Select Engagements:

• Engaged by domestic and global financial institutions to assist in the remediation and enhancement of Global Sanctions policies and procedures to protect the institution from sanctions risk including but not limited to: rewriting of policies and procedures; conducting Sanctions risk assessments; assisting with the User Acceptance Testing (“UAT”) of new sanctions filters; reviewing and remediating Good Guy rules and internal watch lists; and establishing list governance processes and procedures. Assists with the implementation and tuning of sanctions and watch list screening systems and AML Compliance transaction monitoring systems.
• Engaged by a Fortune 100 company for BSA/AML related services pertaining to a transaction look-back and lead a team of eight analysts and researchers to investigate and clear over 500 outstanding transaction alerts.
• Seconded as the Acting Head of the Financial Intelligence Unit for a large global financial institution, leading team of 15 to: review and disposition over 1,200 AML-related transaction alerts, conduct quality assurance reviews on over 3,800 alert dispositions, and conduct investigations into 60 more than cases.
• Engaged by a large global broker-dealer to assess the BSA/AML risk to the organization and develop transaction monitoring scenarios to detect and mitigate the institution’s risks.
• Engaged by a large global bank/broker-dealer’s Internal Audit Department to assess the fortitude of the institution’s Anti-Financial Crime Program.
• Engaged by a foreign branch of a large global bank to assess and remediate the bank’s BSA/AML/Sanctions program, leading the workstreams to remediate the bank’s KYC Program, Training Program, and Sanctions program.
• Recipient of multiple Quarterly Employee Recognition awards, awards for appreciation of “Outstanding Contributions” made in client engagements, time-off awards, and other “Extra Effort” bonuses/awards.