Director of Compliance

• Oct 2023 - Present

AML Advisory Manager | Legal & Compliance

• Jan 2023 - Oct 2023

Assistant Vice President, Wealth Management & US Banks

• Apr 2019 - Dec 2022

• Oversight of AML Risk team of 10+ analysts covering a high-volume CDD/EDD pipeline ensuring smooth production workflow to meet tight operational deadlines. • Meticulously review work completed by analysts in fast paced environment to ensure compliance with applicable laws, regulations and Bank policies/procedures. • Reviewed team’s Quality Control data for training opportunities to help remediate quality issues. • Proactively updated policies and procedures to ensure compliance with evolving legal & regulatory standards. • Created comprehensive AML, KYC and Sanctions policies and procedures, operational framework and training for newly launched bank products partnering with the lines of business (LOB), Legal, IT, operations, overseas Shared Services team & Global Financial Crimes teams. • Presented monthly/quarterly/yearly KPI and KRI metric reports to stakeholders/leadership for future projection planning. • Multi-tasker with oversight on key projects including process enhancements, IT, audits, investigations and remediations. Show less

AML Project Manager, KYC Remediation Projects ~ Global Markets & Global Advisors

• May 2016 - Jan 2019

• Meticulously reviewed – validated over 10,000 client case files to ensure adherence to established global enterprise-wide AML/KYC program ahead of the set regulatory deadline timeline for each individual business unit. • Conducted further client research, as needed, using credible sources to obtain the acceptable evidence documentation as set in the KYC Requirements Matrix to bring incomplete client case files to the appropriate AML compliance standing and ready for data entry onto the KYC Platform. • Liaison between relationship managers, overseas facilitations team, AML compliance, legal and leadership to ensure all required evidence documentation was gathered - verified to build a robust KYC client case file. • Developed and led phase-based training to a dispersed global remediation team of up to (30) professionals on AML SME guidance focused on the KYC evidence documentation requirements matrix and KYC Platform to ensure concise and timely KYC client case file completions by set bank regulatory and internal audit deadlines. Show less

Knowledgent Group Consultant

• Aug 2014 - May 2016

• Effectively created and managed various plans for Business As Usual (BAU) and Global AML Compliance Transformation activities. • Researched, edited, quality checked and tracked releases of AML Operating Toolkit (including AML and Sanctions Operating Procedures, KYC Matrix, Training materials) to ensure accuracy and timely delivery to stakeholders. • Created TOM gap analyses on AML and Sanctions policies and procedures related to global AML transformation to resolve identified deficiencies. • Edited weekly AML Operating Toolkit Pre-Release Notes for communication to stakeholders. • Tracked vendor support by managing key deliverables. Show less

Senior Business Analyst, AML - Fraud Norkom Implementation Team

• Dec 2012 - Aug 2014

• Optimized the fraud process workflow for Financial Intelligence Unit through successful Norkom platform implementation creating over 30-40% increase in team productivity. • Gathered FIU business requirements through collaborative stakeholder workshops, analysis of process documentation and site visits. • Evaluated information to decompose high-level information into details, abstract up from low-level information to a general understanding, and distinguish user requests from the underlying actual workflow needs. • AML/Fraud SME of applicable laws and regulations to determine project scope and designate deadlines for various phases of implementation. • Partnered with global platform architects and developers to convey and interpret business requirements, analyze/evaluate pertinent data, testing and technical support. Show less