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Click here or scroll down to respond to this candidateSkillsFinancial Intelligence Bank Secrecy Act Compliance - Investigations
Communication - Strategic Thinking Leadership Decision Making Critical Thinking Associate Development CollaborationProfessional ExperienceCandidate's Name
Imagineers Group New York, NYSenior AML Consultant June 2024 August 2024 AML program review for broker-dealer on AML policies and procedures related to KYC, suspicious activity, customer risk rating, program governance, and program enhancements. Review other aspects of the AML program and recommended improvements.Capital One NA New York, NYFinancial Intelligence Unit (FIU) February 2021 December 2023 Head of AML Enhanced Due Diligence (EDD) Investigation Team (February 2021-December 2023)o Assumed lead role over approximately 60 investigators and supervisors responsible for conducting various reviews on High-Risk customers. o Provided strategic intent for High-Risk customer reviews. o Initiated enhancements to process around publicly traded companies, closing cases, prior SAR customer treatment and trending reporting. o Lead strategic approach for EDD roles for negative news and Customer Risk Rating (CRR) projects. Leadership role in development of User Acceptance Testing (UAT) for CRR.o Oversight of queue volumes, forecasting analysis and budget management.o One of leads in future state Financial Intelligence Unit strategy sessions, focused on developing investigation processes. Head of Currency Transaction Reporting (CTR) Operations Team (July 2021- December 2023)Michael Troccia1 Redwood Drive Chappaqua, New York 10514Phone: PHONE NUMBER AVAILABLEE-mail: EMAIL AVAILABLELinkedIn: https://LINKEDIN LINK AVAILABLE o Assumed lead role over approximately 13 investigators and supervisors responsible for reviewing and completing currency transaction reports across all Capital One lines of business.o Provided strategic intent for CTR Operations.o Operations intent lead over CTR system implementation project. o Oversight of queue volumes, forecasting analysis and budget management. Retained responsibilities as AML Travel Rule expert and advisor after transition to FIU, dealing with complex issues with regulatory impact to resolve MRAs. Lead Anti-Money Laundering Advisor-Commercial Bank, November 2016 to February 2021 Manage a team AML Advisors covering the Commercial Bank, External Affairs, Special Assets, Corporate Finance, HR and Enterprise Services (2017-2018). Successfully lead AML aspect of remediation on complex issues related to the Travel Rule, Third Party Payment Processors, Fraud identification and escalation, and Casino risk analysis. Lead the implementation and expansion of new PEP and Negative News coverage across enterprise. Provide line of Business AML guidance on various issues, to include regulatory examinations, Audits, testing and annual money laundering risk assessment. AML representative on various risk committees. AML guidance on transaction monitoring rules, focused on various typologies, particularly around wire transfers. Acquisition analysis for various opportunities.Candidate's Name
Senior AML Advisor March 2015 to October 2016The Mercadien Group Hamilton, New JerseySenior AML Advisor, June 2016 to October 2016 AML Project assigned to draft multiple AML procedures, conduct monitoring system gap analysis and coverage assessment.IMAG Consulting Services LLC New York, NYSenior AML Advisor, March 2015 to June 2016 AML project primary responsibilities included the evaluation, analysis and recommendations for improvement in the following areas: transaction monitoring systems/rules analysis, investigations process, suspicious activity reporting, quality assurance reviews, procedure reviews and revision/enhancement, UAT for monitoring development, department organization and staffing, and training.Commerzbank AG New YorkHead of Anti-Money Laundering Compliance-Americas-BSA Officer, July 2014 to March 2015 Manage the AML Department for the Branch and Broker dealer, overseeing Transaction Monitoring, Sanctions and AML Advisory (EDD). Oversaw various consultant-lead projects related to the regulatory action, to include monitoring coverage assessment, baseline fine-tuning project, investigations lifecycle, KYC Policy, transaction lookback and quality assurance. Restructured AML teams and drafted an AML hiring plan. Chair of AML Executive Committee to advise senior management on key risks. Member of Global AML Committee. Key decision maker in critical exits of high-risk relationships. Hired and trained staff on transaction monitoring investigations, USD clearing, nested activity, red flag identification and evaluation and SAR drafting. Agricultural Bank of China New York BranchChief Compliance Officer, March 2014 to July 2014Head of Legal and Compliance- BSA Officer October 2012 to February 2014 Successfully developed Compliance program and design for Legal and Compliance departments of newly licensed Branch. Planned direction for program departments, to include completion of drafting all procedures for BSA/AML and Regulatory Compliance, creation of tracking mechanisms, initiated mandatory filing programs for AML (e-filing, 314a/314b), initial manual monitoring for sanctions and post transaction monitoring, quality assurance of processes, negative news process, customer risk rating, account opening workflows and regulatory compliance testing plan. Lead development of UAT for all program installations. AML trading program. Managed installation of automated transaction monitoring system. Developed parameters of systems for both Sanctions and BSA/AML monitoring. Oversaw implementation of and developed customer risk scoring parameters. Reviewed and modified, with detailed rationalizations, the Branchs initial country and product risk ratings, and revised the customer risk rating methodology. Chair of Compliance Committee, member of all major Branch committees. Lloyds Banking Group, NA New York, New YorkSenior Compliance Consultant - AML and General Compliance, August 2011 to October 2012 Retained to evaluate and develop post transaction monitoring program. Reviewed and revised existing procedures for post transaction Surveillance and Monitoring, Suspicious Activity and Section 314(a) and 314(b). Review and revise all North America Suspicious Activity Reports prior to filing. Managed consulting firm revisions of customer risk rating methodology and reviewed staff work product, to include Compliance testing, KYC process, 314(a) and 314(b) handling and sanctions procedures.HSBC USA New York, New YorkDirector, Head of High-Risk Monitoring - AML Compliance, May 2010 to May 2011 Managed the high-risk monitoring program under regulatory scrutiny, to include Correspondent Banking/USD clearing, Embassy Banking and Private Banking. Oversaw staff in 3 locations (NYC, Delaware and Buffalo managed 250 onshore staff, oversight of 84 offshore staff), together with overall management of consultants for onshore operations. Built the management structure, reporting lines, team size and governance. Rebuilt the program in all respects, to include redrafting procedures, managing situational alert handling, decision making on key time sensitive program items, creating the RFI process, oversaw the SAR decision process, implementation and revision of the cash letter/RDC/pouch monitoring program. Successfully presented revised interim procedures to the OCC and Federal Reserve in response to regulatory action. Created program/hosted walk through to the Board of Directors and CEOs office. Create a strong, positive team environment of highly qualified professionals who worked closely together during a time of continual transition. UBS AG, New York Branch UBS Securities LLC New York, New York Head of Investigations - AML Compliance, July 2005 to May 2010 Head of Surveillance and Monitoring Program - AML Compliance, March 2009 May 2010 Built suspicious activity investigations program for FIU at UBS Investment Bank. Managed team responsible for post transaction monitoring of Correspondent Banking/USD clearing accounts, to include regular meetings with Business to discuss and to manage relationships. Oversaw UBS transaction monitoring systems, to include US dollar intraday payments monitoring program to assess OFAC escalations from Operations. Conducted investigations of matters referred to AML Compliance to ensure adherence to the provisions of the BSA, USA PATRIOT ACT and UBS policies and procedures. Drafted/reviewed suspicious activity reports for filing with FinCEN. Responsible for oversight of compliance with section 314(a) and 314(b)..FEDERAL BUREAU OF INVESTIGATION - New York, New York Special Agent, June 2000 to July 2005 Foreign counterintelligence specialist relating to National Security matters. Participated in the investigation of the terrorist attack on the World Trade Center of 09/11/2001 and Counterterrorism investigations in the aftermath. PERSONIUS, PRECHTL, MATTISON & PALMER - Elmira, New York Associate Attorney, August 1995 to March 2000CHEMUNG COUNTY PUBLIC DEFENDERS OFFICE - Elmira, New York Assistant Public Defender, July 1997 to January 2000 EducationFederal Bureau of Investigation Academy - Quantico, Virginia, Special Agent Dickinson School of Law - Carlisle, Pennsylvania, Juris Doctor Baldwin-Wallace College - Berea, Ohio, Bachelor of Arts in Political Science Certified Anti-Money Laundering Specialist (CAMS)Volunteer ActivitiesFarm Sanctuary; New York Cares; Achilles International; Care for Kids |
