Performed compliance related testing, auditing and monitoring procedures for the company's compliance functions (to include the operations of the Business) policies, procedures, [internal] controls and KYC training. Assisted in the drafting of policies and procedures. Pre and post trade compliance with respect to di minimus exemption/rule. SEC Rules 38 (a) 1 and 17 (j) 1.

• Conducted in-house reviews to test compliance policies and procedures pursuant to Rule 206 (4)-7 under the Investment Advisers Act of 1940 and Rule 38 (a)-1 under the Investment Company Act of 1940.
• Sound knowledge and experience with the Foreign Corrupt Practices Act (FCPA) and the UK Bribery Act (UKBA). Reviewed and monitored watch list and sanctions screening results, conducted enhanced due diligence and CDD on corporate entities, individuals and PEP's. Conducted online research and sourced corporate ownership structures and ultimate beneficial owners of partners.
• Conducted Legal research and insured that the integration and transfer of content of service order into a service contract was seamless. Conducted a comprehensive review within established prescribed processes/guidelines set by the AML leadership team for high risk clients and assessed risks posed to the company and provided a final recommendation to maintain/demarket client based on assessment and risk of client.
• Subject matter expert in BSA/AML/OFAC regulations as they apply to financial institutions, including retail, wholesale and international business (trade finance). Written and edited BSA/AML/OFAC compliance manuals and reviewed other bank policy and procedure manuals as appropriate.
• Managed federal (SEC) and state (Form D, SS-4, U-2 and Blue Sky) filings for securities offerings. Trained staff on regulatory filings upgrades. Liaised with private equity funds regarding Form ADV of the securities offerings. Bloomberg, Charles Rivers Compliance System, LexisNexis, Westlaw & LiveEdgar, Windows 7, Windows 10, Microsoft Word, Excel, Outlook & PowerPoint, PSS Atlas/Atlas Suite, TyMattersCaseMap, DOCS, LiveNote, Scan It, Trial Director, Siterra, Smart Counsel, BestCase and TyMetrix 360, CLEMS, GEMS, IKON & BoardVantage & Adobe Acrobat Pro, BSA E-Filing and SharePoint.