required documentation, searched Complinet to verify all counterparties had clean reputations against OFAC sanctions lists, and in some cases, coordinated with Head Office (Paris) and/or other compliance hubs within Natixis’ global system in order to on-board new business • Established monitoring and surveillance processes in order to capture what may be unusual or suspicious transactions which included evaluating money laundering/terrorist financing risks associated with the institution's products, services, customer base and geographic locations • Conducted case investigations derived from alerts generated from the Actimize transaction surveillance system and/or Dixit Alert sources to determine if a Suspicious Activity Report (SAR) was warranted • Conducted periodic reviews of all vetted accounts to ensure the client’s documentation was brought current KYC regulatory standards, examined transactions in these accounts to ensure proper risk rating, and whether or not, the client’s activities were within the original investment scope (additional transaction based analysis was required when a politically exposed person (PEP) was involved) • Accessed FircoSoft Swift Alliance OFAC filtering system throughout the day to review SWIFT payments and messages routed to the filter’s decision queue • Processed updates on FinCEN 314(a), (OFAC), and European Union Blocked Entity reports and tested those updates against the filter within the FircoSoft SWIFT payments system • Participated in bi-monthly Vetting Committees presenting all new customer accounts to risk senior management • Maintained the USA PATRIOT Act Certifications (PAC) through an internal tickler system Show less

Examiner

• 1999 - 2001

Audited the books and records, policies and procedures, and sales practice techniques of Floor Brokers and Specialist Firms. Audited the books and records, policies and procedures, and sales practice techniques of Floor Brokers and Specialist Firms.

Emerging Markets Trade Support

• 1997 - 1998

Work Performed: • Analyzed and reviewed all trades in Eurobonds and Brady bonds for accuracy to minimize errors • Escalated risks of failed trades, price/quantity discrepancies, and P&L discrepancies to the head trader • Liaison between Lehman’s Emerging Markets trading desk and institutional clients, banks, and broker dealers Work Performed: • Analyzed and reviewed all trades in Eurobonds and Brady bonds for accuracy to minimize errors • Escalated risks of failed trades, price/quantity discrepancies, and P&L discrepancies to the head trader • Liaison between Lehman’s Emerging Markets trading desk and institutional clients, banks, and broker dealers