Detail-oriented and accomplished professional with extensive expertise in planning, coordinating, and leading regulatory compliance activities, eliminating risks, examining compliance reviews, and communicating highly detailed analytical reports to organizational management. Stellar record of success in risk programs management, compliance structural, investment banking, due diligence, control room, and research/marketing. Adept at investigative study, interviewing methodologies, and comprehensive inspections for ensuring adherence with regulatory guidelines to streamline organizational and industrial integrity. Articulate communicator; proficient in building and fostering relationships with colleagues, teams, and management.
Highlights:
- Documented and reported case review’s / investigation findings; determined if any client issues required further remediation or if client activities required restrictions or other actions.
- Conducted research over available systems, the Internet, and Databases such as File Ziller, Excel, Tinzip, Lexis Nexis, World-Check consistent with the resolution of investigations.
- Worked in conjunction with consumer data and Domain stakeholders to support data quality rules, standards, and thresholds to ensure appropriate data quality-monitoring practices are in place.
- Actively tracking regulatory changes and anticipating the impact these changes would have on the Business.
- Over 20 years of Financial industry experience. Undergraduate degree in Finance.
- Knowledge of AML/ATF legislation regulatory requirements and related projects.
- Created Suspicious Activity Reports (SARs), recommended relationship retention or termination, and tracked account closures as required.
- Built a customer-focused culture to deepen client relationships and leveraged a broader range of relationships using improve methods and systems.
- Knowledge of requirements gathering, design methodology, and building test cases - detail-oriented, analytical, and capable of investigating complex issues.
- Able to troubleshoot data-related issues and support in the authorization of maintenance and modifications.
- Good communication/presentation skills (both oral and written).
- Excellent team player in coordinating with co-workers and cross-departmental business & IT stakeholders.
- Responsible for executing the day-to-day systems, activities, including correcting data quality issues and processes.
- Responsible for establishing and maintaining strong data management records and systems.
- Developed and maintained accurate data lineage and procedures for critical data files and systems.
- Documented end-to-end processes including securing all Key Controls.
- Established Service Level agreements with appropriate third parties.
- Established Data quality measurements and reporting.
- Established Issue management processes, policies, and procedures.
- Quality Management skilled with in-depth research, interviewing techniques, and investigative study to ensure across-the-board conformity to enhance company and industry strength, ethics, and congruency.
- Proven mentor, trainer, and leader of multi-functional teams to foster comprehensive compliance analysis.
- Reduced Corporate Risk through an examination of functions and processes throughout the firm to ensure alignment with regulatory guidelines covering advertisements, contracts, and stakeholder expectations, and industry-wide best practices.
- Cross Border Compliance experience while employed with Broker Dealers in Mexico and Germany.
