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Work Background
mozaic.ioVP, Risk & Compliance
Apr. 2024Chicago, Illinois, United States
MelioAML Compliance Officer
Jan. 2023 - Nov. 2023United States
Pangea Money TransferAML/BSA Compliance Officer & Interim CCO
Feb. 2019 - Apr. 2022Greater Chicago AreaCross Functional Leadership
Rebuilt framework for risk mitigations, regulatory and compliance requirements. Serve in an advisory role capacity to senior staff in connection with suspected criminal activity or to develop strategic mitigation planning with financial crimes intelligence value. Provide briefings to senior leadership as it relates to compliance investigations. Assist with regulatory examinations and audits as needed. Compliance Program Management
Ownership and management of the Financial Crimes Compliance Program; policy, procedure, processes and workflows. Evaluate AML controls and functionalities (LexisNexis Bridger, CaseWare, Looker, AWS and Tableau). Standardized periodic review schedules, metrics reporting timelines and deadlines related to the adjudication of alerts for Transaction Monitoring and Watchlist Screening.Provide additional training and coaching on policy and operations to remediate any deficiencies. Led annual AML Independent Review initiative and improvement projects as recommended by review results. Intelligence & Investigations
Conduct investigations related to suspicious activity related to financial crimes (money laundering, fraud, etc.) Filed SARs and prepared intelligence files when applicable. Established and formalize procedure for logging, tracking and archiving legal complaints related to law enforcement, law firms, and regulatory authorities. Risk Management and Operations
Pioneered Pangea’s risk framework, methodology, and governing policy and procedures for executing all assessment and mitigation strategies. Onboarded new risk mitigation tool for Transaction Monitoring; building alerts scenarios and activity triggers for identifying unusual account activity. Serve in an Advisory capacity to investors, executive committee and leadership on risk assessments, mitigation strategies and operational updates related to risk.
First BankAML Lead (Contract)
Sep. 2018 - Nov. 2018United StatesPeriodic Review
Develop and implement new standardized EDD process, EDD desktop guidance and risk scoring methodology for all commercial/retail customers. Conduct quality control of escalations prior to launching investigation. Trained on new guidance and review process. Created and adapted verbiage for reviews and ensured standardization in analysis. Risk Assessment
Evaluate existing controls to mitigate AML/BSA risk across the enterprise; mapping and testing of risk processes for clients, products, jurisdiction and activities, identified opportunities and deficiencies, proposed action plans to mitigate areas of risk. Examined existing risk scoring to determine appropriate frequencies for risk review of clients; created methodology for scoring and risk rating rationale.
CIBCAML Compliance, EDD/Periodic Review Officer
Feb. 2018 - Sep. 2018Chicago, IL - USARisk Assessment
Review and evaluate complex due diligence information including formation documents, ownership structure, and identification information for private banking and high net worth portfolio. Assign and approve risk scores based on internally established framework. nes of business key support functions. Communicate with front office line of business bankers to gather additional details on anticipated activity, client attributes, and mitigating factors. Document rationale and support for customer risk ratings. Investigations
Review account activity, statements, Internet research, and customer profile information in order to assess easonableness of activity; escalate unusual activity for appropriate government reporting. Identify and report on emerging risks relative to the Bank's customer base and aggregate risk exposure. Enhancements & Leadership
Design and delivery of CDD training to the line of business and relationshipmanagers. Implementation of periodic assessment of customer risk model tuning, create metrics around risk scoring errors and identify learning opportunities. .
HSBCSenior Analyst - Transaction Monitoring QA (Contract)
Nov. 2017 - Feb. 2018Greater Chicago AreaAssurance
Review random sampling of adjudicated alerts/cases using Actimize and Norkom systems. Ensure case analysis considers all relevant transactions, linked accounts/cases, prior SARs, CTRs and UARs, all associated customers, jurisdictions, sanctions, typologies, supporting documentation to mitigate risk and justify final closure. Raise rectification issues for any case analysis which does not meet standards and generate periodic error reporting. Process Expertise
Function as a Subject Matter Expert (SME) on transaction monitoring policy and procedure including alert disposition and escalation processes, senior review investigations and EDD, SAR narratives and filings, complex and restricted caseloads and requirements for documentation. Utilize advanced working knowledge of bank software in Private Banking, Wealth Management, Retail, Commercial Banking and Government accounts. Collaborative Deliberation
Present and deliberate case findings of required rectifications or opportunity for improvement to cross functional compliance stakeholders. Actively promote consistency of required processes and procedures related to closure of cases, advocate overall health of compliance program, lead discussion on identified error findings, track discussion results and raise identified error trends.
GE Capital CorporationCertified Anti-Money Laundering Specialist (CAMS) - Financial Intelligence Unit
Nov. 2012 - Jul. 2017Greater Chicago AreaAML Screening
Investigate and assess alerts relating to potential money laundering risks in the organization
Ensure efficient identification and monitoring of activities and transactions considered suspicious
Stay current with money laundering and terrorist financing behaviors, issues, policies, regulations, criminal typologies, industry best practices, and developing trends Transaction Monitoring
Performs account based research on lists and reports provided through established resources to determine if evidence of money laundering activities exist. Evaluates transactions and customer relationships for money laundering activities, identifies red flag issues, and escalates within the AML framework for further investigation. Manage Compliance Remediation
Validate client data and supporting documentation, identify missing or insufficient KYC, create and maintain a master list of high risk customers for screening, ensure functionality of risk rating model to properly identify customer risk rating, monitor screening processes and ensure special provisions are followed, prepare metrics on customer risk, base, changes in risk ratings and records identified as potential risk. Demonstrated Leadership
Act as a subject matter expert providing expertise on actions taken in dealing with high risk accounts related to Latin America.
Developed desktop guidelines on processing, analysis and resources for Latin America customers.
Presented training material on Latin America to new and existing employees Liaison with various platform leaders and stakeholders to ensure business needs are met and anticipate future needs.
Conduct analysis and evaluations of reports; makes recommendations based upon results
FieldglassParalegal
Jan. 2011 - Jan. 2012Drafted a wide array of contracts; Vendor Agreements, NDAs, Lease Agreements, Service Agreements, SOWs and Licensing Agreements, IT agreements (End User Licensing), amendments, extensions and terminations Reviewed outbound documentation presented by co-workers such as MSAs, SOWs, NDAs, Vendor Agreements, IT Agreements, (EUAs BCPs, and SAS70), including any amendments, extensions and terminations using redline tools such as accept/reject changes, merge changes, and monitored document version control Negotiated contract terms and lead due diligence meetings to finalize obligations Developed contract language to adhere to new regulatory law, corporate policy or new legal procedures and maintained a current document/template library Fulfilled corporate governance functions: prepared and filed local and state filings, such as annual reports and incorporation, ordering lien searches, filing SS-4s for EINs, drafting basic corporate documents such as amendments to the Articles of Incorporation, Resolutions, Board Minutes, Consents, etc. Monitored contract workflow process including status, proper scanning, filing, resolution of outstanding customer issues, signature process and distribution of executed copies to internal and external parties Prepared contractual compliance reports for Senior Management for legal,, corporate and IP documents including; compliance of insurance, deliverables to customer base, pricing/spend schedules, and legal terms Responded to legal inquiries from internal and external parties and prepared RFPs (Request for Proposal) Lead trademarks portfolio management: performed initial search, approved drawings for submission/applications, prepared and filed new applications, performed maintenance such as Statements of Use, Section 8 and Section 15 Declaration, Renewals, Extension of Time to Oppose, etc.
FBISpecialist
Jan. 2010 - Jan. 2011Held a National Top Secret Clearance
Held a National SCI Clearance
Legal Research (Westlaw, LexisNexis, Internet)
Formal legal writing
Litigation Support (document intensive discovery)
Record keeping (confidential/matters of national security)
Robert Bosch Tool CorporationParalegal (Contract)
Jan. 2010 - Jan. 2011Greater Chicago AreaReviewed outbound documents (prepared by co-workers) such as Licensing Agreements, NDAs, SOWs, Vendor Agreements, Consulting Agreements and any amendments, extensions, and terminations Prepared and filed US and foreign Trademark Applications, Renewals, Section 8 and Section 15 Declarations, Statements of Use, Extension of Time, Petitions to Revive, Request to Make Special, etc. Addressed legal questions from internal and external parties and prepared request for proposals (RFPs). Developed contractual language for new and existing documentation Lead contract negotiations and due diligence meetings for intellectual property and contractual matters
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