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Work Background
RSM US LLPNational Practice Director - Regulatory Risk Services and Global Financial Crimes Practice
Jan. 2024 - Mar. 2025Dynamic and results-driven Banking Risk & Regulatory Leader with over 20 years of experience in risk management, regulatory compliance, and operational risk within the financial services sector. Proven track record of leading high-performing teams, engaging with C-level executives, and delivering strategic solutions that enhance governance and optimize risk frameworks. Adept at navigating complex regulatory environments and fostering strong client relationships to drive business growth and innovation.Professional Certifications: Certified Enterprise Risk Professional (CERP), Certified Regulatory Compliance Manager (CRCM), Certified Anti Money Laundering Specialist (CAMS), and others. Skills:
Expertise in compliance strategy, regulatory leadership, risk assessments, fraud prevention, and operational governance. Achievements:
Keynote speaker at various industry conferences and recognized for executive leadership and community impact.
Credit UnionChief Entrerprise Risk Officer
Dec. 2018 - Dec. 2021Executed an enterprise risk program, charter conversion lead, oversaw M&A activities, and established a preventative detection algorithm that prevented a $17MM fraud loss. Designed the Cannabis Banking Program.
Various CompaniesCannabis Banking Consultant
Jan. 2016 - Dec. 2024
Various CompaniesSenior Interagency Action/Communication Strategy Consultant
Jan. 2016 - Dec. 202310 years of experience in corporate communications, strategic management, and U.S. Government operations. Proven expertise in representing organizations at senior intelligence working groups, leading engagements with interagency stakeholders, and developing high-level strategic communications. Adept at analyzing complex technical issues and formulating actionable solutions aligned with national defense objectives. Core Competencies:
Strategic Communications & Management
Interagency Coordination & Engagement
DoD RDT&E Programs
National Defense Strategy Alignment
Technical Analysis & Reporting
Stakeholder Relationship Management
High-Level Briefing Development
Legislative Process & Acquisition Expertise -Collaborated with senior executives to develop and implement strategic communication plans that effectively conveyed complex technical concepts to diverse audiences.
-Engaged with Fortune-100 C-level executives, producing high-quality communication artifacts that supported organizational objectives and enhanced stakeholder engagement
-Conducted in-depth analysis of adversary components and systems, providing qualitative and quantitative assessments to inform strategic decision-making
-Represented client firm at senior external intelligence working groups, articulating positions on significant analytical issues and identifying operational initiatives to support mission objectives
-Assessed client firm capabilities, identifying focus areas for technology development -Maintained strategic relationships with DoD, US Government staff, and intelligence executives to ensure client firm is informed of planning and crisis response activities
-Analyzed and formulate official responses to requests from interagency partners, ensuring alignment with national defense priorities
-Developed classified communications artifacts, including Secret and Top-Secret level CATMS responses, white papers, and briefings that align with National Defense Strategy objectives
Commerical BankVP, Regulatory Compliance Officer & SEC Due Diligence
Jan. 2015 - Dec. 2018Improved the Compliance Management System and adapted swiftly to regulatory changes. Led SEC due diligence and public entity transformation regulatory compliance and affairs initiatives.
ICG LLCSenior Consultant, EVP - Risk Management and Consumer Compliance
Jan. 2011 - Jan. 2024Independent Consultant | Big 4 Consulting Firm Engagements | Multi-Sector Discipline | Global Transformation Projects | Regulatory Compliance Trainer | Keynote Speaker -Spearhead the development and execution of risk management and regulatory compliance strategies for top-tier banking clients, ensuring alignment with Dodd-Frank, Basel III, and BSA/AML/KYC regulations. -Cultivate and maintain strong relationships with C-level executives, identifying their needs and delivering tailored solutions that address emerging risks in the financial services industry. -Lead a team of risk and regulatory professionals, driving recruitment, professional development, and performance management to enhance team capabilities and service delivery. -Oversee the successful execution of complex client engagements, ensuring projects are completed on time, within scope, and on budget. -Stay abreast of evolving banking regulations and frameworks, providing thought leadership and guidance to clients during regulatory audits and enforcement actions. -Developed and implemented risk governance structures, optimizing operational risk, compliance, and enterprise risk frameworks for financial institutions. -Engaged in business development activities, responding to RFPs and participating in industry events to promote the firm’s risk and regulatory advisory services. -Collaborated with cross-functional teams to identify opportunities for service cross-selling, enhancing overall client value and satisfaction. -Provided insights on emerging regulatory trends, including fintech, cybersecurity, and ESG factors, to inform client strategies and decision-making.
Various CompaniesFinancial Forensics and Investigations - SME
Jan. 2011 - Dec. 2023Lead various contract-based engagements/investigations with clients and/or partner firms with a cornerstone focus of financial crime regulation and forensics to include but not limited to: -Conduct comprehensive financial forensic investigations to trace and recover misappropriated funds, successfully recovering over $35 million in lost assets for a client -Analyze complex banking transactions, shell corporations, and offshore accounts to identify hidden assets and fraudulent activities. -Collaborate with international financial institutions, law enforcement, and legal teams to facilitate asset recovery processes, ensuring compliance with AML and KYC regulations. -Prepare detailed investigative reports and presentations for government officials and stakeholders, enhancing transparency and accountability in financial investigations. -Utilize financial modeling and forensic accounting software to map out fund movements and detect financial crime patterns. -Worked closely with law enforcement agencies and financial regulators to ensure compliance with international financial regulations and standards and in support of new and ongoing investigations -Conducted training sessions for client staff on forensic techniques and AML compliance, fostering a culture of continuous learning and improvement. Skills
-Forensic Accounting & Financial Investigations: Expertise in tracing illicit financial flows and recovering misappropriated funds.
-Data Analytics & Financial Modeling: Proficient in using advanced data analytics tools and AI-driven financial tracking systems.
-Regulatory Compliance: Strong knowledge of AML, KYC, FATF, and other international financial regulations.
-Collaboration & Communication: Effective in working with law enforcement, financial institutions, and legal teams to facilitate asset recovery.
-Confidentiality & Precision: Ability to handle sensitive, high-profile cases with utmost confidentiality and attention to detail.
Morgan StanleyRegistered Practice Operations Leader & HNW Client Portfolio Advisor
Jan. 2010 - Dec. 2011
RBC Wealth ManagementBranch Operations Manager, Registered Advisor
Jan. 2008 - Dec. 2010Series 7, 63/65, Life Accident and Health Brokerage License
Silverleaf ResortsInternal Audit & Financial Reporting Team Lead
Jan. 2006 - Dec. 2008
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