Experience

Enterprise Bank (Enterprise Bancorp)
• United States
• Banking
• 300 - 400 Employee
• Compliance Manager, VP

  • Oct 2016 - Present


Fidelity Cooperative Bank

• United States
• Financial Services
• 100 - 200 Employee

• SVP Senior Compliance and Risk Officer

  • Jan 2014 - Oct 2016

  • Manage the regulatory Compliance Program including Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and OFAC compliance. • Chair the Management Risk Audit & Compliance Committee. • Prepare and present materials for monthly meetings of the Board of Directors Risk Audit & Compliance Committee. • Track and report on compliance, audit, and risk monitoring activities for all lines of business. • Coordinate customized bank-wide compliance training program. • Manage the Bank’s… Show more • Manage the regulatory Compliance Program including Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and OFAC compliance. • Chair the Management Risk Audit & Compliance Committee. • Prepare and present materials for monthly meetings of the Board of Directors Risk Audit & Compliance Committee. • Track and report on compliance, audit, and risk monitoring activities for all lines of business. • Coordinate customized bank-wide compliance training program. • Manage the Bank’s Identity Theft Red Flag and perform periodic risk assessments as required. • Administer the Vendor Management program including initial due diligence and on-going reviews. • Work with Chief Risk Officer to establish Enterprise Risk Management Program. • Conduct enhanced customer due diligence and assist BSA Officer with AML case management and dispositioning. • Act as compliance resource and business partner for all lines of business. • Assist business lines as requested with policy, procedure, and disclosure reviews. • Lead implementation of audit program in partnership with third-party provider. Show less



Admirals Bank

• United States
• Banking
• 1 - 100 Employee

• Vice President and Director of Operational Risk

  • Jun 2013 - Jan 2014

  • Partnered with business leadership team to identify and consider risks in development of strategic vision. • Developed risk management program to proactively manage and balance both the risks and rewards. • Managed formal new product and service risk assessment and approval process. • Responsible for the overall Vendor Oversight Program and the bank’s insurance program. • Worked with Internal Audit and Compliance to document internal controls, policies and procedures, required… Show more • Partnered with business leadership team to identify and consider risks in development of strategic vision. • Developed risk management program to proactively manage and balance both the risks and rewards. • Managed formal new product and service risk assessment and approval process. • Responsible for the overall Vendor Oversight Program and the bank’s insurance program. • Worked with Internal Audit and Compliance to document internal controls, policies and procedures, required to satisfy regulatory requirements.

• Vice President and Director of Risk Management & Compliance

  • Jan 2012 - Jun 2013

  • Served as Chief Compliance Officer and managed the Bank’s regulatory Compliance Program including Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and OFAC compliance for $680 million federally-chartered bank. • Acted as Chairman of the Compliance Committee and prepared and presented materials for quarterly meetings. • Coordinated and tracked all compliance monitoring and training activities. • Worked with departments to document internal controls to comply with the Federal… Show more • Served as Chief Compliance Officer and managed the Bank’s regulatory Compliance Program including Bank Secrecy Act/Anti-Money Laundering (BSA/AML) and OFAC compliance for $680 million federally-chartered bank. • Acted as Chairman of the Compliance Committee and prepared and presented materials for quarterly meetings. • Coordinated and tracked all compliance monitoring and training activities. • Worked with departments to document internal controls to comply with the Federal Deposit Insurance Corporation Improvement Act (FDICIA). • Managed the Bank’s operational risk management program including vendor management and completion of required risk assessments including multi-factor authentication, ACH, etc.



Hampshire First Bank

• United States
• Financial Services
• 1 - 100 Employee

• Director of Risk Management & Internal Audit

  • Jan 2011 - Jan 2012

  • Managed the Bank’s internal audit, compliance, and operational risk programs. • Completed risk assessments to determine audit plans for both operations and compliance. • Managed internal audit schedule and conducted audits as directed by the Audit Committee. • Prepared and presented materials for quarterly Audit Committee meetings. • Monitored regulatory and audit findings. Trained staff and conducted follow up reviews to ensure satisfactory corrective action… Show more • Managed the Bank’s internal audit, compliance, and operational risk programs. • Completed risk assessments to determine audit plans for both operations and compliance. • Managed internal audit schedule and conducted audits as directed by the Audit Committee. • Prepared and presented materials for quarterly Audit Committee meetings. • Monitored regulatory and audit findings. Trained staff and conducted follow up reviews to ensure satisfactory corrective action. • Implemented vendor management, disaster recovery, and information security programs for a de novo bank that met regulatory standards and established credibility with examiners. • Served as Information Security Officer and worked closely with Information Technology to manage the Bank’s Information Security Program. • Served as Compliance Officer and managed Bank-wide Compliance Program. • Primary liaison for regulatory compliance examinations. • Completed risk assessments as needed for both new and existing information systems and products.

• AVP Deposit Operations & Special Support

  • Feb 2007 - Dec 2010

  • Established Deposit Operations and Electronic Banking policies and procedures for de novo bank. • Managed Deposit Operations, Electronic Banking, and ACH Operations and ensured completion of daily processes. • Implemented procedures to support requirements of BSA/AML and OFAC compliance program. • Tested and launched new products and system enhancements as needed. • Project manager for design of the Bank’s marketing website and managed ongoing site updates.



Capital Crossing Bank

• Vice President Risk Management

  • 2005 - 2007

  • Documented and tested internal controls to ensure adherence with Sarbanes-Oxley section 404 standards. • Completed risk assessments on products, services, and systems as required. • Assisted Director of Risk Management in administering the Bank’s Information Security Program. • Presented Operational Risk Management Program updates to the Bank’s Audit Committee. • Distributed surveys, analyzed data, and compiled written reports for business continuity planning and Privacy Act… Show more • Documented and tested internal controls to ensure adherence with Sarbanes-Oxley section 404 standards. • Completed risk assessments on products, services, and systems as required. • Assisted Director of Risk Management in administering the Bank’s Information Security Program. • Presented Operational Risk Management Program updates to the Bank’s Audit Committee. • Distributed surveys, analyzed data, and compiled written reports for business continuity planning and Privacy Act compliance. • Tracked policy approvals and provided guidance to departments when new or revised policies were required.

• Vice President and Director of Deposit Services

  • 1998 - 2005

  • Managed daily operations of Deposit Services, Wire Room, and Corporate Services departments. • Coordinated completion of bank-wide Records Retention Schedule for data retention and destruction. • Facilitated development of marketing materials and advertisements for the Bank.