Experience

EF Hutton

• United States
• Investment Banking
• 1 - 100 Employee

• Director Corporate Strategy

  • Dec 2022 - Present



JPMorgan Chase & Co.

• United States
• Financial Services
• 700 & Above Employee

• Control Manager

  • Nov 2015 - May 2022

  • Identify, measure, and monitor key operational risks to reduce the overall inherent risks for various corporate functions (market conduct surveillance, GFCC, compliance practices, and LatAm functions)• Plan, document, and execute the end-to-end Control & Operational Risk Evaluation• Report and present relevant risk exposures and root cause analysis of issues to senior management, executive management, and control committees• Maintain awareness of operational risk profile changes resulting from significant strategic, business, and regulatory changes; emerging risks; industry and market events; and other internal and external factors• LatAm and North America onsite control evaluation walkthroughs• Develop solutions to address processes, system, and human failures• Build strong relationships with stakeholders to maintain operational excellence and exceptional client service Show less

• Compliance Surveillance Lead - Vice President

  • Mar 2022 - Apr 2022

  •Review trading activity seeking exceptions related to Market Misconduct, Sales Practice, and Customer Suitability related Compliance Issues•Independently perform thorough investigations and escalate possible violations of rules, regulations, and procedures to the attention of stakeholders•Assist in the design, testing and implementation of new exception reports•Contribute to special projects pursuant to requests from senior management or necessitated by current events•Challenge the status quo by providing critical and analytical thinking and strong decision-making capabilities to identify problems, propose creative solutions, and escalate as necessary•Manage multiple projects in a fast-paced environment Show less

• Global Due Diligence Compliance Operations Group

  • Jun 2014 - Nov 2015

  • Conducted investigative research in English, Portuguese, and Spanish for prospective and existing clients to identify their true legal personality and risk factors• Utilized sophisticated Management Information Systems including Lexis Diligence, RiskWise, Westlaw, World-Check, OFAC, and various internal databases• Collected and analyzed data, reports, and other documentation to determine client expected behaviors• Examined LatAm court cases in Spanish and Portuguese for potential clients• Facilitated reporting of key risk findings and escalated any issues that required closer scrutiny to the line of business• Strong understanding of the Bank Secrecy Act and the USA Patriot Act• Supported key operational improvement initiatives including new targeted risk-based lexicon searches, root cause analysis themes, and trends of internal operational issues Show less



Levan P.C.

• Greater New York City Area

• Paralegal for civil litigation firm

  • Jan 2014 - Jun 2014

  • Perform legal research on Westlaw for numerous civil litigation issues; Investigations of facts • Assist with preparation of motion papers and e-filing of documents for court submission • Perform legal research on Westlaw for numerous civil litigation issues; Investigations of facts • Assist with preparation of motion papers and e-filing of documents for court submission



U.S. Customs and Border Protection

• United States
• Government Administration
• 700 & Above Employee

• Federal Border Patrol Agent

  • Apr 2012 - Sep 2013

  • Patrolled southwest U.S. border to detect and prevent illegal entry of people, weapons, drugs, and contraband • Disrupted and dismantled multinational criminal and terrorist organizations across international and state lines • Studied and analyzed smuggling schemes, patterns, and behaviors from cross-border activity, arrests, and interviews • Performed analysis from illegal cross-border activities to determine root cause and impacts • Reviewed and analyzed highly sensitive and confidential cross-agency information databases to perform criminal investigations • Documented key evidence related to investigations for criminal prosecution Show less



United States Marine Corps

• United States
• Armed Forces
• 700 & Above Employee

• Sergeant Squad Leader

  • Jan 2004 - Jun 2011

  • Completed two-combat tours in Iraq (one as a Marine Squad Leader) • Conducted and completed combat missions by thorough systematic planning and risk management, careful consideration of objectives, strengths, and limitations of other people, resources, time schedules, supplies, logistics, and various other risks factors • Constantly assessed combat and non-combat operational risks and made adjustments to accomplish missions • Instituted strong networking capabilities to gather data in multi-cultural environments by using various investigative tactics with U.S. and foreign nationals • Analyzed databases, reports, and other sources of information to develop a better understand the environment in conflict areas • Trained service members to mitigate the loss of lives, property, and objectives Show less



John Jay College (CUNY)

• United States
• Higher Education
• 700 & Above Employee

• Security Specialist Supervisor

  • Jan 2005 - Dec 2010

  • Maintained open lines of communication with all direct reports and other department heads to ensure good day-to-day situational awareness and effective delivery of security services • Worked closely with senior-level management in long-term security strategic planning • Opened, conducted, coordinated, and closed criminal investigations • Designed, implemented, and managed numerous training programs; conducted seminars and briefing sessions • Supervised a security team of over 60 officers • Conducted criminal investigations made to the Department of Public Safety • Trained incoming security personnel • Oversaw the security and safety of faculty, students, and campus property • Researched, produced, and maintained criminal investigative reports • Conducted patrols to ensure security of campus Show less