Compliance Consultant

• Aug 2023 - Present

Audit Manager

• Nov 2022 - Feb 2023

Senior Risk Advisor - Contract

• Nov 2021 - Mar 2022

Participated in KYC and Transaction Monitoring audits for the cryptocurrency customers of a financial institution. Participated in KYC and Transaction Monitoring audits for the cryptocurrency customers of a financial institution.

Internal Auditor - Contract

• Aug 2019 - Dec 2019

*Initiated and completed a corporate governance BSA/AML audit for the Canadian Branch of the Sumitomo Mitsui Banking Corporation. *Held accountability for validating remediations of BSA/AML-related enforcement actions. *Reviewed corrective actions taken by management to address regulatory matters. *Initiated and completed a corporate governance BSA/AML audit for the Canadian Branch of the Sumitomo Mitsui Banking Corporation. *Held accountability for validating remediations of BSA/AML-related enforcement actions. *Reviewed corrective actions taken by management to address regulatory matters.

Audit Manager

• Jul 2016 - Aug 2019

*Conducted internal audits for community banks and local branches/agencies of foreign banks. *Executed BSA/AML compliance audits. *Initiated additional audits involving accounting controls, trade finance, and payments processing. *Drafted a consumer compliance policy manual for a community bank with $650M in assets. *Developed a corporate compliance manual for a foreign banking organization in New York; validated management’s resolution of operational risk regulatory examination findings. *Previously held identical role for Accume Partners from 2014-2015. Show less

Audit Consultant

• Mar 2015 - Mar 2016

*Developed an audit program while leading a team of two additional auditors. *Conducted an audit of AML/BSA remedial actions taken to address an Enforcement Action against the private banking section of JP Morgan Chase. *Assumed responsibilities for testing controls. *Established controls to escalate high risk customers to management. *Drafted two newsletters for Experis’ clientele: “BSA/AML Developments within the Casino Industry” and proposed New York State Regulation Part 504, “Banking Division Transaction Monitoring and Filtering Program Requirements and Certification.” Show less

Internal Auditor

• Jan 2014 - May 2014

*Specialized in AML/BSA compliance initiatives. *Developed detailed testing programs for the role of a Monitoring and Testing Compliance Officer. *Performed a risk assessment gap analysis and developed job capacity reporting templates. *Specialized in AML/BSA compliance initiatives. *Developed detailed testing programs for the role of a Monitoring and Testing Compliance Officer. *Performed a risk assessment gap analysis and developed job capacity reporting templates.

Senior Bank Examiner

• Jan 1998 - Aug 2013

*Facilitated regulatory examinations at community banks and large-scale financial institutions. *Identified risk exposures; provided recommendations for appropriate controls to reduce risks. *Worked within various risk dimensions, including BSA/AML compliance and operational risk. *Presented examination results to management personnel. *Performed on-site monitoring of internal audits and compliance risks at the Depository Trust Co. *Headed a project team recognized for developing an operational risk scoring methodology that enhanced examination scheduling for institutions, leading to a President’s Award for Excellence. Show less

Internal Audit Officer

• 1996 - 1998

*Reported to the Chief Auditor while coordinating internal audits of accounting controls, payments processing, credit operations, regulatory reporting, and trust operations. *Reported to the Chief Auditor while coordinating internal audits of accounting controls, payments processing, credit operations, regulatory reporting, and trust operations.