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Click here or scroll down to respond to this candidateCandidate's Name
16 Dartmouth Rd Mountain Lakes, New Jersey 07046 PHONE NUMBER AVAILABLE EMAIL AVAILABLE ObjectiveSeasoned Compliance Officer seeking to leverage my expertise in regulatory compliance, risk management, and policy development to contribute to the success of a forward-thinking financial organization. Experienced at implementing robust compliance programs, conducting risk assessments, navigating regulatory examinations and ensuring adherence to industry standards. Professional ExperienceMitsubishi Union Trust Bank / MUFG BankFVP and Business Lines Compliance Officer2018 Present Maintain the Compliance Risk Management Framework for the Bank. Advise business units on applicable laws, rules, and regulations. Meet with OCC during examinations and respond to RFIs. Conduct annual risk assessments and draft executive summary. Review and challenge business units self-evaluations. Monitor electronic communications for violations of the Banks Code of Conduct. JP Morgan ChaseVP of Corporate & Investment Banking (CIB)2015 2018 Aligned CIBs KYC requirements with Global Compliance and the Banks KYC systems. Conducted mock examinations on KYC files and created remediation plans for systemic issues. Designed KYC system workarounds to capture clients AML risks effectively. Delivered live training on policies and procedures to global stakeholders. HSBCSr. Mgr. & VP of Commercial Banking Group2013 2015 Conducted risk assessments on the business unit. Remediated gaps for various regulations including B, CERCLA, and CRA. Implemented compliance programs for Volcker and Conduct Rules. Served as a liaison to internal audit, testing, and regulators. Provided training on HSBCs policies.Bank of Tokyo-Mitsubishi UFJ, Ltd.VP and Business Lines Compliance Officer2007 2013 Advised Credit Portfolio Management and Structured Finance groups. Maintained informational barriers between public and private businesses. Managed onboarding and periodic reassessment of KYC files. Philip Lehman Co., Ltd.VP for Insurance Consultant for the CMBS Industry2002 - 2007RBC Alternative Asset Management, Inc.VP for SEC Registered Investment Advisor2000 - 2002Credit Agricole IndosuezAVP for Qualified Institutional Buyer Broker-Dealer 1998 - 2000Merrill Lynch & Company, Inc.AVP for International Broker-Dealer1994 - 1998Rogers & Wells, LPLegal Consultant for International Law Firm1990 - 1994EducationUniversity of Miami School of LawJuris Doctorate, August 1987 - May 1990Stony Brook UniversityBachelor of Arts, History, August 1983 - May 1987Licenses & Certifications New York State Bar Series Securities Industry Essentials (SIE), 24, and 79 |
