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Click here or scroll down to respond to this candidateCandidate's Name
PHONE NUMBER AVAILABLE EMAIL AVAILABLEPROFESSIONAL EXPERIENCEDelta Community Credit Union Atlanta, GeorgiaSenior Compliance Program Manager March 2023 to PresentResponsible for development, maintenance and implementation of the organizations Compliance Management System (including training, testing, policies and procedures, and monitoring) to ensure compliance with all applicable laws and regulations.Establish the annual Compliance Plan to review existing compliance requirements and mandated changes.Maintain relationships and effective communication with department leads and management to influence strong compliance standards and consideration of compliance risk.Make recommendations for training, procedures, or controls to reduce compliance risk in the functional area.Develop and conduct compliance assessments identified in annual Compliance Plan to validate processes and practices meet compliance requirements and mandated changes.Communicate and report testing results to senior management, General Counsel and Audit Committee as warranted and track findings.Respond to incoming calls and department mailbox requests by conducting complex compliance research on federal, state and local laws and regulations.Validate research of other Compliance Department team members.Responsible for monitoring changes to laws and regulations and recommending changes to training courses, policies, procedures and other compliance controls. Will work with appropriate function leader to implement changes within the operational area.Review corporate projects and enhancements for conflicts with regulatory guidance.Advise departments and management of compliance mandates/updates, potential regulatory risks and penalties.Suggest options/processes to meet compliance requirements/minimize risk.Escrow.com San Francisco, CaliforniaSenior Manager, BSA/AML and Fraud Control April 2022 July 2022Lead onshore and offshore teams conducting AML/Fraud investigations generated from detection scenarios, the service of subpoenas and warrants, negative media reports, as well as other sources.Determine whether a Suspicious Activity Report is needed and ensure appropriate documentation is prepared for each case substantiating the decision/recommendation.Contribute to the enhancement and implementation of a process to identify and conduct periodic reviews of high-risk customers and transactions (EDD Review).Communicate recommended actions items to stakeholders when appropriate.Provide day-to-day interaction and support to AML and Fraud compliance team to ensure completeness and quality of investigations, and to support quality assurance of investigative documentation.Monitor the execution of the AML/CFT, sanctions and fraud controls, generating periodic reporting of effectiveness, risks, and enhancement opportunities.Develop, review, update, implement AML/Fraud policies, procedures, and guidelines, for business lines.Maintain regulatory inventory, identify regulatory gaps.Analyze, document, implement, validate new law, rules, and regulations.Manage examinations, formulate, and implement remedial actions.Responsible for all BSA/AML, sanctions, and fraud escalation, investigation, reporting, and resolution.Review and update company website information, terms and conditions and FAQs.Conduct compliance risk assessment.Function as the MLRO of the Canadian subsidiary.DataSeers Atlanta, GeorgiaDirector of Compliance 2021 2022Responsible for setting up the Compliance Department and drafting department policies and procedures.Liaise with client financial institutions. Advice clients on BSA/AML, fraud investigation, sanctions issues.Draft and reviewing contracts, client compliance policy and procedures as well as other documents.Nippon Wealth RLBHong Kong SARDirector, Head of Legal & Compliance, MLRO, Privacy Officer2017 2020Responsible for all Hong Kong and Japan banking regulatory, AML and CFT compliance matters. including the promulgation and maintenance of policies and procedures; advising front line actions; approving account opening and subsequent maintenance efforts; sanctions, training, transaction monitoring and periodic review.Advised the banks senior officers and the board of directors on all banking related matters.East West BankHong Kong SARSenior Vice President, Head of Compliance & MLRO2016 2017Responsible for all Hong Kong, China and U.S. compliance and related operational risk banking and trading platforms.Reviewed and improved the compliance function and decreased AML deficiency of the branches.Responsible for the Hong Kong offices compliance activities and obtained a strong internal audit rating on Hong Kong and US banking compliance and US Bank Secrecy Act functions within six months.Wells Fargo BankHong Kong SARVice President, Regional Head of Banking Compliance & MLRO2014 2015Reorganized the Asia regional banking compliance structure so information and communication were more transparent.Set up the testing and monitoring function to validate regulatory compliance in the Asia Pacific region to comply with U.S. and various Asian jurisdictions.Bank of America Merrill LynchHong Kong SARDirector, Regional Head of Regulatory Relations2009 2014As the Hong Kong Country Compliance Officer responsible for all local and U.S. compliance matters.Set up and implemented the regulatory systems to track examinations, inquiries, visits, and changes.Qatar Financial Centre Regulatory AuthorityDoha, QatarDirector of Banking Supervision2005 2009Set up banking supervision functions and drafted rules and regulations during the startup stage.Supervised all large financial institutions including fully licensed banks, Islamic institutions, and Asset Management Institutions.Managed and provided guidance to 12 banking supervisors and 2 anti-money laundering specialists, ensuring these officers were monitoring and supervising the activities of the financial institutions in their caseloads adequately and pro-actively aiding the institutions under their supervision.Credit SuisseHong Kong SARChief Compliance Officer, Senior Regional Legal Counsel & MLRO2000 - 2005Obtained necessary licenses from regulators; developed policies and procedures, monitoring and surveillance devices, conducted on-site and off-site testing and reviews of business units compliance to policies and procedures.Ensured the banks operations, internal policies, and procedures were following the laws, rules and regulations and advised senior management of compliance and legal risks.Hong Kong Securities & Futures CommissionHong Kong SARSenior Manager of Intermediaries Supervision1999 2000Supervised and lead a team of six senior and junior examiners/inspectors to conduct both on-site and off-site inspections of firms licensed by the Commission.EDUCATIONUniversity of San Diego School of Law - Juris DoctorSan Diego State University - Bachelor of Science in AccountingPacific Coast Banking School, University of Washington - Graduate Diploma in Commercial Bank ManagementADDITIONAL ACHIEVEMENTSCertifications: Anti-Money Laundering Specialist (CAMS), Credit Union Compliance Expert (CUCE) |
